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## MONTHLY STATUS REVIEW
**MONTHLY STATUS REVIEW**** **
**EOS ICE, CLOUD & LAND ELEVATION**
** ****SATELLITE (ICESat) PROJECT**
**Code 425**
**UPN 227-6**
** **** **** ****Project Scientist: Dr. J. Zwally**** ****/**** ****971**
** **** ****Project Manager: James Watzin**** ****/**** ****425**
** **** ****DPM**** ****/**** ****Resources: Linda Greenslade**** ****/**** ****425**
** **** ****Instrument Development: Ron Follas**** ****/**** ****556**
** **** ****Instrument Scientist:**** **** **** Dr. J. Abshire**** ****/**** ****924**
** **** ****Ground System Development: ESDIS**** ****/**** ****423**
** **** ****Spacecraft Contractor: Ball**
**AUGUST 13, 2002**
## ICESat PROJECT SUMMARY
**G**
**G**
**G**
**G**
**G**
**R**
**Y**
**G**
**Y**
**G**
**G**
**G**
**G**
**G**
**G**
**ICESat PROJECT SUMMARY**
**STATUS AS OF: 7/31/02**
_**LEGEND**_
**Good Shape**
**Minor Problem**
**Major Problem**
**Program Management**
**Subcontracts**
**Spacecraft I&T**
**Observatory I&T**
**Subsystems**
** ****Systems Engineering**
**R&D Budget**
**Procurement**
**Workforce**
**Travel**
**Launch Vehicle**
**Launch Site (VAFB)**
**Ground SYS**** ****/**** ****OPS (EOS)**
**GLAS**
**Technical Cost Schedule Management Overall**
** ****MAY JUN JUL **
**Spacecraft Bus:**
**Prime**
**Major Interfaces**
**Resources**
**Instruments**
**Business**
**Science**** ****/**** ****Operations**
**Summary Assessment**
**JPL GPS Receivers**
**G**
**G**
**G**
**G**
**GLAS**
** ****MAY JUN JUL**
** ****MAY JUN JUL**
**MAY JUN JUL**
** ****MAY JUN JUL**
** ****MAY JUN JUL**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**Y**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**G**
**Y**
**Y**
## GLAS I&T PROBLEMS IN WORK
**G**
**GLAS boresight stability does not meet mission performance requirements**** **
**CURRENT STATUS**
**Additional analysis initiated on the telescope assembly.**
**Peer Review held. Retest conducted; preliminary results look favorable with major errors traceable to set-up issues. Detailed data analysis results look promising.**
**Test plan defined.**
**Plan in place to validate; requires completion of environmental test program.**
**Boresight found to meet requirements. Additional analysis in work. Deadline to complete is Observatory PER.**
_**AETD Peer reviews validated approach.**_
_**CLOSED**_
**GLAS I&T PROBLEMS IN WORK**
**OPTICAL PATH**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** ****PROBLEM/ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** ****11/30 7/15**
** **
**Fundamental measurements may be compromised if behavior persists on orbit****.**
**Hold mini-peer review on calibration results**
**Get AETD and systems involvement in development of troubleshooting plan.**
## GLAS I&T PROBLEMS IN WORK
**Intermittent energy monitor on green laser**
**CURRENT STATUS**
**Several troubleshooting tests conducted, inconclusive results.**
**Alternate Etalon operation algorithms in development.**
**Problem understood and board modification solution verified on the engineering model board. **
** ****Alternative (baseline) software approaches being investigated and validated.**
**Software fix to be validated in T/V testing.**
**Open loop control successfully demonstrated in T/V. **
_**Software patches installed. **_
_**CLOSED**_
**GLAS I&T PROBLEMS IN WORK**
**LIDAR OPERATION**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** ****PROBLEM/ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** ****12/17 6/15**
** **
**G**
**Potential compromise on Etalon operation and data reduction**
**Investigate root cause**
**Investigate alternate means for Etalon operation and data reduction**
## GLAS I&T PROBLEMS IN WORK
** ****Prepare briefing for Code Y on mission impacts and risk and impact of pursuing repair.**
**G **
**CURRENT STATUS**
**Some spare units being prepared for parallel testing.**
**Science Team assessing impact to the mission if failed units are not replaced.**
**Code Y meeting scheduled for May 17.**
**Code Y decision to fly “as-is”.**
**Spares in testing. Failure investigation on old units in work.**
_**Plans for on-orbit operation being developed.**_
_**CLOSED**_
** **
**GLAS I&T PROBLEMS IN WORK**
**SPCMS **
** **
** ****PROBLEM**** ****/**** ****ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** ****4/26 7/15**
** ****Cannot fully meet secondary science objectives.**
** ****Failure of four SPCMs in GLAS thermal vacuum testing.**
**STATUS AS OF 7/31/02**
** ****ICESat Project**
## GLAS TRAVEL
**GSFC to find funding.**
**G**
**CURRENT STATUS**
**Preliminary shortfall of approximately $90K identified.**
**Code 920 attempting to determine if any relief is possible from Code 900. In the interim, **
** ****Code 425 paying for GLAS travel out of mission budget.**
_**Supplementary funding identified.**_
_**CLOSED**__** **_
**GLAS TRAVEL**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** ****PROBLEM**** ****/**** ****ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** ****7/8 7/15**
** ****Unable to support ICESat I&T**
** ****Code 920 did not budget adequate travel dollars for GLAS/ Codes 900 and 500 field operations.**
## SCIENCE PERFORMANCE ASSESSMENT
**Y**
_**Altimetry error **_
_**estimates exceed**_
_**mission objectives**_
_**in some operational**_
_**circumstances**_**.**
**CURRENT STATUS**
_**Code Y briefed on Aug 6. Decision to proceed as-is and revisit after Observatory T/V.**_
_**Observatory**__** **__**T/V tests identified to validate restricted temperature operations for GLAS.**_
**SCIENCE PERFORMANCE ASSESSMENT**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** ****PROBLEM/ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** **_**7/22**_** **_**9/5**_
** **
_**Degraded science**_
_**products**_
_**Brief Code Y on impacts to mission**_
_**Optimize GLAS performance on- orbit**_
_**Complete BAM development and qualification**_
## LAUNCH VEHICLE SCHEDULE
**Y**
_**Secondary payload**_
_**(CHIPSAT) working a**_
_**very tight schedule to**_
_**make Boeing/DELTA **_
_**deliverables**_**.**
**CURRENT STATUS**
_**NASA management briefed on potential issues.**_
**LAUNCH VEHICLE SCHEDULE**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** ****PROBLEM/ISSUES PROGRAMMATIC IMPACT ACTION**
** ****DATE**
** ****ESTAB COMPL**
** **_**8/7**_** **_**8/21**_
_**Launch delay**_
_**Establish milestones**_
_**for decisions to slip**_
_**launch or de-manifest**_
_**secondary payload.**_
_**Verified coupled **_
_**loads(VCL) model due 9/2.**_
## PMC ACTION STATUS
**PMC ACTION STATUS**
_**Data**__** **__**/**__** **__**Source**_
** ****NONE**
_**Status**_
**ICESat Project**** ****STATUS AS OF: 7/31/02**
## IT SECURITY: NAC STATUS STATUS AS OF: 7/31/02
## ICESat SIGNIFICANT PROGRESS
**ICESat SIGNIFICANT PROGRESS**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
** **
**GLAS performing well in spacecraft environment.**
**Observatory comprehensive electrical performance test (CEPT) successfully completed.**
**PER held on 7-29-02.**
**Observatory T/V underway.**
**BAM qualification testing completed.**
## PROJECT RESERVES
**PROJECT RESERVES**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
**Cost: **** ****Unliened**** ****/**** ****unencumbered reserves**** ****=**** ****17. 1%**
** ****in Cost-to-Complete**** **** **** **** **
** **** **** **** **** **
**Schedule:**** **_**(Unscheduled Months)**_** ****=**** ****1. 19%**
** **** ****Year until Launch **** **
** **** **** **
**Mass:**** **_**(Allocated-Estimated)%**_** ****=**** **_**1050 – 981**_** ****=**** ****6.6%**
** ****Allowed**** **** ****1050**
**Power:**** **_**(Allocated-Estimated)%**_** ****=**** **_**792 – 668**_** ****=**** **** 15.7%**
** ****Allocated**** **** ****792**
## Slide 13
## ICESat SCHEDULE SLACK
**84**
** ****56**
** ****28**
** ****0**
**D**
**A**
**Y**
**S**
**ICESat SCHEDULE SLACK**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
**Mar Apr May Jun Jul Aug Sept Oct Nov Dec 02**
** **** **** **** **** **** **** **** ****LRD**
**Replan to 12/02 LRD**
**ACCEPTED CODE M**
**REQUEST TO ADVANCE**
**LAUNCH TIL 12/15/02**
## BACKUP
**ICESat**
## ICE, CLOUD, AND LAND ELEVATION SATELLITE
**ICE, CLOUD, AND LAND ELEVATION SATELLITE**
**(ICESat)**
_**Project Management**_**:**** **** ****GSFC/Code 425**
_**Spacecraft**_**:**** **** ****Ball Aerospace**
_**GLAS Instrument**_**:**** **** ****In-House GSFC**
_**Ground System**_**:**** **** **
** ****Control Center:**** **** ****University of Colorado/LASP**
** ****Ground Data Handling:**** **** EOSDIS**
** ****Science Data Processing: **** **** GSFC/Science Computing Facility**
** ****Data Repository:**** **** ****NSIDC**
_**Science Team**_**:**** **** ****GSFC, UTX/Austin, UCA/San Diego, UWI/Madison, MIT, and **** **** ****EG&G **
_**Development Period**_**:**** **** ****2/98 – 12/02**
_**Launch Readiness Date**_**:**** **** 12/19/02**
_**Launch Vehicle**_**: **** **** ****Boeing/Delta 7320, with DPAF**
_**Launch Site**_**:**** **** ****Vandenburg AFB, CA**
_**Co-Manifest Partner**_**:**** **** ****Cosmic Hot Interstellar Plasma Spectrometer (CHIPSat)**
_**Mission Objectives**_**:**** **
** ****1. Produce high accuracy and calibrated profiles of ice-sheet surface elevations over Greenland**
** ****and Antarctica.**
** ****2. Produce calibrated profiles of global land and ocean surface elevations.**
** ****3. Produce calibrated vertical profiles of global cloud heights and vertical distributions of cloud **
** ****and aerosol properties for the first time.**
** ****4. Map high accuracy ice-surface elevation changes over Greenland and Antarctica for the first **
** ****time.**
** ****5. Characterize the seasonal variability of ice-sheet surface elevations over the mission lifetime.**
_**Website**_**: http://icesat.gsfc.nasa.gov/**
** ****STATUS AS OF:7/31/02**
## END OF MISSION PLAN DEVELOPMENT
**END OF MISSION PLAN DEVELOPMENT**
**COMPLETED**
_**Final Estimate**_**: **
** ****Final Orbital Debris Generation report was approved by Headquarters on 4**** ****/**** ****9**** ****/**** ****01. The total mission package included ICESat, CATSAT, DPAF, and launch vehicle. Both ICESat and CATSAT meet the 8m****2**** guideline by significant margins. ICESat is 3.9m****2**** and CATSAT 0.9m****2****. ICESat will reenter in 15 years, which is well under the 25 year guideline.**
** **
_**Disposal Option Assessment**_
** **_**Controlled Reentry**_**: Not practical - +240kg additional fuel and 6 months delay**
** **_**Safe Orbit**_**: Not feasible - same as re-entry**
** **_**Shuttle Recovery**_**: ICESat polar orbit not accessible to the shuttle; also spacecraft design not manned-flight rated**
**Expect no changes when CHIPSAT data becomes available**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
## UNDEFINITIZED CONTRACT ACTIONS
**ICESat ****Project ****STATUS AS OF: 07/31/02**
** **** **** **** ****TARGET**
** **** **** **** ****DATE**** ****DEFINITIZATION**
** ****CONTRACT**** **** VALUE**** **** ISSUED**** ****DATE**** ****STATUS**
**Launch Delay -**
**ICESat**
**GLAS**
**NAS5-99003**
**EG & G**
** ****$475K**
**5/17/02**
**8/30/02**
**Tech eval received on 7/19/02.**
**Launch Delay-**
**ICESat**
**$98K**
**5/17/02**
**8/30/02**
**GLAS**
**NAS5-99004**
**UNIV. WI**
**$2,028K**
**5/17/02**
**8/30/02**
**GLAS**
**NAS5-99005**
**UNIV. TEXAS**
**Tech eval received on 7/18/02.**
** ****Tech eval received on 7/18/02.**
**Launch Delay - ICESat**
**GLAS**
**NAS5-99006**
**UNIV.CA - SD**
** ****Tech eval received on 6/12/02.**
**Launch Delay - ICESat **
**GLAS**
**NAS5-99007**
**MIT**
**$389K**
**5/17/02**
**8/30/02**
**$392K**
**5/17/02**
**8/30/02**
**Launch Delay –**
**ICESat**
**Tech eval received on**
** ****5/29/02.**
## ACRONYMS
**ACRONYMS**
**AFT - (GLAS aft optics)**
**AGS - Alaska Ground Station**
**ANT - Antenna**
**ARO - After Receipt of Order**
**ATP - Authority to Proceed**
**CCAS - Cape Canaveral Air Station**
**CEPT - Comprehensive Electrical Performance Test**
**CM - Center of Mass**
**CPT- Comprehensive Performance Test**
**CTU - Command and Telemetry Unit**
**DBC - Data Bus Coupler**
**DO- Delivery Order**
**DSU - Data Storage Unit**
**EAC - Estimate at Completion**
**E-BOX - Electronics Box (= MEU)**
**EDAC - Error Detection and Correction**
**EIC - Electrical Integration Complete**
**ENV - Environment or Environmental**
**EPS - Electrical Power Subsystem**
**FOR - Flight Operations Review**
**FOT - Flight Operations Team**
**FRR - Flight Readiness Review**
**FSW - Flight Software**
**FSWTB - Flight Software Test Bench**
**HRG - Hemispherical Resonating Gyro**
**HVPS - High Voltage Power Supply**
**IGS - ICESat Ground System**
**IIRR - Instrument Integration Readiness Review**
**IRU - Inertial Reference Units**
**ISF - Instrument Science Facility**
**I-SIPS - ICESat Science Investigator-Led Processing **
**IST - Instrument Star Tracker**
**ITOC - Instrument Test Operations Center**
**LASP - Laboratory for Atmospheric & Space Physics**
**LED- Light-Emitting Diode**
**LHP - Loop Heat Pipe **
**LPA - Laser Profiling Array**
**LRA - Laser Retro-Reflector Assembly**
**LRD - Launch Readiness Date**
**LRR - Launch Readiness Review**
**LRS - Laser Reference System**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
## ACRONYMS
**ACRONYMS**
**(CON’T)**
**LSM - Laser Steering Mechanism**
**MEU - Main Electronics Unit**
**MIC - Mechanical Integration Complete**
**MIWG - Mission Integration Working Group**
**MOC - Mission Operations Center**
**MOR - Mission Operations Review**
**MORD - Mission Operations Requirements Doc.**
**MOWG - Mission Operations Working Group**
**MPS - Multi-program Support**
**MRR - Mission Readiness Review**
**NADIR -Earth-facing side of spacecraft**
**NAC- National Agency Check**
**NGS - Norway Ground Station**
**NISN - NASA Integrated Services Network**
**NSIDC - National Snow and Ice Data Center**
**NTGSE - (Windows) NT Ground Support Equip**
**ORR - Operational Readiness Review**
**OTS - Optical Test Source**
**PDA - Power Distribution Assembly**
**PDU - Power Distribution Unit**
**PEC - Precise External Clock**
**PRA - Probabilistic Risk Assessment**
**RWA - Reaction Wheel Assembly**
**S**** ****/**** ****A - Solar Array**
**SADA -Solar Array Drive Assembly**
**SADE - Solar Array Drive Electronics**
**SCC - Spacecraft Control Computer**
**SEP - Spacecraft Electronics Package**
**SIPS -Science Investigator-Led Processing System**
**SIRU - Space Inertial Reference Unit**
**SLTC - Space Lidar Technical Center**
**SM - Safe Mode**
**SORD - Systems Operations Requirements Document**
**SPCM - Single Photon Counting Module**
**SRS- Stellar Reference System**
**TV - Thermal Vaccum**
**VCL- Verified Coupled Loads**
**ICESat Project**** ****STATUS AS OF: 7/31/02**
## PROJECT OVERVIEW
_**SIGNIFICANT PROGRESS**_
**GLAS performing well in spacecraft environment.**
**Observatory comprehensive electrical performance test (CEPT) successfully completed.**
**PER held on 7-29-02.**
**Observatory T/V underway.**
**BAM qualification testing completed.**
_**ISSUES / CONCERNS**_
**Science team concerns re: anticipated accuracy of altimetry measurements places potential lien on flight of the mission.**
**Careful attention must be placed on CHIPSAT schedule performance to assure launch is not delayed.**
**G**
**PROJECT OVERVIEW**
**ICESat Project**** ****STATUS AS OF:7/31/02** | en |
markdown | 769826 | # Presentation: 769826
## USNO Report
- U.S. Naval Observatory
- Washington, DC and Colorado Springs, CO
- Demetrios Matsakis
- CGSIC Timing Subcommittee Sept. 13, 2005
## Overview
- USNO Master Clock
- GPS Timing Operations
- Precise Positioning Service (PPS)
- Standard Positioning Service (SPS)
- Network Time Servers
- Internet and Other Time Products
- Precise Time and Time Interval (PTTI)
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO Master Clock Time Service Department
- Ensemble of
- 72 Cesium standards
- 21 Hydrogen masers
- Real-time realization of UTC(USNO)
- Clocks incorporated into International Atomic Time (TAI)
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO GPS Operations Time Service Department
- GPS Time Monitoring
- Provide GPS MCS with a reliable and stable reference to UTC(USNO)
- GPS Time Synchronization to UTC(USNO)
- GPS Time corrections provided daily to GPS MCS
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO GPS Operations Time Service Department
- **GPS Time Monitoring**
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO GPS Operations Time Service Department
- Common-View (CV) Time Transfer
- Used as a backup to Two-Way Satellite Time Transfer (TWSTT) to:
- Incorporate USNO clocks into TAI
- Steer Remote Clocks to UTC(USNO)
- Participate in worldwide relative GPS calibrations conducted by the BIPM
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO GPS Operations Time Service Department
**USNO**
**GPS Satellites**
**Remote Site**
- Subtract
- USNO-Remote Clock
** ****Common-View Time Transfer**
- CGSIC Timing Subcommittee Sept. 13, 2005
## Precise Positioning Service (PPS) USNO Receivers
- AOA TTR-12 SM
- 12-channel based on GPS MSRE
- Dual-frequency
- All-in-view Tracking
- Temperature stabilized antenna electronics & cables
- Primary purposes
- GPS Time Monitoring for GPS MCS
- CV Time Transfer between DC & CO
- SAASM receivers
- Under Development
- Prototype unit being debugged
- CGSIC Timing Subcommittee Sept. 13, 2005
## Standard Positioning Service (SPS) USNO Receivers
- Current Operations
- Motorola Oncore-based receiver system (TTS-2)
- 8-channel, single frequency
- 3S Navigation GPS/GLONASS
- Additional Systems
- Ashtech
- JPL Real Time Global Differential System
- NovAtel GPS/WAAS/EGNOS
- Monitor UTC(USNO)-WNT
- CGSIC Timing Subcommittee Sept. 13, 2005
## GPS Time Monitoring
- CGSIC Timing Subcommittee Sept. 13, 2005
## WAAS Network Time (WNT) Monitoring UTC(USNO) –WNT, offset removed
- CGSIC Timing Subcommittee Sept. 13, 2005
## USNO Network Time Servers Time Service Department
**Internet ****http://tycho.usno.navy.mil/ntp.html**
- 26 U.S. Stratum-1 Time Servers
- USNO Master Clock & GPS SPS Time References
- Millisecond Time Synchronization
- 100 Billion Network Requests yearly
**SIPRnet**
- 2 U.S. Stratum-1 Time Servers operational
- 2 OCONUS under consideration
- USNO Master Clock References
**Contact: Richard E. Schmidt, 202-762-1578 DSN 762-1578, res@usno.navy.mil**
- CGSIC Timing Subcommittee Sept. 13, 2005
## Internet and Other Time Products Time Service Department
**ftp server,** **ftp://tycho.usno.navy.mil**
- 9 million connections/month
**Time Service Web server, ****http://tycho.usno.navy.mil**
- 5 million connections/month
- Audio Service installed
**Telephone Voice Announcer**
- USNO DC, **202-762-1401 (DSN 762)**
- USNO AMC,** 719-567-6742 (DSN 560)**
**Modem** **Time**
- USNO DC, **202-762-1594 (DSN 762); 1200 baud 8N1**
- USNO AMC**, 719-567-6743 (DSN 560); 1200 baud 8N1**
- CGSIC Timing Subcommittee Sept. 13, 2005
## Improvements in the works
**Two Way Satellite Time Transfer (TWSTT)**
**Radome**
- Provides thermal stability
**Satellite Simulators**
- Delivered, to be tested
- Continuous calibration monitor
**Experimenting with higher chip rates **
- Promises improved SNR
**GPS simulator development**
- CGSIC Timing Subcommittee Sept. 13, 2005
## Radome Installation
- CGSIC Timing Subcommittee Sept. 13, 2005
## DISCLAIMER
- Manufacturers and products are identified only for technical clarity
- Use by USNO does not imply an endorsement
- Past record at USNO may not be a reliable predictor of future performance.
- CGSIC Timing Subcommittee Sept. 13, 2005 | en |
converted_docs | 369979 | DEPARTMENT OF ENERGY
Western Area Power Administration
AGENCY: Western Area Power Administration, Department of
Energy.
51 FR 4012
January 31, 1986
Post-1989 General Power Marketing and Allocation Criteria; Pick-Sloan
Missouri Basin Program-Western Division
ACTION: Final marketing criteria and call for applications for power.
SUMMARY: The Post-1989 General Power Marketing and Allocation Criteria
(Criteria) for the sale of energy with capacity from the Pick-Sloan
Missouri Basin Program-Western Division (P-SMBP-WD) and the
Fryingpan-Arkansas Project (Fry-Ark) by the Western Area Power
Administration (Western) is published herein, together with a discussion
of the issues raised during the public comment process, and a discussion
of revisions made to the Proposed Post-1989 General Power Marketing
Criteria (Proposed Criteria) published in the Federal Register on August
23, 1983 *(48 FR 38279).* Most of the current contracts for the two
projects expire at the end of the 1989 summer billing period; therefore,
Western\'s Loveland Area Office (LAO), formerly known as the
Loveland-Fort Collins Area Office, will market energy with capacity
under these Criteria beginning no later than the 1989-90 winter season.
The LAO expects the allocations to be completed and the contracts ready
for signature by allottees in 1987.
EFFECTIVE DATE: March 3, 1986.
DATES: Applications for an allocation of both energy and associated
capacity must be received in Western\'s LAO by close of business on
April 1, 1986. See V.E. for further details.
Signed contracts for previously allocated long-term energy and/or
capacity from the LAO must be received in Western\'s LAO by close of
business April 1, 1986, to establish eligibility as an existing
contractor under these criteria.
Applicant Profile Data must be submitted by potential applicants in the
southwest portion of Kansas by April 1, 1986. Applicant Profile Data
requirements may either be obtained from the Area Manager, Loveland Area
Office, or found at *48 FR 38279, 38282* (August 23, 1983). The
southwest portion of Kansas is defined as the area south of the Missouri
River Basin and west of the eastern boundaries of the counties
intersected by the 100th Meridian.
FOR FURTHER INFORMATION CONTACT: Mr. Mark N. Silverman, Area Manager,
Loveland Area Office, Western Area Power Administration, P.O. Box 3700,
Loveland, CO 80539, (303) 224-7201.
TEXT: SUPPLEMENTARY INFORMATION:
Contents of Supplementary Information Section:
I. Regulatory Procedural Requirements.
A. Determination Under Executive Order 12291.
B. Regulatory Flexibility Analysis.
C. Environmental Assessment.
D. Statutory Basis of the Criteria.
II\. Background of the Development of the Criteria.
III\. Summary of Revisions.
A. Term of Contract.
B. Applicant Qualifications.
C. Special Eligibility Requirements for Wholesale Utilities.
D. Significant and Tangible Steps Toward Becoming Eligible.
E. Purchased Energy Option.
F. Marketable Resource.
G. Load Diversity Adjustment.
H. Opportunity to Discuss Contract Provisions.
I. Means to Receive and Distribute Power.
J. Market Area.
K. Costs for Firming Purchases.
L. Limitation of Allocations.
IV\. Public Comment Issues.
A. Ten-Year Contract Term.
B. Applicant Qualifications.
C. LAO Project Integration.
D. Derivation of Marketable Resources.
E. Classes of Service.
F. Reallocation.
G. Limitation of Allocations.
H. Shaping and Storage for Renewable Energy Resources.
V. Post-1989 General Power Marketing and Allocation Criteria.
A. General.
1\. Applicability.
2\. Marketable Resources.
B. Marketing Considerations.
1\. Market Area.
2\. Service Seasons.
3\. Classes of Service.
4\. Derivation of Marketable Resources.
5\. Allocation Priorities.
C. Allocation of Marketable Resources.
1\. Basis of Allocation.
2\. Limit on Energy Allocation.
3\. Reallocations.
D. Contract Arrangements.
1\. General Contract Terms.
2\. Long-Term Firm Energy with Capacity Obligations.
3\. Scheduling, Accounting, and Billing.
4\. Delivery Conditions.
E. Application Procedures.
VI\. Appendix A \-- Derivation of Marketable Resources.
VII\. Appendix B \-- Market Area Map.
I. Regulatory Procedural Requirements
A. Determination Under Executive Order 12291: The Department of Energy
has determined that this is not a major rule because it does not meet
the criteria of section 1(b) of Executive Order 12291, *46 FR 13193*
(February 19, 1981). Western has been exempted from sections 3, 4 and 7
of Executive Order 12291.
B. Regulatory Flexibility Analysis: Pursuant to the Regulatory
Flexibility Act of 1980 *(5 U.S.C. 601* et seq.), each agency, when
required by *5 U.S.C. 553* to publish a proposed rule, is further
required to prepare and make available for public comment an initial
regulatory flexibility analysis to describe the impact of the proposed
rule on small entities. In this instance, the marketing plan relates to
electric services provided by Western. Under *5 U.S.C. 601*(2), services
are not considered \"rules\" within the meaning of the Act. Therefore,
Western believes that no flexibility analysis is required.
C. Environmental Assessment: An Environmental Assessment (EA)
(DOE/EA-0266) was prepared by Western in April of 1985. Further
refinements to the Criteria necessitated supplemental environmental
analysis, which was completed in December of 1985. A Finding of No
Significant impact (FONSI) determination covering the EA and the
supplemental analysis has been made by the Department of Energy in
accordance with the Council on Environmental Quality regulations for
implementing the procedural provisions of the National Environmental
Policy Act of 1969 (NEPA), 40 CFR Parts 1500-1508. The EA evaluates the
potential environmental effects of the Criteria. Copies of the EA and
FONSI may be obtained by contacting the LAO Area Manager whose address
appears above.
D. Statutory Basis of the Criteria: These Criteria are based upon the
provisions of the Reclamation Act of 1902, approved June 17, 1902 (ch.
1093, 32 Stat. 388); the Reclamation Project Act of 1939, approved
August 4, 1939 *(43 U.S.C. 485h*(c)); and the Department of Energy
Organization Act of 1977, approved August 4, 1977 *(42 U.S.C. 7152,*
7191); and are more specifically based upon the provisions of the Flood
Control Act of 1944, approved December 22, 1944 (58 Stat. 891); the
Fryingpan-Arkansas Project Acts of 1962 and 1974, approved August 16,
1962 (Pub. L. 87-590, 76 Stat. 389), and October 27, 1974 (Pub. L.
93-493, 88 Stat. 1497); and acts amending or supplementing all of the
foregoing legislation.
II\. Background of the Development of the Criteria
The LAO is responsible for marketing power in a region encompassing
portions of Colorado, Wyoming, Nebraska, and Kansas, which is roughly
equivalent to the Lower Missouri River Basin and the Arkansas River
Basin in Colorado and Kansas. The power resources to be marketed
pursuant to these Criteria are produced by 18 federally owned and
constructed powerplants located in Colorado, Wyoming, and Montana. All
but one of the powerplants were constructed as features of the North
Platte, Shoshone, Riverton, Kendrick, and Colorado-Big Thompson Projects
and the Pick-Sloan Missouri Basin Program (P-SMBP). In the 1950\'s the
first five of these projects were integrated with the power features of
the P-SMBP for marketing purposes. They are sometimes referred to as the
Integrated Projects for this reason. The power features of all six of
these projects are collectively referred to as the Pick-Sloan Missouri
Basin Program-Western Division. the addition of the words \"Western
Division\" to the project name distinguishes these powerplants from
those P-SMBP powerplants whose output is marketed by Western\'s Billings
Area Office in the Eastern Division.
The remaining powerplant, Mt. Elbert, is the principal power feature of
Fry-Ark located in central Colorado.
The development of these Criteria began with the identification of 24
alternative marketing plans, which were presented at a February 18,
1982, public information forum. The LAO held this forum to discuss
potential criteria for the marketing of Federal hydroelectric power
resources. Interested parties were requested to submit written comments
by March 20, 1982, and data on their loads and resources by April 8,
1982. After analyzing the data and considering all public comments, both
written and oral, the LAO began to draft the proposed Criteria. The
Proposed Criteria were published in the Federal Register on August 23,
1983 *(48 FR 38279).* This same publication included an announcement of
public information and public comment forums on the Proposed Criteria
and a final request for Applicant Profile Data. These Applicant Profile
Data were necessary for any applicant to be considered eligible for an
allocation of energy with capacity from P-SMBP-WD and Fry-Ark under the
Proposed Criteria. Interested parties were initially given until
November 15, 1983, to submit this data. The deadline was later extended
to December 30, 1983 *(48 FR 54880,* December 7, 1983). A second public
information forum was held on September 8, 1983. At that forum, the
Proposed Criteria were presented and questions from contractors and
other interested parties were addressed. A public comment forum was held
on October 4, 1983. At this forum, contractors and other interested
parties were invited to state their views on the Proposed Criteria. In
addition to public comments presented at this forum, written comments
were accepted until November 15, 1983.
The Applicant Profile Data and the comments from all meetings and
correspondence have been analyzed. The Criteria for marketing energy
with capacity from P-SMBP-WD and Fry-Ark are published herein. They
supersede the 1962 P-SMBP-WD power marketing plan; the June 23, 1981,
power marketing plan for Fry-Ark; and the August 30, 1982, power
marketing plan for the sale of P-SMBP-WD excess capacity (P-SMBP-WD
Excess).
III\. Summary of Revisions
Certain editorial and format changes have been made to the Proposed
Criteria for the sake of clarity and consistency. Other changes were
made after evaluating all of the comments received. The major revisions
to the Proposed Criteria are:
A. The Term of Contract article has been modified to provide for a
contract term of 15 years, but with provision for Western to adjust
contracted amounts of capacity and energy at the end of 10 years based
on the marketable resource. (See IV.A. for further discussion.)
B. Allocation priorities and eligibility requirements have been
clarified and modified to recognize a third level of priority for
nonpreference entities acting as agents for public entities over other
nonpreference entities. Western\'s Salt Lake City Area Office (SLCAO)
has received an application for an allocation from an investor-owned
utility on behalf of 143 cities, counties, and towns. Western believes
this application does not constitute a situation meriting equal
eligibility with consumer-owned utilities, but the arguments in its
favor persuade Western that such an arrangement is superior to direct
sales to investor-owned utilities and should have priority within the
nonpreference category.
C. Special eligibility requirements for wholesale utilities have been
eliminated in favor of contract provisions applicable to all
contractors. (See IV.B.2.b. for further discussion.)
D. Certain entities who have taken significant and tangible steps to
acquire the means to receive and distribute power within a designated
period of time are now recognized as qualified applicants for Federal
power, provided they meet other applicable requirements as described in
V.B.5.b. of the Criteria.
E. The proposed options to purchase and allocate approximately 308
gigawatthours (GWh) of additional energy and to purchase offpeak energy
required for maintenance of contractors\' pumped-storage energy accounts
have been combined and simplified. Western may purchase energy over and
above the amount of Western\'s firm monthly energy obligation, at the
contractor\'s request and on a passthrough cost basis, up to an amount
associated with the contractor\'s load factor and its firm Federal
capacity entitlement from the LAO. Western will honor individual
contractor energy requests until the LAO system capability to support
such purchases is reached. (See IV.D.2.b. for further discussion.)
F. Modifications were made to certain generation capacity, energy
production capability, and marketable resource quantities contained in
Appendix A. The generation capacity of the P-SMBP-WD and Fry-Ark were
modified to reflect recent changes in the maintenance schedules for
these powerplants by the Bureau of Reclamation (Reclamation).
The annual energy production capability of the Mt. Elbert Powerplant
(table 1, appendix A) has been reduced from 63,751 MWh to 58,247 MWh
based on updated information concerning the energy production capability
of flowthrough water provided by Reclamation. Certain project and
existing special use designations, which the generation capacity and
energy production capability quantities in proposed appendix A were
subject to, have been defined and quantified in the final appendix A.
In table 1 of appendix A, the energy requirements for the P-SMBP-WD
pumps at Lake Granby, Willow Creek, and Flatiron were added to the
available energy of the P-SMBP-WD and subtracted as project use load.
This was done so as to be consistent in the handling of project and
existing special use loads. Reserve requirements have been reduced from
100 MW to 48 MW. (For further discussion of reserves, see IV.D.2.c.)
G. Statements were added to indicate that diversity among capacity
allocations will be retained by Western and that long-term capacity
commitments will be subject to reductions if diversity and losses are
not equal, as assumed.
H. A statement was added indicating that a reasonable opportunity to
discuss contract provisions would be provided prior to Western\'s
contract offer. Allottees will have 6 months to accept the contract
offer or until September 30, 1987, whichever is later.
I. The Criteria now state that the right to receive power pursuant to a
contract would terminate if means to receive and distribute power are
not acquired by September 30, 1988, unless the LAO agrees otherwise in
writing.
J. The marketing area for LAO resources has been modified to include the
Mountain Parks Rural Electric Association (Mountain Parks REA) service
territory, which is located in Colorado, west of the Continental Divide.
Mountain Parks REA is a long-standing firm power contractor for capacity
and energy from the P-SMBP-WD as a member of Tri-State Generation and
Transmission Association, Inc., and the exclusion of this territory in
the Proposed Criteria was an oversight.
Additionally, the southwestern portion of Kansas has been added to the
marketing area. This part of the State was excluded in the Proposed
Criteria. It is currently part of the Fry-Ark marketing area, and
Western believes the integration of the P-SMBP-WD and Fry-Ark resources
in these Criteria indicates the need to combine the marketing areas as
well. Because the marketing area defined in the Proposed Criteria did
not include this section of Kansas, entities in this section were not
afforded an opportunity to submit Applicant Profile Data. We believe it
is appropriate, therefore, to accept Applicant Profile Data from
entities in Kansas who are located west of the eastern borders of the
counties intersected by the 100th Meridian, and south of the Missouri
River Basin until 60 days after publication of the Criteria in the
Federal Register. The deadline for entities in all other portions of the
marketing area to submit Applicant Profile Data was December 30 1983.
K. The statement that purchase costs incurred in meeting Western\'s
energy and capacity commitments would be on a passthrough cost basis for
contractors desiring the service has been modified. Western will
purchase any energy required to meet its monthly obligations based upon
average water conditions (firming energy) and will not pass the cost
through directly to contractors. The rate charged to the contractor for
these purchases will be the firm energy rate. The anticipated costs for
firming energy purchases will be considered when the firm energy rate is
established. Costs incurred by Western in purchasing capacity required
to meet its contractors\' monthly entitlements due to adverse hydrologic
conditions (firming capacity), up to a maximum of 37 MW for any month of
the winter season and 38 MW for any month of the summer season, will
continue to be on a passthrough cost basis for the contractors who
request this service. The maximum monthly capacity purchase each
contractor would be subject to, on a passthrough cost basis, will be
specified in each electric service contract. While passthrough costs
will be incurred as a result of capacity purchase expenses up to the
90-percent probability of exceedence level, purchases up to 99-percent
probability water conditions would be blended into the firm power rate.
L. The statement that capacity entitlements would be limited to the
allottee\'s average seasonal demand for 1980, 1981, and 1982 has been
changed to indicate the limitation will be on the energy allocation
instead of the capacity entitlement. The limitation provision now
indicates that no applicant will receive a seasonal energy allocation
from the LAO that, when combined with its post-1989 firm energy
entitlements from other Federal sources, exceeds its average use for
1980, 1981, and 1982. It also indicates that the historical energy use
figures will be adjusted to include additional energy which the
applicant can demonstrate was not used during that period as a result of
its conservation or energy management efforts. The change was made
necessary by the fact that limiting the capacity entitlement after an
energy allocation had been made resulted, in certain instances, in a
relatively large energy allocation being associated with a relatively
small capacity entitlement. The load factor associated with such an
allocation could be greater than 100 percent. This change is in keeping
with the original intent of the limitation in that it tends to
redistribute any inordinately large allocations that may have been made
in the past. (See IV.G. for further discussion.)
IV\. Public Comment Issues
A. Ten-Year Contract Term
Western proposed to offer resources for sale for a 10-year period
beginning in October 1989 and ending in September 1999.
1\. Comments: a. A 10-year contract term is too short. It should be
extended to 20 years.
b\. A 10-year contract term requires and excessive administrative and
financial expense on the part of Western and its contractors in almost
continual allocation proceedings. The contract term should be at least
20 years even if this means adjustment of allocations after 10 years due
to system hydrology.
2\. Discussion: The proposed term of contract was a subject of comment
by many of the respondents, most of whom urged a term of 20 years or
longer. A few of the respondents proposed the adjustment of amounts of
energy with capacity under contract during the contract period based on
changed hydrologic conditions. This suggestion offers a potential middle
ground, removing the concern Western has about being locked into
contractual commitments not supportable by current hydrology. However,
the concept of adjusting the amounts of energy and capacity under
contract based solely upon \"changed hydrology\" does not give Western
the flexibility to meet potentially changed circumstances other than
hydrology. These include, but are not limited to, possible future
allocations in support of conservation and renewable energy projects or
changing national priorities or economic conditions that would be likely
to occur in a 20-year or longer contract term.
Western recognizes the strong desire of contractors to have as much
certainty as possible about future resources. However, there is no
absolute certainty about the long-term availability of any resource.
Federal power offers some obvious benefits over construction of
additional general generating facilities, principally its reasonable
cost. In addition, Western is willing to obtain firming capacity or
energy in the event the hydroelectric resources are not available when
required.
One of the drawbacks of Federal power is the limited time for which it
is committed.
A 15-year contract term with the provision of Western to adjust
allocations after 10 years provides a reasonable planned commitment.
Since commitments are planned to be made in the early part of 1986 for
the period ending in the latter part of 2004, the know commitment will
actually be for nearly 19 years.
Western is also interested in minimizing administrative procedures which
are costly and will not unnecessarily initiate the development of new
marketing criteria. However, it is equally important that Western
reserve options so that Federal resources in the future can be applied
where they are required to meet changing requirements.
While Western does not now foresee any conditions which might dictate
the need to adopt policies other than those expressed in these Criteria
and in the discussion of Criteria issues, it is prudent that Western
retain the flexibility which will enable it to be responsive to future
changing circumstances. Western, therefore, cannot support a contract
term of 20 years or longer.
3\. Summary and Conclusion: After consideration of the many comments
provided, Western concludes that the most prudent course of action is to
offer a 15-year of contract with provision for adjustment of contract
commitments (due to changes in the marketable resource) at the end of 10
years. Western will provide contractors with a minimum of 3 years\'
notice of any necessary changes and the changes will be made through an
appropriate public process. This compromise will give Western the
flexibility to meet changed circumstances, which may impact the
availability of resources.
B. Applicant Qualifications
In the Proposed Criteria, Western stated that resources would be
allocated in accordance with preference provisions of Reclamation law in
the following order of priority: (1) Preference entities in the market
area; (2) preference entities outside the market area; and (3)
nonpreference entities. To have been eligible for an allocation, a
preference entity must be an electric utility, a Federal or State
ultimate consumer load of a defined type, or an existing LAO contractor
for long-term firm power. For an entity to have been considered as an
existing contractor under the Proposed Criteria, that entity must have
had an executed contract for capacity and/or energy from the P-SMBP-WD
or Fry-Ark generation resources as of July 15, 1984.
The Proposed Criteria also contained special requirements for potential
new contractors and wholesale utilities. Potential new contractors must
have had a 1982 load greater than 100 kilowatts and, except for State or
Federal ultimate consumer type loads, all potential contractors must
take steps no later than April 1, 1986, to achieve utility status by
September 30, 1988. Wholesale utilities were required to satisfy
Western\'s Administrator: (1) That the benefits of federal financed
power are distributed at the lowest possible rates to consumers
consistent with sound business principles; (2) that consumers can
identify their true power supply costs from all sources so that the
costs of growth and the benefits of conservation are identifiable; and
(3) that \"accountability\" for the cost and management of the Federal
investment is directly linked between Western and the retailing utility,
so that retailing utilities can identify cost and other significant
characteristics of each of its power supplies.
1\. Comments:
\-- Criteria for eligibility of wholesale utilities are not clear, are
unfair, unnecessary, and unduly burdensome. The methods that will be
used to apply the criteria are uncertain and these criteria could create
legal and financial problems for some existing contractors.
\-- Objectives that the Administrator would use to evaluate wholesale
utility applications have been accomplished by contract terms.
\-- Conservation and renewable energy criteria should be established for
determining eligibility for an allocation.
\-- Support Conservation and Renewable Energy (C&RE) program and concur
with these provisions as proposed.
\-- Contractors who have executed Fry-Ark or P-SMBP-WD Excess contracts
anytime prior to executing post-1989 contracts should be defined as
existing contractors.
\-- In order to be eligible as an existing contractor, an entity should
be required to have executed Fry-Ark or P-SMBP-WD Excess contracts prior
to July 15, 1984.
\-- In order to be eligible as an existing contractor, an entity should
be required to have executed Fry-Ark or P-SMBP-WD Excess contracts prior
to August 23, 1983.
\-- In order to be eligible as an existing contractor, an entity should
be required to have executed a Fry-Ark contract by October 4, 1983, or a
P-SMBP-WD Excess contract prior to December 1983.
\-- Allocations to existing contractors should not be reduced.
\-- Inclusion of Fry-Ark in the allocation formula reduces the capacity
and energy allocations to existing contractors.
\-- Allocations should not be made to new contractors.
\-- Allocation formula should be the same for new and existing
contractors and allocations should be based on need.
\-- Support allocations to new and existing contractors in proportions
proposed.
\-- Oppose any allocation directly to members of a joint action group.
2\. Discussion: The comments have been grouped for discussion into the
following categories:
a\. Distribution among Qualified Preference Entities;
b\. Special Eligibility Requirements for Wholesale Utilities;
c\. Other Special Eligibility Requirements.
a\. Distribution among Qualified Preference Entities: Western is mindful
of the need to balance the requirements of existing purchasers of
Federal power against the requirements of potential new purchasers.
Existing contractors will, in most cases under the Criteria, experience
a limited reduction in individual allocations. This reduction is a
result of the expansion of the number of qualified existing contractors
who will receive energy allocations and of offering some benefits to
potential new contractors.
The amount of energy available to each potential new contractor is
limited to the energy associated with 5 MW of capacity at the LAO system
plant factor; 7,295 MWh in the winter season and 8,059 MWh in the summer
season. These amounts are probably not sufficient to encourage entities
without distribution systems to acquire a system in order to qualify for
a share of the available Federal power. This limitation is appropriate
because it would be unduly disruptive economically to withdraw large
amounts of Federal power from existing contractors. In addition, since
the commitment of Federal power is for a limited contract period only,
the prospect of acquiring a Federal power allocation today may not be a
prudent basis for making a decision to create a consumer-owned utility.
Amounts available to potential new contractors are intended to provide
some benefit to those preference entities who, for some other reason,
have already initiated actions to acquire utility systems or who already
have utility systems. On the other hand, it would be equally unjust to
completely exclude qualified preference organizations from participating
in the benefits of Federal power simply because the economic
circumstances of past years precluded purchasing Federal power. The
appropriate distribution of power between existing contractors and
potential new contractors is a discretionary decision committed by law
to this agency. Western\'s distribution between these two groups
reflects our best judgment of what is appropriate and fair under the
circumstances.
Western has extended the deadline for execution of P-SMBP-WD Excess or
Fry-Ark contracts in order to be eligible for existing contractor status
under these Criteria. This was considered appropriate because these
contracts were the first offered by the LAO that had no provisions for
delivery of power to load, other than for Colorado River Storage Project
(CRSP) power. Instead, the contracts offered delivery only to specified
points on the P-SMBP-WD transmission system, leaving the transmission to
load as the responsibility of the contractor. Western\'s Administrator
approved the reallocation of Fry-Ark resources on July 31, 1984. Western
believes that it is reasonable to offer additional time for execution of
these contracts in light of the need for the arrangement for delivery of
this power. The Criteria identifies the deadline as 60 days after
publication of the Criteria in the Federal Register, rather than the
previously stated date of July 15, 1984.
b\. Special Eligibility Requirements for Wholesale Utilities: This
proposed requirement was opposed by some wholesale utilities.
Western is committed to promoting the objectives of assuring that the
benefits of federally financed power are distributed as widely as
possible to consumers and that power supply cost information is
available to retailing utilities and retail level consumers. In pursuing
these objectives, Western previously singled out wholesale utilities
because they add another organizational level through which these
objectives must be filtered. The suggestion that requirements should be
the same for retail and wholesale utilities is well taken. The basic
objectives apply to both types of utilities.
The observation that the objectives proposed for use by the
Administrator of Western to evaluate wholesale utility applications are
related to existing contract terms is accurate. The existing resale of
electric energy provision in existing contracts promotes these
objectives, but does not provide for any penalties in the event of
noncompliance. Since the exact requirements of this provision have been
questioned in the past, a detailed discussion of it is warranted.
The existing resale of electric energy provision requires the Federal
power contractor to take five steps to encourage the widespread use of
low-cost Federal power.
First, the contractor contractually agrees to make the benefits of
Federal power available at fair and reasonable terms to all of its
customers at the lowest possible rates consistent with sound business
principles. Second, the contractor agrees to maintain books of account
in accordance with the system of accounts prescribed for public
utilities and licensees by the Federal Energy Regulatory Commission.
Third, the contractor agrees to provide Western with copies of its
schedules of retail rates. Fourth, the contractor agrees to submit to
Western as annual statement indicating, among other things, that the
charges to contractors are consistent with the principles set forth in
the first subsection of the resale provision. Firth, the contractor
agrees either to publish operating and financial data annually in a
newspaper of general circulation in the member\'s electrical service
area, or to furnish such information by mailing copies of the data to
each of its electrical customers.
The underlying philosophy of the existing resale provision is set forth
in section 5 of the Flood Control Act of 1944 *(16 U.S.C. 825s).* This
philosophy requires the passing on of the benefits of low-cost Federal
power to consumers, under fair and reasonable terms, at the lowest
possible rates consistent with sound business principles. This concept
is related to the preference clause, but goes beyond the establishment
of preference to public bodies and cooperatives. This principle allows
Western to verify that the ultimate consumer is receiving the benefits
of low-cost Federal power.
Western believes there is merit in comments made by wholesale utilities
objecting to the use of the resale of electric energy provisions as a
criterion for allocation. Since the objectives of the resale provision
can be accomplished through appropriate contractual language, Western
has eliminated the special eligibility requirements for wholesale
utilities as a criterion for allocation prior to the signing of a
contract. Rather, Western will develop contractual provisions to be used
with both wholesale and retail utilities to achieve the goals of
ensuring that the benefits of Federal power are passed on to consumers
and informing consumers of the source and cost of various components of
their power supply. While the existing principles contained in the
resale contractual article will be part of this new language, emphasis
will be placed on providing information to the power consumer in
accordance with flexible but objectively defined standards.
Noncompliance with the contractual provision may result in a penalty of
the loss of all or a part of the contractor\'s energy allocation and
associated capacity.
As a result of the deletion of the resale provision as a criterion for
allocation to wholesale entities, Western has deleted the provision in
the Criteria that provided for allocation directly to the members of a
wholesale entity in the event the wholesale entity were to be
disqualified for an allocation. As a matter of general policy, however,
Western expects the benefits of Federal power will be distributed
proportionally by a wholesale entity to each of its preference members
who are located within the marketing area of the resource being
distributed.
c\. Other Special Eligibility Requirements: Western received several
comments about adopting eligibility requirements which might more
effectively encourage conservation and the development of renewable
energy resources. It was suggested that Federal hydropower be sold to
those preference entities that develop the best Conservation and
Renewable Energy programs. Under this approach, conservation would
become an eligibility criterion rather than a goal to be encouraged
after an allocation is made and a contract signed.
Western fully supports the need to utilize energy efficiently and the
importance of encouraging cost-effective and meaningful conservation
efforts, as well as the development of alternative methods for the
generation of power. However, Western believes that its C&RE program is
effective in attaining national, regional, and agency conservation
goals. In the absence of an acceptable program, the contractual penalty
provision of a potential reduction in the amount of power sold to a
contractor offers an adequate incentive to develop C&RE programs of
particular relevance to each contractor and its consumers.
Western also believes that Congress has endorsed this approach in
encouraging C&RE efforts through contractual provision, as opposed to
making conservation an allocation criterion. In the course of debate on
the floor of the House of Representatives on the Hoover Power Plant Act
of 1984, a conservation amendment was offered by Representative Udall of
Arizona. 130 Cong. Rec. H3336-37 (May 3, 1984). That conservation
amendment, which applied to all power sold by Western, adopted the
approach of striving for conservation goals through contractual
provisions with a power allottee with reductions if predefined goals are
not realized. The amendment was approved by Congress and became Title II
of the Hoover Power Plant Act of 1984. Given the congressional passage
of affirmative legislation which requires accomplishing conservation
through contractual provisions, Western believes that it is
inappropriate to modify long-standing allocation practices by making
conservation the overriding factor in allocating all Federal power
resources. (See IV.H. for further discussion of C&RE.)
3\. Summary and Conclusion: Some commenters pointed out the lack of
clarity in defining eligibility requirements for receiving an allocation
of long-term firm resources. Western recognizes the need for further
clarification. The applicant qualifications have been revised to include
the following:
a\. Each potential applicant must have submitted substantially complete
Applicant Profile Data to the LAO on or before December 30, 1983. The
only exceptions to this deadline being those potential applicants in the
southwest portion of Kansas, who must submit substantially complete
Applicant Profile Data by April 1, 1986.
b\. Each potential applicant must have had a 1982 load greater than 100
kilowatts.
c\. Each potential applicant must be an existing contractor for LAO
long-term firm power or, by April 1, 1986, must:
\(1\) Be a utility, primarily engaged in retail or wholesale sales of
electricity, with power supply responsibility for the load to be served;
or
\(2\) Be a Federal or State ultimate consumer type load, including such
loads of State agencies whose use of power enhances the available
Federal power resource; or
\(3\) Have taken significant and tangible steps to acquire the means to
distribute power by September 30, 1988, or have taken initial steps to
acquire the means to distribute power by that date and have requested an
extension of time for taking significant and tangible steps.
Contractors must have the means to receive and distribute power by
September 30, 1988, in order to avoid termination of a contract right to
receive power unless the LAO specifically agrees otherwise in writing
prior to this date.
In response to the potential hardships of requiring wholesale utilities,
for the purpose of qualifying for an allocation, to verify their
compliance with the proposed special eligibility requirements for
wholesale utilities which identified several specific objectives
(selling Federal power at the lowest possible rates to consumers
consistent with sound business principles, assuring that consumers can
identify true power costs from all sources and assuring that retailing
utilities have provided detailed power supply information), Western will
depend instead upon contract provisions to accomplish these objectives.
The Criteria have been revised to indicate that the contracts will
contain a resale of electric energy provision requiring purchasers of
Federal power to demonstrate that:
\(1\) The benefits of Federal power are distributed to its customers at
the lowest possible rates consistent with sound business principles.
\(2\) Consumers can identify the costs of Federal power and non-Federal
power.
When the contractor consists of members or principals who are retail
distributors of Federal power, these retail distributors as well as the
parent organization will be directly accountable to Western for
complying with these requirements. One of the ways these requirements
may be satisfied by the contractor and its members or principals is to
furnish to customers, on a seasonal basis, a breakdown of the amounts
and costs of Federal power and non-Federal power and of the magnitude
and type of other costs which constitute the composite costs charged to
the customer. Failure to comply with this provision may result in the
loss of all or a part of the resources committed to the contractor.
Finally, because of Western\'s view that there has been congressional
support for the approach taken in its existing C&RE program, these
Criteria continue to reflect the approach of encouraging conservation
efforts through contractual provisions as opposed to making conservation
a criterion for allocation.
C. LAO Project Integration
The Criteria reflect the consolidation of the P-SMBP-WD with the Fry-Ark
Project to increase the firm marketable resources, simplify contract
development and administration, and establish a blended rate for LAO
power. Repayment requirements would continue to be determined
separately.
1\. Comments:
\-- Oppose operational integration. The resulting blended rate will
penalize existing P-SMBP-WD contractors who have not elected to purchase
Fry-Ark pumped storage capacity.
\-- Blended rate is contrary to statutory restrictions, and the
resulting reduction in rates to Fry-Ark contractors encourages
consumption rather than conservation with subsequent adverse impact on
the environment.
\-- Support operational integration and blended rate because it achieves
the widest practicable and beneficial use of available resources and
assures long-term sources of revenue to repay all projects.
\-- Oppose operational integration and blended rate because of the
difficulty in determining who actually uses the power from Fry-Ark. This
power will no longer be cost-based, and this will confuse Fry-Ark\'s
repayment status.
2\. Discussion: Western does not agree that a blended rate among
projects will encourage consumption. The principal purchasers of LAO
power draw on a variety of other resources to meet their power needs.
Because the rate paid by the end-user is a blend of these various
wholesale rates, the impact of the proposed rate change will be greatly
reduced by the time the end user receives the blended product. Moreover,
the marginal prices paid by the LAO\'s contractors for new resources to
meet load growth promotes conservation over consumption.
The conservation provision, which will be incorporated into Western\'s
electric service contracts, further encourages efficient consumption.
Furthermore, Western\'s environmental analysis indicates that the
proposed integration and blended rate will have no significant impact on
the environment.
Western sees no legal obstacles to the integration of the resources as
reflected in these Criteria with the power marketed at a uniform,
blended rate. No provision in Reclamation law prohibits such an
integration. In fact, rates for two Western projects have been
administratively integrated with smaller Federal power resources in the
past.
The integration of the Colorado-Big Thompson, Kendrick, North Platte,
and Shoshone Projects into the power repayment study for the P-SMBP-WD
is one example. The integration of the Pacific Northwest-Pacific
Southwest intertie into the Central Valley Project repayment study is a
second instance where administrative integration took place. Under
Reclamation law, the Secretary of the Department of Energy has the
authority to perform \"any and all acts\" for the purpose of putting his
statutory responsibilities into full force and effect *(43 U.S.C. 485i;*
*43 U.S.C. 373).* In Western\'s judgment, this flexibility includes the
ability to integrate projects and to charge a uniform rate for the
resulting power.
Western also does not agree that operational integration and a blended
rate, as reflected in these Criteria, will cause difficulty in
determining who is using power from Fry-Ark and that Fry-Ark will no
longer be cost based, thereby confusing its repayment status. Under
these Criteria, firm resources from Fry-Ark will be proportionally
allocated to all firm power contractors. Therefore, there will be no
need to differentiate between the firm energy with capacity allocated
from the two projects. The blended rate will be determined by the
individual power repayment studies (PRS) and revenues from the
integrated projects will be divided between the projects in the
proportions dictated by these individual PRS. Since these PRS are based
on project costs, the blended rate and revenues provided for repayment
will be cost based. Part of the administrative cost benefits associated
with integration of the projects is reflected in the fact that there is
no longer a need for differentiating between the firm power from the two
projects. There will no longer be a need to account for interchanges
between the projects as capacity and energy sales from one project to
the other. Integration will therefore simplify the need for determining
who uses firm power from Fry-Ark. The requirement for contractors to
submit hourly schedules 24 hours in advance for the use of the
pumped-storage energy features of Fry-Ark will make accounting for this
use manageable.
Integration of the projects will assure repayment of project costs. The
slight additional cost to current P-SMBP-WD contractors under an
integrated marketing approach is reasonable considering the efficiencies
and additional power to be gained.
3\. Summary and Conclusion: Western concludes that operational
integration of the LAO resources and the blended rate achieves the
widest practical and most beneficial use of the available resource and
assures long-term sources of revenue to repay all projects. Western
believes that these benefits outweigh the opposition to integrating the
resource as proposed.
D. Derivation of marketable resources
Western proposed on August 23, 1983, that capacity available from the
LAO projects would be based on the maximum operating capacity of Fry-Ark
and on the capacity of the P-SMBP-WD powerplants based on a 90-percent
probability level. Energy would be based on forecasts of average
hydrologic conditions. Western proposed to purchase firming capacity and
energy on a passthrough cost basis and to allocate approximately 308 GWh
of purchased energy.
1\. Comments:
\-- Support opinion to purchase energy to increase the load factor of
the available resource.
\-- Oppose purchase energy option. Suggest purchasing energy only for
those contractors who request it.
\-- Western should base its reserve requirements on its share of the
projected Inland Power Pool (IPP) total reserve obligation and market
the resulting additional capacity.
\-- The combined total reserve of 200 MW for the Loveland Area and Salt
Lake City Area could be reduced by 50 MW if the operations of the two
Areas were integrated.
\-- Western should use a hydrologic probability lower than 90 percent.
This would increase available capacity by 15 to 20 MW.
\-- Opposes marketing maximum amounts of capacity and energy because
that may affect the environment. Maximum amounts are reduced only in 1
month to reflect adverse hydrologic conditions.
2\. Discussion: These comments have been grouped for discussion into the
following categories:
a\. Hydrology Studies
b\. Purchases
c\. Reserves
a\. Hydrology Studies: The proposed Criteria indicated that the
generation capacity of the P-SMBP-WD would be marketed based upon a
90-percent probability level (i.e., 10-percent risk each year of having
insufficient capacity available). The formula used, however, for
determining the marketable capacity of the integrated resources defined
marketable capacity as the lesser of the maximum available capacity
minus reserves, or the capacity at the 90-percent probability level.
After reviewing the comments and reevaluating this position, Western has
determined that this method resulted in a higher risk of not being able
to meet its contractors\' monthly entitlements than was intended under
the 90-percent probability level scenario. Western has therefore
modified appendix A. Marketable capacity is now determined by
subtracting reserves, project use, and existing special use loads from
the capacity determined to be available using 90-percent hydrologic
probability. A column was added to the capacity table in appendix A to
indicate the magnitude of the project use and existing special use
loads. The values for the monthly 90-percent hydrologic probability
quantities now include reductions for scheduled maintenance.
Western was influenced by a number of factors in adopting the use of a
90-percent hydrologic probability as a basis for determination of
marketable capacity. Recognition of the need to provide existing
contractors a resource as similar as possible to their current supply
and the need to offer new contractors an opportunity to participate in
the post-1989 allocation induced Western to depart from the historic
policy of using \"most adverse\" as marketable capacity.
The 90-.percent probability level represents a statistical application
for P-SMBP-WD only. Fry-Ark is included at maximum operating capacity
because of the pumped-storage nature of this resource.
When the 10-percent risk condition of being short of capacity occurs
and/or hydroelectric energy is in short supply because a less than
average water year has occurred, thermal resources are often called upon
to meet the loads normally served from hydrogeneration. This reduces the
availability of thermal generation and could increase its cost. If poor
hydrologic conditions are experienced in adjoining river basins, the
situation is worsened as far as the costs related to the risks are
concerned. When other utilities in the area are also experiencing heavy
demand and competing for any remaining resources the possibility of
capacity not being available at any price must also be considered in
determining the marketable resource. For this reason, Western concluded
that it would not be prudent to offer marketable capacity with a higher
risk of unavailability than 10 percent.
b\. Purchases: The proposed option to purchase and allocate
approximately 308 GWh of additional energy received wide support from
commenters, although some contractors voiced concern over the impact it
could have on the rates of those contractors who might not want or need
this additional allocated energy. They suggested that additional energy
be purchased and paid for by only those contractors who requested such
service. These comments are well taken and the Criteria has been
modified to reflect the fact that the purchase energy option has been
adopted in a modified form reflecting the comments received.
Western is not persuaded by comments that question the legal authority
to purchase capacity and energy supplemental to the Federal resource.
Power marketing administrations have inherent authority to purchase
capacity and/or energy reasonably incidental to the integrated marketing
of power from a hydroelectric project. *Kansas City Power and Light
Company v. McKay, 115 F. Supp. 402 (D.D.C. 1953),* judgment vacated for
lack of standing to sue, *225 F.2d 924* (D.C. Cir.), cert. denied, *350
U.S. 884 (1955).* The past practice had been to sell hydroelectric
energy based upon average water conditions. For many years, the United
States has purchased energy to firm up commitments under electric
service contracts. In fact, the practice of maximizing the amount of
power to be sold at firm power rates is statutorily required for the
Colorado River Storage Project. *43 U.S.C. 620f.* The final criteria
constitute a reasonable extension of these same historical purchase
principles. Western believes that full legal authority exists to market
capacity which is available 90 percent of the time and energy which is
available much of the time.
c\. Reserves: Western is a participant in the IPP and a member of the
Western System Coordinating Council (WSCC). The requirements of the IPP
are identified in the revised IPP Agreement dated November 23, 1983, and
the WSCC criteria contain prescribed reserve requirements. The revised
IPP Agreement states that IPP reserve requirements will always meet or
exceed WSCC requirements. The IPP reserve requirements are currently
about 30 MW. IPP reserve requirements are subject to change depending on
the largest single hazard in the pool and on the size of the membership.
Since the members of the pool have the latitude to withdraw their
membership under certain conditions, Western has determined it to be
prudent to establish its reserve requirement in the post-1989 period
based on IPP requirements and on the assumption that Western\'s Salt
Lake City, Loveland, and Boulder City Area Offices would be the only
remaining members of the pool. Under this approach, the Loveland Area
Office\'s reserve requirement would be 48 MW.
3\. Summary and Conclusion: In response to comments received, Western
will purchase energy over and above the amount of Western\'s firm
monthly energy obligation, at the contractor\'s request and on a
passthrough cost basis, up to an amount associated with the
contractor\'s capacity entitlement at the contractor\'s load factor,
until the limit of the LAO system to support such purchases is reached.
This procedure will remove this purchased energy from the allocation
process, allow the contractor to use the energy in ways it deems
appropriate under contractual restrictions, including use as pump-back
energy, and allow the contractor to decide on the amount of energy
required.
Western is interested in marketing the maximum amount of capacity it can
without assuming a level of risk that could be harmful to either Western
or its contractors. After weighing the various probability levels,
Western concludes that the use of the 90 percent probability as a basis
for determining marketable capacity is appropriate. The use of average
hydrology is considered a reasonable basis for determining marketable
energy.
After carefully considering the various needs and requirements relative
to reserves, Western has provided for a reserve level of 48 MW for the
LAO. This will meet the WSCC and IPP requirements and should give
Western sufficient flexibility throughout the contract term to maintain
adequate reserves.
E. Classes of Service
Western will offer long-term firm energy with capacity, short-term firm
capacity with or without energy, or with the return of energy, and other
services such as providing pumped-storage energy, sales of surplus
energy, delivering or receiving interchange, emergency assistance,
maintenance service, and transmission service.
1\. Comment: Short-term power should be used in the resource
coordination program only after it is offered for sale to preference
contractors.
2\. Discussion: In the past, when Western determined that short-term
firm capacity with or without energy was available for sale, such
resources were offered to preference contractors first. Under these
Criteria, such resources will be marketed in accordance with the same
allocation priorities as any other \"available resource.\"
3\. Summary and Conclusion: Western will market short-term capacity with
or without energy, or with the return of energy in accordance with
priorities presented in V.B.5.a. of the Criteria.
F. Reallocation
The LAO\'s Proposed Criteria indicated in Part III.C. \"Reallocations,\"
that:
Long-term firm energy with associated capacity available for marketing
because an allocation(s) has been reduced or withdrawn may be
administratively reallocated by Western\'s Administrator without further
public process.
1\. Comments: Request a statement be included to define how
reallocations will be made. Suggest reallocations be distributed on a
pro-rata basis to the allottees found eligible during the initial
application of this Criteria.
2\. Discussion: Western believes that reallocating on a pro-rata basis
to those entities who were found to be eligible under initial
application of these Criteria is one appropriate way of redistributing
energy or capacity made available because an allocation has been reduced
or rescinded. Although this is the method that will be used in most
cases, flexibility of the Criteria would be lost if such a statement
were included. For instance, if a municipal contractor were to fail to
sign an offered contract that contained a relatively small allocation,
it would not be prudent to expend the resources that would be required
to redistribute such a small amount of energy on a pro-rata basis to all
initially eligible contractors. Such a redistribution could be
administratively burdensome.
3\. Summary and Conclusion: Western intends to make reallocations,
whenever possible, on a pro-rata basis to applicants who were found to
be eligible for an allocation of power under initial application of
these Criteria. We have, however, retained the original language in the
reallocations section which states that reallocations may be made by the
Administrator of Western without further public process. This was done
in order to retain flexibility to cover situations such as the one
discussed as well as any unforeseen situations that may arise.
G. Limitation of Allocations
Western has proposed a capacity allocation limitation from combined
Federal sources based on the average of 1980 through 1982 average peak
demands.
1\. Comment: Limitation should be based on 1989 loads. Some contractors
have been purchasing peaking capacity that has not yet been fully
utilized.
2\. Discussion: The purpose of the proposed limitation is to ensure fair
and equitable distribution of Federal resources. Since final allocations
are planned to be prepared in 1986, 1989 loads would be projected
figures. Western feels that the variety of forecasting techniques and
the inherent uncertainty of forecasting in general would insert an
unacceptable measure of uncertainty into the allocation process. The
only disadvantage in the proposed limitation would be to entities that
have experienced faster growth than the average applicant in the years
since 1980. Administrative delays in the finalization of the Criteria
have forced this limitation to be based on data that is more historic
than was originally anticipated, but Western feels that requesting
updated Applicant Profile Data would be unduly burdensome to Western and
the applicants for post-1989 Federal resources. Western has, however,
become aware that this restriction may be unfair to some applicants
whose 1980 through 1982 loads were reduced through conservation or load
management efforts. The Criteria have been modified to account for such
reductions. Applicants for power who have experienced historical load
reductions due to C&RE efforts are encouraged to substantiate such a
reduction as part of the application for energy. In recognition of the
fact that energy is the commodity being allocated pursuant to these
criteria, the capacity limitation has been changed to an energy
limitation.
3\. Summary and Conclusion: To ensure equitable distribution of Federal
resources, Western believes the most prudent course of action is to
retain the limitation, modified as indicated in the discussion in
section III.L. and as follows:
No applicant will receive a seasonal allocation of energy from Western
that, when combined with its total post-1989 Federal firm energy
entitlements from all Federal sources, exceeds its average seasonal
total energy use for 1980, 1981, and 1982. The average seasonal total
energy use for 1980, 1981, and 1982 will be adjusted to include
additional energy which the applicant can demonstrate was not used
during that period as a result of its conservation or energy management
efforts.
H. Shaping and Storage for Renewable Energy Resources
Western currently supports renewable energy projects by contractually
allowing integration of these resources into the LAO power system.
1\. Comment: Western should actively pursue the means to effectively
integrate renewable resources that may be seasonal in nature into the
Criteria.
2\. Discussion: Western supports the need to develop cost-effective
renewable energy resources. Support of this activity through Criteria
provisions would require that a capacity reservation be set aside for
this use. This capacity reservation would be deducted from the total
available resource and would result in a reduction in the allocations to
all preference contractors. Western is considering the institution of a
program of this type in the Salt Lake City Area, in which approximately
30 MW may be allocated to entities who have exemplary conservation
programs or who participate in renewable energy projects which meet
specific criteria. Western believes, however, that a program of this
type is premature in the Loveland Area due to the limited availability
or resources in this Area.
3\. Summary and Conclusion: Western believes its most prudent course of
action in the Loveland area, for the period 1989 to 2004, is to allocate
the available resource without a reservation for promotion of C&RE
projects and to continue to support conservation and renewable energy
projects that provide an economic resource to Western and its
contractors through separate agreements. This will permit Western to
support these projects on a case-by-case basis.
V. Post-1989 General Power Marketing and Allocation Criteria
A. General:
1\. Applicability: These Post-1989 General Power Marketing and
Allocation Criteria (Criteria) of the Western Area Power
Administration\'s (Western) Loveland Area Office (LAO) are established
in accordance with the provisions of the Reclamation Project Act of
1902, approved June 17, 1902 (ch. 1093, 32 Stat. 388); the Reclamation
Act of 1939, approved August 4, 1939 *(43 U.S.C. 485h*(c)); and the
Department of Energy Organization Act of 1977, approved August 4, 1977
*(42 U.S.C. 7152),* 7191); and are more specifically based upon the
provisions of the Flood Control Act of 1944, approved December 22, 1944
(58 Stat. 891); the Fryingpan-Arkansas Project Acts of 1962 and 1974,
approved August 16, 1962 (Pub. L. 87-590 76 Stat. 389), and October 27,
1974 (Pub. L. 93-493 88 Stat. 1497); and acts amending or supplementing
all of the foregoing legislation.
These Criteria shall become effective on the first day of the October
1989 billing period and will apply to all power marketed by Western\'s
LAO other than power from the Colorado River Storage Project (CRSP).
Contract arrangements existing on the effective date of these criteria
will only be affected upon amendment by the parties. These Criteria will
supersede the 1962 Pick-Sloan Missouri Basin Program-Western Division
(P-SMBP-WD) power marketing plan, the Fryingpan-Arkansas Project
(Fry-Ark) power marketing plan for the sale of power from the Mt. Elbert
Pumped-Storage Powerplant of Fry-Ark effective June 23, 1981, and the
power marketing plan for the sale of excess capacity in the P-SMBP-WD
effective August 30, 1992. These criteria are subject to change upon
reasonable notice by the Administrator of Western and the opportunity
for comment by interested parties.
2\. Marketable resources: a. PO-SMBP-WD Resources: The LAOP markets
power penetrated at 17 P-SMBP-WD powerplants situated in Colorado,
Wyoming, and Montana. The energy production and generation capacity
capability of these resources are:
[Winter]{.underline} [Summer]{.underline}
Energy (MWh) [1]{.underline}/ 1,022,100 1,254,400
Capacity (MW) [2]{.underline}/ 484.0 557.0
[1/]{.underline} At plant annual energy production based on average year
water, from table 1, appendix A.
[2/]{.underline} Generation capacity based on 90-percent hydrologic
probability, from table 2, appendix A.
b\. Fry-Ark Resources: The Mt. Elbert Powerplant, with two 100-MW
reversible pump/turbines, comprises the power feature of Fry-Ark. The
energy production and generation capacity capability of these units are:
[Winter]{.underline} [Summer]{.underline}
Energy (MWh) [1]{.underline}/ 33,478 24,769
Pumped Storage Energy (MWh) [2]{.underline}/ 2,800 2,800
Capacity (MW) [3]{.underline}/ 200 200
[1]{.underline}/ At plant annual energy production of flowthrough water
from table 1, appendix A.
[2]{.underline}/ Energy available each time the reservoir is refilled.
Return energy of 3,920 MWh is required to refill the reservoir.
[3]{.underline}/ Maximum available capacity from table 2, appendix A
c\. Operationally Integrated Resources: More effective utilization of
the resources of the P-SMBP-WD and Fry-Ark will be achieved by
continuing the operational integration of the two projects.
The marketable resources available annually at load by operationally
integrating the projects are found in table 3 of appendix A, and are
summarized below:
[Winter]{.underline} [Summer]{.underline}
Energy Production (MWh) 932,541 1,155,300
Generation Capacity (MW) 638.5 716.5
The P-SMBP-WD energy production and generation capacity capabilities are
subject to completion of the Shoshone Project modifications, water from
the Windy Gap Project, as well as various upgrades scheduled for
completion before 1989. Should Congress authorize any future P-SMBP-WD
irrigation projects requiring pumping power, such power will be
purchased until a new marketing plan is developed.
In addition to the marketable resources to be allocated under these
Criteria, Western will offer the pumped-storage energy feature of
Fry-Ark to its contractors under the following conditions:
At the beginning of the contract period for contracts executed pursuant
to these Criteria, each contractor will be deemed to have 4.4 kWh/kW of
their seasonal capacity entitlements for the winter season and 3.9
kWh/kW of their seasonal capacity entitlement for the summer season as
pumped-storage energy in an energy account. Each contractor may schedule
energy into and out of its energy account by mutually agreed upon hourly
schedules which must be submitted to Western 24 hours in advance. The
energy account may never exceed the initial value and the account must
be restored to these initial levels at the end of each season. Energy
may be scheduled out of the energy account only when there is a positive
balance in the account. The combined rates of delivery of the
pumped-storage energy and the firm energy scheduled from combined LAO
sources may never exceed the contractor\'s monthly capacity entitlement.
For every kWh scheduled out of the energy account, 1.4 kWh must be
scheduled into the account. Energy will normally be scheduled into the
energy account during offpeak hour, which, for pump-back purposes, are
initially defined as the hours between 2200 hours on any day to 0800
hours of the next succeeding day. These hours are subject to change
should operating experience indicate that such a change is necessary.
Contractors, may schedule energy into the energy account at times other
than offpeak hours when special circumstances warrant, subject to
Western\'s approval. For contractors that are not directly
interconnected with Western\'s transmission system at Malta Substation,
losses and wheeling over the Public Service Company of Colorado system
will be assessed on schedules into and out of pumped-storage energy
accounts. The rate of energy scheduled into the energy account during
any season may not exceed 1.4 times the contractor\'s capacity
entitlement for that season unless the LAO grants prior written
permission for a contractor to do so.
d\. Future Resources: New or revised marketing criteria will be
developed as necessary when future power resources are available and
offered for sale.
B. Marketing Considerations
1\. Market Area: The market area for power from the LAO is described as
the portion of the State of Wyoming east of the Continental Divide, the
portion of the State of Colorado east of the Continental Divide,
Mountain Parks REA\'s service territory in Colorado west of the
Continental Divide, the portion of the State of Nebraska west of the
101st Meridian, the portion of the State of Kansas located in the
Missouri River Basin, and the portion of the State of Kansas west of the
eastern borders of the counties intersected by the 100th Meridian. These
marketing area boundaries are approximated on the map in appendix B.
2\. Service Seasons: a. Winter Season: The winter season is defined as
the 6-month period from the first day of the October billing period of
any calendar year through the last day of the March billing period of
the next succeeding calendar year.
b\. Summer Season: The summer season is defined as the 6-month period
from the first day of the April billing period of any calendar year
through the last day of the September billing period of the same
calendar year.
3\. Classes of Service: The classes of service to be offered by the LAO
are based upon operational integration of the P-SMBP-WD and the Fry-Ark
resources.
a\. Long-Term Firm Energy With Capacity: The LAO will offer firm energy
commitments based on average hydrologic conditions. Any energy in excess
of that available which is required by the LAO to meet its firm energy
commitments under these Criteria, would be purchased by Western. The
rate charged to the contractor for these purchases will be the firm
energy rate. The anticipated costs for firming energy purchases will be
considered when the firm energy rate is established.
Generation capacity offered by the LAO will be based upon the installed
capacity of Fry-Ark and upon the 90-percent probability level of the
powerplants of the P-SMBP-WD. A portion of any generation capacity which
may be required by the LAO to meet its monthly obligations, due to
unfavorable hydrologic conditions, would be purchased by Western\'s
contractors or by Western on a passthrough cost basis upon the
contractor\'s request. The portion of these purchases that would be
subject to passthrough costs is that portion between the 99-percent and
the 90-percent probability level, which amounts to a maximum purchase
risk to all contractors, collectively, of 37 MW for the worst case month
of the winter season and 38 MW for the worst case month in the summer
season. Any costs associated with required capacity purchases up to a
99-percent probability level will be incorporated into the rate base for
the LAO blended rate. The maximum purchase for each month that every
contractor would be subject to on a passthrough cost basis will be
specified in each electric service contract.
Western may utilize the pumped-storage feature of Fry-Ark during onpeak
hours to firm its long-term firm energy with capacity commitments.
Offpeak energy purchasers will be required to replenish any water used
during these onpeak hours. The costs for these purchasers will be
incorporated into the LAO blended rate base.
Table 3 of appendix A shows the seasonal energy production and
generation capacity to be allocated with the long-term firm energy with
capacity class of service.
b\. Short-Term Firm Energy and/or Capacity: To the extent that project
and existing special uses, as estimated in appendix A, have not
developed and/or annual stream-flow conditions and reservoir operations
result in the production of greater amounts of power than is committed
on a long-term basis, short-term firm energy and/or capacity may be
offered for sale on a monthly or seasonal basis. Such offers will be for
firm energy with or without capacity, capacity with the return of
energy, or capacity without energy. These resources may be integrated
with the resources of other entities.
c\. Other Services: In addition to marketing these classes of service,
the LAO will engage in other transactions, such as providing
pumped-storage energy as described in V.A.2.b. and c., sales of surplus
energy, delivering or receiving interchange, emergency assistance,
maintenance service, and/or regulation services to the extent that
resources permit.
Western will purchase energy over and above the amount of Western\'s
firm monthly energy obligation, at the contractor\'s request and on a
passthrough cost basis, up to an amount associated with the
contractor\'s monthly Federal capacity entitlement at the contractor\'s
load factor. Western will honor individual contractor energy purchase
requests until the LAO hydroelectric system capability to support such
purchasers is reached.
In order to conserve fossil fuels, enhance the environment, and/or
ensure the availability to preference contractors of contracted amounts
of energy and capacity, Western may purchase or exchange energy and/or
capacity, as necessary or desirable to supplement its resources. Nonfirm
energy service may be available as a result of these purchases or
exchanges. To the extent that transmission capacity is determined to be
available, the LAO will provide firm and nonfirm transmission service.
4\. Derivation of Marketable Resources: Capacity available from LAO
resources will be based on the installed capacity of Fry-Ark along with
the capacity of the P-SMBP-WD powerplants based on 90-percent hydrologic
probability. Energy available for load will be based on average
hydrologic conditions. Energy with associated capacity will be reserved
for certain project use and existing special use requirements.
The derivation of the marketable resources for LAO, the availability of
these resources by seasons, and identification of project use and
existing special use loads is contained in appendix A.
5\. Allocation Priorities: a. Available resources will be allocated in
accordance with these Criteria and the preference provisions of Federal
law in the following order of priority:
\(1\) Preference entities within the LAO market area.
\(2\) Preference entities outside the LAO market area.
\(3\) Nonpreference entities acting as agents for public entities
without distribution systems.
\(4\) Nonpreference entities acting on their own behalf.
These priorities may be recognized within pricing blocks for nonfirm
energy.
b\. Applicant Qualifications: The following requirements must be met in
order to be eligible for an allocation of long-term LAO resources:
\(1\) Each potential applicant must have submitted substantially
complete Applicant Profile Data to the LAO on or before December 30,
1983. The only exceptions to this deadline are those potential
applicants in the southwest portion of Kansas, who must submit
substantially complete Applicant Profile Data by April 1, 1986.
\(2\) Each potential new contractor must have had a 1982 load greater
than 100 kW.
\(3\) Each potential applicant must be an existing LAO contractor for
long-term firm power or, by April 1, 1986, must:
\(a\) Be a utility, primarily engaged in the retail or wholesale sale of
electricity, with responsibility for the load being served; or
\(b\) Be a Federal or State agency with an ultimate consumer type load,
including such loads of State agencies whose use of power enhances the
available Federal power resource; or
\(c\) Have provided evidence to the LAO that significant and tangible
steps to acquire the means to distribute power by September 30, 1988,
have been taken, or provided evidence that initial steps to acquire the
means to distribute power by that date have been taken and the
contractor has requested an extension of time for taking significant and
tangible steps.
Significant and tangible steps toward becoming a utility would include
one, or some combination, of the following:
\(i\) Evidence of a financial commitment to purchase or construct a
transmission system to distribute power;
\(ii\) Evidence of negotiations with a utility regarding distribution
system acquisition;
\(iii\) Action before a public service or public utility commission to
acquire a distribution system;
\(iv\) Initiation of condemnation proceedings; and/or
\(v\) Construction of a distribution system.
C. Allocation of Marketable Resources
1\. Basis of Allocation: To ensure widespread distribution of the
benefit of Federal power, the LAO will divide its net resources into two
parts representing a reservation for new contractors and a reservation
for existing contractors. Existing contractors are defined as those
eligible applicants in the market area described in V.B.1. who have a
contract for long-term firm capacity and/or energy from the P-SMBP-WD or
Fry-Ark generation resources as of April 1, 1986. The reservations for
each group are detailed in table 3 of appendix A. The portion of total
seasonal resources to be reserved is based upon the ratio of energy
currently available to existing contractors and the total energy
available for allocation: 1,918,247/2,087,841 MWh. Each contractor\'s
monthly capacity entitlement will be a percentage of the seasonal
capacity entitlement. These percentages are shown in appendix A, table
2, column (7).
a\. Allocation Criteria for New Contractors: The seasonal energy
reserved for new contractors, table 3 of appendix A, will be allocated
according to the proportion each new contractor\'s average energy
consumption in 1980, 1981, and 1982 bears to the total of all new
contractors\' average energy consumption in the same period.
Eligible applicants may request capacity with allocated energy based
upon its individual system characteristics. If there is insufficient
capacity in the reservation for this group to satisfy all of the
capacity requests, the LAO may limit the capacity entitlement, but not
below the capacity associated with the plant factors of the resources
reserved for this group: 33.4 percent in the winter season and 36.7
percent in the summer season.
New contractors may not receive a seasonal allocation of energy greater
than the energy associated with 5 MW of capacity at the seasonal plant
factors specified above: 7,295 MWh in the winter season and 8,059 MWh in
the summer season.
b\. Allocation Criteria for Existing Contractors: The seasonal energy
reserved for existing contractors, table 3 of appendix A, will be
allocated according to the proportion each existing contractor\'s
long-term firm Contract Rate of Delivery (CROD), in effect at the close
of business on April 1, 1986, from P-SMBP-WD and Fry-Ark resources,
bears to the total of all existing contractors\' long-term firm CRODs.
Eligible applicants may request capacity with allocated energy based
upon its individual system characteristics. If there is insufficient
capacity in the reservation for this group to satisfy all of the
capacity requests, the LAO may limit the capacity entitlement, but not
below the capacity associated with the plant factors of the resources
reserved for this group: 33.4 percent in the winter season and 36.7
percent in the summer season.
2\. Limit on Energy Allocation: No applicant will receive a seasonal
allocation of energy from Western that, when combined with its total
post-1989 Federal firm energy entitlements from all Federal sources,
exceeds its average seasonal total energy use for 1980, 1981, and 1982.
The average seasonal total energy use for 1980, 1981, and 1982 will be
adjusted to include additional energy the applicant can demonstrate was
not used during that period as a result of its conservation or energy
management efforts. Entities applying for power are encouraged to
document any conservation impact on historical energy consumption as
part of any application for power.
3\. Reallocations: Long-term firm energy with associated capacity made
available for marketing because an allocation(s) has been reduced or
withdrawn may be administratively reallocated by Western\'s
Administrator without further public process.
D. Contract Arrangements
Those entities receiving an allocation and taking any other required
steps, will be offered an electric service contract for the allocated
resources based on these Criteria after reasonable opportunity to
discuss proposed contract language has been provided to allottees.
Allottees will have 6 months to sign the offered contract or until
September 30, 1987, whichever is later.
1\. General Contract Terms: a. Effective Date and Contract Term:
Existing contracts will be allowed to expire by their own terms.
Contracts offered for the sale of newly allocated long-term firm energy
with capacity will become effective on the first day of the October 1989
billing period (or upon expiration of an existing contract, if later)
and will terminate on the last day of the September 2004 billing period.
However, at the end of the 1999 summer season billing period, the
provisions of the contracts concerning the amounts of energy and
capacity committed will be subject to revision based on the marketable
resource. Any necessary revisions to these contract provisions will be
determined by Western and presented to the contractors by the end of the
1996 summer season billing period.
b\. Power Receipt and Distribution: Contractors must have the means to
receive and distribute power by September 30, 1988, in order to avoid
termination of contract rights unless the LAO specifically agrees
otherwise in writing prior to this date.
c\. Conservation and Renewable Energy (C&RE) Program: An \"Announcement
of Final Guidelines and Acceptance Criteria for Customer Conservation
and Renewable Energy Programs\" was originally published in the Federal
Register *(46 FR 56140)* on November 13, 1981, and amended in the
Federal Register on August 21, 1985 *(50 FR 33892).* To achieve the
stated purposes, the LAO will guide and assist its firm contractors in
their C&RE development, as requested and to the extent possible. As
specified in the \"Final Guidelines,\" failure to develop a C&RE program
that meets Western\'s Acceptance Criteria may subject a contractor to
the potential loss of up to 10 percent of its allocation.
Existing contractors will implement the terms of Western\'s C&RE
program, or any that may supersede it, within 1 year of the date of
contract execution. New contractors will implement a C&RE program no
later than 1 year subsequent to the date of execution of a contract for
Federal power. The development of the program is the responsibility of
each contractor receiving long-term firm energy with capacity and its
member systems, if any, benefiting from the purchase of Federal
long-term firm power.
d\. Allottee Purchasing Agents: Western may contract with a single
purchasing agent for two or more allottees, under these Criteria, upon
request of the allottees. Western, however, will not be willing to
eliminate load diversity that permits it to meet its operating
obligations.
e\. Load Diversity Adjustment: Contract provisions shall permit Western
to adjust monthly capacity entitlements downward on a proportional basis
in the event total system load diversity does not cover transmission
system losses or other operating requirements.
f\. Resale Provisions: All contracts for long-term firm energy with
capacity under these Criteria will contain a resale of electric energy
provision. Existing contractors will implement the terms of this resale
provision upon contract execution. New contractors will implement them
upon receipt of Federal power. The resale of electric energy provision
will include, among other things, a requirement that the contractor
demonstrate that:
\(1\) The benefits of Federal power are distributed to the contractors\'
consumers at the lowest rates consistent with sound business principles,
and
\(2\) Consumers can identify the costs of Federal power and non-Federal
power.
When the contractor consists of members or principals who are retail
distributors, of Federal power, these retail distributors, as well as
the parent organization, will be directly accountable to Western for
complying with the resale provisions. One of the ways these requirements
may be satisfied by the contractor and its members or principals is to
provide cost information semiannually to their customers, including a
breakdown of the amounts and costs of Federal power and non-Federal
power, and of the magnitude and type of other costs which constitute the
composite costs charged to the customer.
Failure to comply with the resale provisions may result in the loss of
all or part of the resources committed to the contractor.
2\. Long-Term Firm Energy With Capacity Obligations: a. Monthly
long-term firm energy delivery obligations with associated capacity for
each season will be set forth in each contractor\'s electric contract.
Western\'s monthly energy obligation will reflect the same monthly
distribution of seasonal energy allocation as shown in table 1 of
appendix A for the monthly distribution of total marketable energy at
load. Monthly capacity entitlements will reflect the same monthly
distribution of seasonal capacity entitlements as is shown in table 2 of
appendix A for the monthly distribution of marketable capacity.
Western\'s capacity obligation for a given hour will be limited to the
capacity scheduled during that hour; i.e., contractors will not be
entitled to claim unscheduled capacity as operating expenses.
b\. The monthly energy obligations may be increased at Western\'s
discretion, should short-term conditions allow. If the established limit
is increased for any month, it may be subsequently decreased at
Western\'s discretion to the normal monthly energy delivery obligations
set forth in the electric service contract.
3\. Scheduling, Accounting, and Billing: The LAO its contractors will
establish mutually agreeable scheduling and accounting procedures, based
upon accepted utility industry practices, which will provide efficient
and practicable utilization of energy and capacity. These procedures
will be set forth in Western contracts or in separate written agreements
made a part thereof.
a\. Scheduling: (1) Each contractor\'s maximum scheduled rate of
delivery for long-term firm energy in each billing period will be the
monthly capacity entitlements as indicated by the percentages of
seasonal capacity entitlement in column (7) of table 2 of appendix A.
\(2\) All long-term energy with capacity contractors will be required to
maintain a minimum power schedule in order to meet water release
constraints and permit offpeak purchase of energy which may be required
to meet Western\'s total energy or capacity obligations. The minimum
schedule requirement may be changed as necessary to meet changing water
release constraints, resource constraints, or seasonal variation in
hydrologic conditions. Upon request by the contractor, the LAO may waive
or reduce the requirement for a minimum schedule.
\(3\) The monthly minimum percentage of each contractor\'s seasonal
capacity entitlement which must be scheduled is:
[Winter season/percentages]{.underline} [Summer
season/percentages]{.underline}
October \-\-- 19 April \-\-\-\-\-- 19
November \-- 19 May \-\-\-\-\-\-\-- 21
December \-- 22 June \-\-\-\-\-\-- 24
January \-\-- 21 July \-\-\-\-\-\-- 32
February \-- 17 August \-\-\-\-- 25
March \-\-\-\-- 17 September \-- 17
\(4\) Each contractor electing to utilize the pumped-storage energy
feature of Fry-Ark must schedule this energy into and out of the energy
account as described in part V.A.2.c. of these Criteria.
b\. Accounting and Billing: (1) The amounts of capacity to be paid for
by the contractor will be determined in accordance with accounting
procedures set forth in the contracts and will be based on the seasonal
capacity entitlement. Said accounting procedures will include
determining the amounts of energy delivered to the contractor at each
point of delivery and shall establish the amounts of Federal energy
delivered over the LAO transmission system to each contractor at each
point of delivery.
\(2\) Firm energy with associated capacity will be billed at a blended
P-SMBP-WD and Fry-Ark rate to recover the revenue requirements of the
individual projects.
\(3\) These procedures will also provide for billing at multiple points
of delivery. If the contractor\'s distribution system is operated as to
permit power to flow between points of delivery, accounting and billion
will be on a coincidental basis. Otherwise, accounting and billing will
be on a noncoincidental basis.
\(4\) The cost of energy purchased on behalf of a contractor, as
specified in V.B.3., \"Other Services,\" each month by the LAO in excess
of that necessary to meet LAO contractual obligations shall be the
average cost of such purchases during the month. The cost of capacity
purchased on a passthrough cost basis on behalf of a contractor each
month by the LAO to meet LAO contractual obligations shall also be the
average cost of such purchases during the month. Western\'s allocable
costs will be added to the cost of these purchases. These costs shall be
accrued during the month in which they are incurred. To the extent they
were not anticipated and collected during the same month, they will be
billed to contractors during the following month or portion thereof, as
the LAO deems appropriate, along with the regular monthly power bill.
Trust funds will be established prior to Western\'s expenditures for
such purchases.
4\. Delivery Conditions: a. Location and Voltage: All delivery points
will be on the LAO transmission system. Normal delivery will be made at
LAO transmission system voltages. Deliveries may continue to be made at
subtransmission voltages at power-plant, substation, and tap locations
where contractors already have systems operating at such lower voltage
levels.
b\. Modifications to Facilities: Modifications to existing facilities
and alternate or additional delivery points requested by contractors may
be permitted at the discretion of the LAO, with costs for such
modifications being assigned to the appropriate parties. Requests for
substations or taps will be considered on a case-by-case basis, with
final determination by the LAO.
c\. Federal Transmission: Energy other than LAO energy will be
transmitted over the LAO transmission system to the extent that
transmission capacity is determined by the LAO to be available. The
contractor shall pay for such service at the established rate for LAO
transmission service.
d\. Delivery Beyond the LAO Transmission System: All costs, including
losses, for delivery of energy beyond the LAO transmission system will
be the responsibility of the contractor.
The following alternatives are available to contractors for
accomplishing delivery of LAO energy beyond the LAO transmission system:
\(1\) The contractor(s) may construct all facilities to accept delivery
from the LAO transmission system at established voltage(s). The basic
design of any facilities which interconnect with the LAO transmission
system is subject to LAO approval.
\(2\) Arrangements may be made with a third party to transmit and
deliver energy to a contractor\'s point of use. Such arrangements will
normally be made by the contractor, or by a group of contractors. When
the contractor makes its own transmission arrangements, the contractor
will be billed directly by the transmission agent and will pay the
transmission charges directly to the transmission agent. If the LAO
contracts for the transmission on behalf of the contractor or group of
contractors, the LAO will pass the costs, along with associated
allocable costs, to the contractor(s).
\(3\) The LAO may construct the transmission facilities required beyond
the existing LAO transmission system. Payment for the constructed
facilities may be borne by the P-SMBP-WD, Fry-Ark, future projects, or
the beneficiaries thereof, as determined by Western.
E. Application Procedures
Western hereby requests all qualified applicants to apply to the Area
Manager, Loveland Area Office, in writing, for an allocation of energy
and capacity under these Criteria. Applications from each potential
allottee must be received in Western Loveland Area Office at P.O. Box
3700, Loveland, Colorado 80539, no later than the close of business on
April 1, 1986. Applicants must be identify the kWh/kW desired for both
the summer and winter seasons. Western\'s Administrator will allocate
the available resources under the terms of these Criteria only to those
applicants who are qualified and who provide a request for energy by the
specified data. Proposed allocations will be published in the Federal
Register for public comment prior to finalization.
VI\. Appendix A \-- Derivation of Marketable Resources:
A. Derivation of P-SMBP-WD Marketable Resources
Western and Reclamation have conducted a series of joint studies to
quantify post-1989 water systems operations and the corresponding
capabilities of the P-SMBP-WD power system, including its capabilities
for hydrothermal. This summary describes the methodology and procedures
for defining and quantifying the power resources of the P-SMBP-WD for
the post-1989 time period.
1\. At-Plant Capability Basis for Existing Allocations: The firm power
allocations established in 1962 were based on Reclamation\'s 1956
hydrology study. The results of that study are summarized in table 2 of
\"Level 1 Report, Hydropower Capability and energy of P-SMBP-WD, August
1980.\" After considering losses and pumping requirements, the average
year energy production capability was 1,860 GWh. Based on the projected
load pattern of its preference contractors at that time, Reclamation
determined that this average year energy production capability would
support firm power allocations of 346 MW in the winter season and 384 MW
in the summer season. This allocation of resources included project use
loads.
After the allocations were made, each contractor\'s Federal entitlement
was a proportionate share of its total load. The proportionate share was
determined by the ratio of the contractor\'s seasonal CROD to its
seasonal peak demand.
From 1962 until 1983, the difference between the firm generation
capacity allocated and the actual available generation capacity was
marketed on a seasonal basis.
Since Reclamation\'s 1956 hydrology study and the 1962 allocation, there
have been many changes on the P-SMBP-WD system. Contractor loads and
load patterns have changed substantially. The expiration of most
existing contracts in 1989 and the requirement to develop a post-1989
marketing plan in conjunction with these changes and proposed further
changes before 1989 promoted the need for an update of the 1956
Reclamation hydrology study.
Western and Reclamation determined that three levels of study effort
were required. The first level was an update of the 1956 study assuming
initial water conditions and the system configuration existing in 1980.
The second level of effort was a followup of the 1980 update to
determine the hydrothermal integration capability of the P-SMBP-WD
system. The purpose of that effort was to provide the hydrologic and
load obligation basis for marketing unallocated firm generation capacity
and energy production capability between 1983 and 1989.
Following the second level study, additional generation capacity of 72
MW in the winter season and 79 MW in the summer season with non-Federal
energy supplied by other entities was allocated to preference
contractors through 1989. The total capacity allocated through the 1989
summer season now is 418 MW in the winter season and 463 MW in the
summer season. The total energy obligation associated with this
generation capacity is 1,860 GWh/year.
2\. At-Plant Capability for Projected 1990 Conditions: The third level
of study effort was a long-term hydrology study using a projected 1990
system configuration and an update of the hydrothermal integration
capability reflecting 1990 conditions (Task No. 2 Report, Hydrothermal
Integration Capability-Study of the P-SMBP-WD, June 1983). Table 1,
column (1), summarizes the results of this effort and is the basis for
determining the P-SMBP-WD resource to be allocated in the post-1989
period.
B. Derivation of Fry-Ark Resources
The Fry-Ark resources available were computed by Western, based upon a
1974 Reclamation study and an updated study done in 1983 by the Fry-Ark
Project Office. These studies determined average inflows available for
energy production at the Mt. Elbert Powerplant.
C. Derivation of marketable Resources From Operational Integration of
P-SMBP-WD and Fry-Ark Resources
Table 1 shows the at-plant and at-load energy production capability of
the operationally integrated P-SMBP-WD and Fry-Ark resources. These
resources, available for marketing, consist of the integrated energy
production capability of LAO resources minus losses, project use, and
existing special use loads.
Table 2, column (6), shows the marketable generation capacity of the
operationally integrated resources. The resources thus available for
marketing consists of the integrated generation capacity of LAO
resources minus necessary reserves, projects use and existing special
use loads.
Table 3 shows the reservations of marketable long-term firm energy with
capacity for new and existing contractors.
Project use and existing special use loads are quantified in tables 1
and 2 and are defined as:
Project Use
1\. P-SMBP-WD Pumps: Pumps at Lake Granby, Willow Creek, and Flatiron
operated by Reclamation, which are an integral part of the P-SMBP-WD
system. Power is supplied to operate these pumps as project use under
Federal Reclamation law.
2\. Burlington Northern Railroad: A Reclamation contract, with no
expiration date, for electric service for light and ventilation in
Boysen Tunnel; entered into as compensation for inundation of the
original tunnel by Reclamation when Boysen Dam was constructed.
3\. Colorado River Improvement Pumps: Seven Reclamation contracts with
no expiration date, for power to operate pumps used for gravity
irrigation purposes along the Colorado River. These contracts were made
as compensation for depletions of the Colorado River caused by the
Colorado-Big Thompson Project.
Existing Special Use
1\. Highland Hanover Irrigation District, Owl Creek Irrigation District,
Upper Bluff Irrigation District: Three Reclamation contracts which
Reclamation has advised Western to treat as project use loads.
2\. Goshen Irrigation District, Midvale Irrigation District: Two Western
contracts which will not expire prior to the effective date of these
criteria.
3\. U.S. Forest Service: Two Western contracts for electric service to
the Forest Service\'s Blue Ridge Repeater Station and to Arapahoe
National Recreation Area which will not expire prior to the effective
date of these Criteria.
4\. U.S. National Park Service: A Western contract with no expiration
date, for electric service to Rocky Mountain National Park.
Issued at Golden, Colorado January 17, 1986.
William H. Clagett,
Administrator.
Appendix A
Table 1
Energy Capability With
Operational Integration of
P-SMBP-WD and Fry-Ark
(MWh)
[ ]{.underline}
\(1\) (2) (3) (4) (5) (6) (7)
At Plant At Plant Project And Total
Energy Energy At Plant Total Energy Existing Special Marketable
P-SMBP-WD Fry-Ark Total Energy At Load Use Loads Energy At
[1]{.underline}/ [2]{.underline}/ [3]{.underline}/ Load %
[ ]{.underline}
October 172,400 5,957 178,357 166,423 8,464 157,960 16.9
November 173,800 5,617 179,417 167,430 9,479 157,951 16.9
December 188,700 5,542 194,242 181,288 9,215 172,073 18.5
January 184,500 5,504 190,004 177,329 9,668 167,661 18.0
February 144,500 5,429 149,929 139,879 7,492 132,387 14.2
# March 158,200 5,429 163,629 152,683 8,173 144,510 15.5
# Winter total 1,022,100 33,478 1,055,578 985,031 52,490 932,541 100
April 186,400 4,562 190,962 178,266 9,077 169,189 14.6
May 198,800 1,093 199,893 186,768 9,435 177,333 15.3
June 219,300 3,732 223,032 208,275 5,199 203,076 17.6
July 272,800 4,939 277,739 259,349 5,517 253,832 22.0
August 218,100 5,844 223,944 209,033 5,159 203,874 17.6
# September 159,000 4,599 163,599 152,692 4,695 147,996 12.9
# Summer total 1,254,400 24,769 1,279,169 1,194,383 39,082 1,155,300 100
Total 2,276,500 58,247 2,334,747 2,179,414 91,573 2,087,841
[1]{.underline}/ From Table 10 Task No. 2 Report. Annual energy of
80,100 MWh has been added to column (1) figures and subsequently added
to the figures in column (5). This is the load of the P-SMBP-WD pumps.
[2]{.underline}/ Based on long-term hydrology study performed by Bureau
of Reclamation \-- Fryingpan-Arkansas Project Office.
[3]{.underline}/ Total energy at load=\[(col 2/1.05)+col 1\]/1.07.
Appendix A
Table 2
Capacity With
Operational Integration
Of
P-SMBP-WD and Fry-Ark
(MW)
[ ]{.underline}
\(1\) (2) (3) (4) (5) (6) (7)
P-SMBP-WD
Capacity Project and
At 90% Fry-Ark Maintenance Reserves Existing Special Marketable Percent
Probability Capacity Required Required Use Required Capacity Maximum
[1]{.underline}/ [3]{.underline}/
[ ]{.underline}
October 484.0 200.0 67.7 48.0 1.023 591.3 92.6
November 477.0 200.0 70.3 48.0 0.413 582.3 91.2
December 483.0 200.0 20.0 48.0 0.532 638.5 [2]{.underline}/ 100.0
January 478.0 200.0 32.0 48.0 0.604 621.4 97.3
February 466.0 200.0 64.5 48.0 0.447 577.1 90.4
March 480.0 200.0 131.8 48.0 0.399 523.8 82.0
April 467.0 200.0 50.0 48.0 1.401 591.6 82.6
May 497.0 200.0 115.0 48.0 2.635 555.4 77.5
June 517.0 200.0 23.1 48.0 3.251 666.6 93.0
July 557.0 200.0 13.0 48.0 3.533 716.5 [2]{.underline}/ 100.0
August 531.0 200.0 73.9 48.0 3.266 629.8 87.9
September 505.0 200.0 65.6 48.0 3.223 612.2 85.4
[1]{.underline}/ Total reserve requirement is 48 MW \-- half of this
total required to be spinning, therefore only half, or 24 MW depletes
the available water supply and only half is subtracted from the
available capacity.
[2]{.underline}/ In December and July, the Contractor\'s monthly
capacity entitlement will equal its seasonal capacity entitlement. In
the other months it will be the indicated percentage of the appropriate
seasonal entitlement.
[3]{.underline}/ Includes no reduction for P-SMBP-WD pumps. These are
operated only during offpeak hours.
RESERVATION Appendix A
OF
RESOURCES Table 3
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
## WINTER SUMMER YEAR
Energy Capacity Energy Capacity Energy
(MWH) (MW) (MWH) (MW) (MWH)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
New Contractors 75,750 51.9 93,844 58.2 169,594
[5]{.underline}/ [4]{.underline}/ [5]{.underline}/ [4]{.underline}/
[2]{.underline}/
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Existing Contractors 856,791 586.6 1,061,456 658.3 1,918,247
[5]{.underline}/ [4]{.underline}/ [5]{.underline}/ [4]{.underline}/
[6]{.underline}/
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Totals
932,541 638.5 1,155,300 716.5 2,087,841
[1]{.underline}/ [3]{.underline}/ [1]{.underline}/ [3]{.underline}/
[1]{.underline}/
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
[1]{.underline}/ Marketable Energy at Load from Column 6, Table 1.
[2]{.underline}/ Difference of total energy reserved for existing
contractors (see note 6) and total annual energy resource.
[3]{.underline}/ Marketable seasonal capacity (100% months, Table 2).
[4]{.underline}/ Capacity reservations for each contractor group are the
product of the total seasonal capacity and the ratio of each contractor
group\'s annual energy reservation to the total annual energy
reservation.
[5]{.underline}/ Energy reservations for each contractor group are the
product of the total seasonal energy and the ratio of each contractor
group\'s annual energy reservation to the total annual energy
reservation.
[6]{.underline}/ Annual energy reserved for existing contractors is
equal to the energy available for allocation in 1962 from the P-SMBP-WD
(1,860 GWh) plus the flowthrough energy from Fry-Ark (58.247 GWh).
**(Typographical and table formatting have been completed in this
document)**
| en |
markdown | G3QH255QV45TJ3NRBAJP7T2J3VNRSJLX | # Presentation: G3QH255QV45TJ3NRBAJP7T2J3VNRSJLX
## Web Services The Path to Business Value
**E-Gov 2003, Tutorial T-4**
**Monday, June 9, 2003**
**9 am – noon**
**Brand L. Niemann, Ph.D.**
**Chair, CIO Council’s XML Web Services Working Group**
**Computer Scientist and XML and Web Services Specialist**
**Office of Environmental Information**
**Environmental Protection Agency**
_**[Niemann.brand@epa.gov](mailto:Niemann.brand@cox.net)**_
## An Amazing Ride with XML Web Services
**Before - XML Web Services Repository/Distributed Content Network and VoiceXML:**
**March 20, 2002, The CIO Council Showcase of Excellence, Special Innovation Award, Presented to the Environmental Protection Agency, Natural Language Interface to Web Content, By the Federal Leadership Council (Mark Forman and the Quad Council), In Association with Post Newsweek Tech Media/FOSE, Washington, DC.**
**After – CIOC XML Web Services Working Group:**
**April 1, 2003, Working Group Chair Recognized with Emerging Technology/Standards Leadership Award at the SecureE-Biz.Net Summit, from Mark Forman, Associate Director, IT and eGovernment, OMB, and David McClure, VP e-Gov, Council for Excellence in Government: “for ushering in new technology to allow us to conduct e-Business securely to further implement the President’s Management Agenda.”**
## Chronology of the Path
**1. XML Web Services Repository and Distributed Content Network**
**2. EPA VoiceXML Emergency Response Application**
**3. XML Web Services Working Group Pilots**
**4. E-Forms for E-Gov: Early Results and Business Case Outcomes**
## 1. XML Web Services Repository and Distributed Content Network
**Multiple vendors providing an end-to-end solution based on XML standards.**
**XYEnterprise Contenta**
**NextPage NXT 3 and Solo**
**Corel XMetal**
## 1. XML Web Services Repository and Distributed Content Network
- NextPage NXT 3 P2P* Platform:
- Esther Dyson’s Release 1.0, 1/22/2002:
- “NextPage is unique in the content-management market in its distributed approach”:
- “NextPage’s platform, NXT 3, virtually connects the distributed information sources and makes them appear integrated to the user. Unlike syndication, in which content is copied and integrated with other content locally, NextPage keeps objects where they are.”
- “NextPage uses the standard simple object access protocol (SOAP) to exchange and normalize information between local content directories, assembling meta-indexes so that users can search or manipulate content transparently, regardless of physical location.”
- *Peer-to-peer: Every device connected to the network is both a server and consumer of content.
## 1. XML Web Services Repository and Distributed Content Network
## 2. EPA Emergency Response VoiceXML Application
**http://www.epa.gov/ceppo/lepclist.htm**
## 2. EPA Emergency Response VoiceXML Application
## 2. EPA Emergency Response VoiceXML Application
- http://130.11.53.73/lepc/FMPro?-db=LEPC.FP5&-format=-fmp_xml&zip_lepc::zip_code=22181&-find=
- FileMaker Pro 6 XML Query Syntax - Five Parts:
- The scheme: http
- The host: IP address
- The port: 591 (registered with IANA)
- The file path: /FMPro
- The query string: name=value pairs (4 in this case) separated by & signs:
- The database (LEPC.FP5)
- The format (FileMaker XML grammar - three choices: database dependent, database independent, and grammar) (fmp_xml)
- The records to retrieve (zip_code=22181)
- Request for data (yes)
## 2. EPA Emergency Response VoiceXML Application
- Adam Hocek (Broadstokes, Inc.) created a script (http://www.broadstrokesinc.com/demo/cgi-bin/fmqry.pl) that returns the results from FileMaker as an ECMAScript. This makes it possible to use the same ECMAScript results within a VoiceXML or HTML document:
- http://www.broadstrokesinc.com/demo/cgi-bin/jsvxml.pl
- http://www.broadstrokesinc.com/demo/cgi-bin/jshtml.pl.
- The file http://www.broadstrokesinc.com/demo/brand.vxml is used for collecting the callers zip code and then it does a <submit> to jsvxml.pl which will generate a VoiceXML document with the results.
- The VoiceXML application runs on Voxeo's server. Call 1-800-303-9987 and give the application ID as 713589.
## 3. XML Web Services Working Group Pilots
**“****Users never know what they want...**
** ... ****until they see what they get”**
## 3. XML Web Services Working Group Pilots
**Pilot Titles:**
- 1. Digital Talking Books on CD-ROM and the Web as VoiceXML.
- 2. XML Collaborator.
- 3. VoiceXML for Universal Access and Homeland Security Applications.
- 4. Geospatial Interoperability.
- 5. XML Web Services Content Authoring, Management, and Dissemination.
- 6. Military Systems-Federation of Registries, etc.
- 7. E-Forms for e-Gov: The Use of XML Standards-based Applications.
- 8. The MetaMatrix System for Model-driven Integration with Enterprise Metadata.
- 9. Cognitive Topic Map Web Sites-Aggregating Information Across Individual Agencies and E-Gov Initiatives.
- 10. Collaboration and CoSourcing: Designing Intergovernmental Services and Sharable Components.
- 11. The Potential of Semantic Technologies for E-Gov.
- 12. XML Data Exchange Across Multiple Levels of Government Using Native XML Databases.
## 3.1 Digital Talking Books on CD-ROM and the Web as VoiceXML
- See the familiar words as text on screen or in Braille, synchronized with the narrator’s voice. Navigate forward and backward in the speech using computer keystrokes. We have moved from standardizing the alphabet to standardizing book formats!
- Medium-independent information access based on open standards (W3C’s XML and SMIL):
- eXtensible Markup Language.
- Synchronized Multimedia Integration Language
**DAISY or NISO Books****(Digital Audio-based Information SYstem) Consortium**** and National Information Standards Organization)**
## 3.2 XML Collaborator
**Collaborative Component Design Platform**
**Datatypes**
**Enumerations**
**Datapoints**
**Structures**
**XML Registry**
**XML Repository**
**The Internet**
- Registry
- Entry
- Registry
- Entry
- Registry
- Entry
- Registry
- Entry
- XML
- Artifact
- XML
- Artifact
- XML
- Artifact
- XML
- Artifact
- A component-level collaborative design and registry platform for XML artifacts
## 3.2 XML Collaborator
- Create the Information Model
## 3.2 XML Collaborator
- Example: Show me all the data structures that have been classified as part of the Business Compliance One-Stop Initiative and as a work product of the IRS:
- Data and Information Reference Model – the data structures themselves (e.g. data dictionary)...
- Service Components Reference Model – expressed as a reusable component (e.g. XML Schema) ...
- Technical Reference Model – provided in an interoperable way (e.g. an XML Web Service) ....
- Business Reference Model – classified according to a taxonomy (e.g. Business Reference Model Version 2).
- Performance Reference Model – Doing all this demonstrates performance!
- Source: Kevin Williams, Creating Taxonomies in XML Collaborator,
- Presentation to the XML Web Services Working Group, April 15, 2003.
## 3.3 VoiceXML for Universal Access and Homeland Security Applications
- Problem:
- EPA’s Facility Registry System (FRS) Database is our unique contribution to Homeland Security, but we need to know how accurate it is before we provide it for that purpose and need it to be delivered as a “Homeland Security” application (XML Web Service).
- Strategy:
- Provide the FRS as an XML Web Service to Qsent to append its Directory Listing Web Services.
- Use the FRS-Qsent Web Service to drive a VoiceXML Web Services for Emergency Notification (Reverse 911).
- Use the FRS-Qsent Web Service to drive Error Correction Web Services (VoiceXML and XForms) to Validate the FRS-Qsent Web Service and FRS itself.
## 3.3 VoiceXML for Universal Access and Homeland Security Applications
- Qsent Features:
- Over 145 million residential, business and government listings (99+%). Every record verified through phone installation and account activation with credit history.
- 250,000 to 500,000 updates daily
- Four searches methods
- U.S. Residential – search for an individual
- U.S. Business and Government – search for business or government agencies
- Reverse Lookup – search by telephone number
- U.S. All – search all directories at once
- Geographic searches
- City Surround – expand search incrementally from city center (lowest ZIP)
- Neighborhood Search – search by neighborhoods using ZIP+4
## 3.3 VoiceXML for Universal Access and Homeland Security Applications
**Qsent Verification of EPA Regulated Facilities**
- Microsoft’s MapPoint Web Service!
## 3.3 VoiceXML for Universal Access and Homeland Security Applications
**Qsent’s iQ411 Interactive: Reverse 911 Alert Lookup**
## 3.3 VoiceXML for Universal Access and Homeland Security Applications
**Perform Emergency Notification and Data Collection with VoiceXML**
- Simulated Contamination From Umatilla Army Depot
## 3.4 Geospatial Interoperability
- Cascading
- WFS/WMS
- 1
**OGC**
**WRS**
**OGC Cascading Web Feature Server/Web Mapping Server**
**End Users ( B2C or B2B )**
## 3.5 XML Web Services Content Authoring, Management, and Dissemination
- Corel Smart Graphics Studio: Scalable Vector Graphics
## 3.6 Military Systems-Federation of Registries, etc.
**Types of Registries(1):**
**ISO 11179****Registries**
**OASIS/ebXML****Registries**
**UDDI****Registries**
**Ontological****Registries**
**Database Catalogs**
**Software Component Registries**
**CASE Tool Repositories**
**Pilot Projects with Registries:**
**XML Design Collaboration and Registry Platform**
**XML Design Collaboration and Registry Platform**
**XML Design Collaboration and Registry Platform and Tamino**
**Open Standard Ontology Tool and Platform (Topic Maps)**
**Various (MetaMatrix, etc.)**
**Various (CollabNet’s SourceCast, etc.)**
**Various (GIDS, etc.)**
- (1) Source: Eliot Christian, USGS, based on work of ISO/IEC JTC1/SC32 Data Management Subcommittee chair, Bruce Bargmeyer (NIST, EPA, & LBL).
**Common Content Linked by XML Web Services**
## 3.7 E-Forms for e-Gov: The Use of XML Standards-based Applications
**“****Eforms for E-Gov" Pilot Sub-Teams:**
**Accessibility**
**Business Case**
**Client Specifications**
**Fixed Content & Behavior**
**Form Selection **(six selected)
**Presentation**
**Records-Keeping**
**Schema **(draft paper)
**Security **(draft paper)
**Services**
**Team Lead, Rick Rogers (rick@fenestra.com)**
**Web Site and ListServ:**
**http://www.fenestra.com/eforms**
**Recent news story:**
**http://www.gcn.com/vol1_no1/daily-updates/22014-1.html**
## 3.8 The MetaMatrix System for Model-driven Integration with Enterprise Metadata
- XML Collaborator Registry
- MetaBase MOF Repository
- Disparate Data Sources
**(1) **Import Physical Source Metadata
**(2)** Identify and model XML schema types
**(4)** Define XML Schema using registered elements from MetaBase
**(3)** Import modeled XML elements and types into XML Registry
**(5)** Import XML Schema info MOF repository
**(6)** Map virtual XML Document to physical sources using Schema in MOF repository
**(7)** Create and Deploy Web Services for accessing integrated data
- Web Service
**(8)** Register WSDL in UDDI Registry
- Design-Time Integration of Data Via Web Services Architecture
## 3.9 Cognitive Topic Map Web Sites-Aggregating Information Across Individual Agencies and E-Gov Initiatives
- Search all 8000 topics
- Find key “entry point” topics
- Find form and schedule topics
- Use Table of Contents
## 3.10 Collaboration and CoSourcing: Designing Intergovernmental Services and Sharable Components
**software **
**development **
**applications**
**technical**
**communication**
**knowledge**
**management**
**project administration**
**application security, role-based permissions**
**project workspace**
**- scm**
**- issue tracking**
**- ide integration**
** ****knowledge**
** ****archive**
**(lists, forums, code)**
**- power search**
**- news**
**- notification**
**- mailing lists**
**- discussion**
** ****forums**
** ****document**
** ****and file **
** ****management**
**CollabNet: Effective Collaborative Software Development Environments**
- Integrates Structured Exchange (XML), Process Collaboration, and Free-form Interaction.
## 3.11 The Potential of Semantic Technologies for E-Gov
- The Semantic Web Wave –Tim Berners-Lee (W3C), January 2003
## 3.11 The Potential of Semantic Technologies for E-Gov
- FEA Capabilities and Partnership Manager – Conceptual Architecture
## 3.11 The Potential of Semantic Technologies for E-Gov
- XML solves the problem of separating presentation from structure BUT:
- No semantics except by explicit agreement BUT
- Too many dialects AND
- No interoperability between different dialects
- Semantic technologies are built on XML
- Ontology Engineering
- Representing Models with Semantics
## 3.11 The Potential of Semantic Technologies for E-Gov
- Agency
- Capability
- Capability Case
- President’sInitiative
- supports
- Program
- Project
- Line of Business
- Service
- Business Area
- Partnership
- has
- Web Service
- realized as
- delivers
- uses
- has
- has
- has
- needs
- supports
- considers
- leads
- participates in
- runs
- Business Case
- develops
- for
- Component
- Assisting Partnering Through Models
## 3.12 XML Data Exchange Across Multiple Levels of Government Using Native XML Databases
**Web Services**
## 3.12 XML Data Exchange Across Multiple Levels of Government Using Native XML Databases
**How UDDI Works**
**3) UDDI assigns a programmatically unique identifier (UUID) to each tModel and business registration and stores them in an Internet registry**
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
- 1. The original Pilot was requested by OMB in December 2002:
- Recommend how to reduce redundancy and increase interoperability across the government in all the E-Forms solutions being used and requested.
- 2. The supplemental Pilot came from E-Gov Initiative Program Mangers in March 2003:
- Assess the readiness of XML Web Services for a complete E-Gov Initiative like E-Grants, etc.
- 3. The request to operationalize this pilot came from the Business Compliance One-Stop Revised Business Case, April 2003:
- Take advantage of the pilots to reduce regulatory burden and increase standardization and efficiency in data collection.
- 4. The permission to open source the Census' GIDS Software came from Commerce CIO Tom Pyke in April 2003:
- This would permit usage by other agencies and governments (e.g. Canada) and distribute costs across more users.
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
** **
- Applicant 1
- Applicant N
- Applicant 3
- Applicant 2
**.....**
**.....**
- Agency N
- Agency 1
- Agency 2
- Agency 3
- Trusted Broker Embodies Standards, Benefits Applicants and Agencies:
- Facilitates System-to-System Interfaces
- Builds applicant knowledge of "core" data
- Helps identify commonalities among agency-specific data
- E-Grants
- Trusted Broker
**XForms**
**Web**
**Browser**
**Interface***
**Valid XML***
**XML Repository &**
**Web Services***
**Valid XML***
**XML**
**Repository**
**& Web Services***
**XML Collaborator:**
**Design Collaboration**
**And Registration**
**Support***
***Annotations by WG Chair**
- E-Grants Single System Solution (1/29/03)
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
- Business Compliance One Stop Revised Business Case, April 20, 2003*:
- “Regulatory Reform is just as important as tax reform for strengthening the economy”
- Three Proposed Strategies for Reducing Regulatory Burden:
- Make SBA the Advocate for Regulatory Burden Reduction.
- Implement E-Forms for Major Industries.
- Implement Compliance Assistance Tools.
- Common Elements of Each Alternative:
- E-Forms (like an Intuit’s Turbo Tax).
- Customer Agent.
- Partnership.
- *Richard J. Varn, President, RJV Consulting, Des Moines, Iowa.
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
- Business Compliance One Stop Revised Business Case, April 20, 2003*:
- Appendix A. Alternatives Analysis - E-Forms:
- Top Three Vendors:
- Adobe.
- Shana (now FileNET).
- Pure Edge.
- The principle of enter once; use often must be addressed in a wider context than in the past (Common Reference Model Draft, July 25, 2002).
- The FEA data architecture and the DRM need to be turned into specific services that each of the E-Gov Initiatives can use to accomplish project and enterprise data management and integration goals (e.g. GSA’s First Form, GIDS E-Forms, etc.).
- There is the need for some shared services to perform the collection, management, integration, and reuse of common data elements (beyond the scope of the BCOS).
- *Richard J. Varn, President, RJV Consulting, Des Moines, Iowa.
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
**Design-time:**
- Identify the data elements in the form(s), harmonize the elements (promoting reuse wherever possible) and create an XML Schema for each form (XML Collaborator).
- Store the XML Schema in an XML registry (XML Collaborator), so that others can access the information necessary to:
- Create e-forms and paper forms (GIDS).
- Create mapping(s) to information systems, such as relational databases, object-oriented databases, and flat files (MetaBase Modeler).
- Store in native (Tamino Server) and/or relational databases.
**Runtime:**
- Present user with a form to be filled out. User populates the form and submits it (GIDS).
- Create XML from the submitted data (GIDS) that complies with the schema registered in the XML registry (XML Collaborator) and populate information systems with the data gathered from the user (MetaMatrix Server and/or Tamino Server).
- Simplified Use Case: E-Forms
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
- 1. Client queries registry to locate service.
- 2. Registry refers client to WSDL document.
- 3. Client accesses WSDL document.
- 4. WSDL provides data to interact with Web service.
- 5. Client sends SOAP-message request.
- 6. Web service returns SOAP-message response.
- WSDL Document
- UDDI
- Registry
- Web
- Service
- Client
- 1
- 2
- 3
- 4
- 5
- 6
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
**June 2****nd**** Workshop at the White House Conference Center:**
**1. Open GIS Consortium**
**2. Adobe**
**3. Conclusive Technology**
**4. Digital Evolution**
**5. MetaMatrix**
**6. Microsoft**
**7. Object Builders**
**8. Sand Hill Systems**
**Note: These vendors did not respond by the May 26****th**** template deadline:**
**Soltex (Not heard from)**
**SeeBeyond (May submit for June 26****th****)**
**ITM Associates (May submit for June 26****th****)**
**Pure Edge (May submit for June 26****th****)**
**AmberPoint (May submit for June 26****th****)**
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
**Component Registry and Repository Template for XML Web Services Pilot Projects:**
**(1) Company background and capabilities including participation in standards organizations. Include URL(s) to Web site (s). This could be in the format of the UDDI Business Registry (UBR) “White Pages” (general information about a company’s name, address, contact information and identifiers), “Yellow Pages” (divides the company into various categories based on the products or services the company offers), and “Green Pages” (technical information about a company’s products, services and Web services).**
**(2) E-Gov pilot architecture (where are the re-usable components?, where are the XML Web Services?, where are the possibilities for interoperability with other vendors in Phase 2?, etc.). Include URL(s) to diagrams.**
**(3) Demonstration of the pilot. Narrative of what the pilot shows. Include URL(s) to instructions and functioning Web services.**
**(4) Supporting documentation. Include URLs to XML artifacts (forms, XML Schema, WSDL, etc.) and other information to explain them.**
**(5) Lessons learned and suggestions (optional).**
**Note: This template will have an XML Schema soon based on an extension of the UDDI XML Schema.**
**http://www.uddi.org/schema/uddi_v2.xsd**
## 4. E-Forms for E-Gov Pilot: Early Results and Business Case Outcomes
**Note: Several of the vendor templates will be presented and demonstrated as time permits.**
**See http://web-services.gov**
**Some Upcoming Events:**
**June 17****th****, Collaboration Workshop and XML Web Services Working Group Meeting.**
**June 18****th****, E-Forms for E-Gov Pilot Team Meeting.**
**June 26****th****, Emerging Components Conference Series.**
**July 15****th****, Solution Envisioning for Semantic Applications Workshop and XML Web Services Working Group Meeting.**
**July 17-18****th****, MITRE XML SIG Meeting.**
**Questions and Answers.** | en |
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*****************************************************************
Before the
Federal Communications Commission
Washington, D.C. 20554
In re Application of )
)
GTE, CORPORATION, )
Transferor, )
)
And ) CC Docket No. 98-184
)
BELL ATLANTIC CORPORATION, )
Transferee )
)
For Consent to Transfer Control of Domestic )
And International Section 214 and 310 )
Authorizations and Applications to Transfer )
Control of a Submarine Cable Landing License )
ORDER
Adopted: August 31, 2001 Released: August 31, 2001
By the Chief, Policy and Program Planning Division
I. INTRODUCTION
1. On July 10, 2001, Verizon requested the Commission's permission to allow
Verizon Pennsylvania Inc. (Verizon) and Verizon Advanced Data Inc. (VADI) to cooperate
to provide digital subscriber loop (xDSL) service for resale over resold voice lines in
Pennsylvania prior to the scheduled sunset of the advanced services affiliate requirement
contained in the Bell Atlantic-GTE Merger Order. For the reasons explained below, we
grant Verizon's request to the extent described herein.
II. BACKGROUND
2. As an initial matter, we note that as a result of the ASCENT v. FCC ruling,
Verizon may elect, at the end of a nine-month period, to reintegrate its separate advanced
services affiliate into the Bell Operating Company (BOC). Verizon has submitted a letter
requesting permission to reintegrate its advanced services subsidiary prior to the end of the
nine-month period. Pending the Commission's action on this request, Verizon seeks
Special Temporary Authority (STA) to offer for resale xDSL service over resold lines in
Pennsylvania. We granted Verizon a STA to provide its resold xDSL offering in
Connecticut.
III. DISCUSSION
3. In determining whether to grant Verizon a STA, we look at whether the proposed
action will serve the public interest, convenience and necessity. Like in Connecticut,
Verizon argues that should it receive a STA, it would broaden its resale xDSL offering in the
former Bell Atlantic service areas in Pennsylvania to include a service that will allow a
competitor to resell VADI's xDSL service over lines on which the competitor currently
resells Verizon's voice service. The new service will be provided pursuant to an
amendment to VADI's federal tariff. Verizon states that this is an interim arrangement until
a more permanent arrangement can be developed through collaboratives and the change
management process.
4. Verizon states that in order to provision a competitor's order to resell VADI's
xDSL service over lines on which the competitor currently resells Verizon's voice service,
VADI and Verizon will need to access each other's systems and data, and interact in ways
that Verizon acknowledges are arguably prohibited by the Bell Atlantic-GTE Merger
Order. Verizon, therefore, seeks both a permanent waiver of certain Merger Conditions
and a STA so that it may immediately take any and all steps necessary to process orders for
and provide this resale xDSL offering.
5. We do not address Verizon's request for a permanent waiver of the Merger
Conditions in this Order. However, we do conclude, as we did in the Connecticut STA
Order, that granting Verizon's STA request for this limited purpose is in the public interest
for several reasons. Granting the STA will enable competitors to provide resold voice and
xDSL service to their end-user customers over the same local loop. This should benefit
consumers by expanding competition in the provision of advanced services. Moreover,
granting the STA will allow Verizon and its competitors an opportunity to gain experience
with the ordering and provisioning of resold xDSL service in conjunction with resold voice
service, experience that will facilitate the transition to a permanent arrangement for this
offering.
6. As is the situation in Connecticut, in granting Verizon's STA request, we
emphasize that the authority granted by this action is limited, and effective only to the extent
necessary to allow Verizon and VADI to coordinate so that a competitor can resell VADI's
xDSL service over lines on which the competitor resells Verizon's voice services in
Pennsylvania. This authority governs only until the Commission rules on Verizon's request
to waive the nine-month sunset period or otherwise modifies the terms of this STA. Any
"cooperative" activities not pertaining to the resale product offering described above are not
covered by this STA and will subject Verizon to appropriate enforcement action.
IV. ORDERING CLAUSE
7. Accordingly, IT IS ORDERED that, pursuant to sections 4(i), 214(a) and 303(r)
of the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 214(a), 303(r),
Verizon IS GRANTED Special Temporary Authority as described above to the extent
necessary to permit resale of xDSL service by a competitive carrier on a line on which the
competitor resells Verizon's voice service in Verizon's Pennsylvania service area. This
authority is given without prejudice to any Commission or Common Carrier Bureau action
that may be taken in the future.
FEDERAL COMMUNICATIONS COMMISSION
Michelle M. Carey
Chief, Policy and Program Planning Division
Common Carrier Bureau
| en |
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14 2 12 15 13 3 11 14 53385.1 0.10 0.367E-05
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37 1 37 39 36 0 36 38 657957.766 0.05 0.158E-02
37 1 37 36 36 0 36 35 657957.766 0.05 0.146E-02
37 1 37 38 36 0 36 37 657957.766 0.05 0.154E-02
37 1 37 37 36 0 36 36 657957.766 0.05 0.150E-02
36 2 34 37 35 3 33 36 662119.599 0.12 0.851E-03
36 2 34 36 35 3 33 35 662119.599 0.12 0.827E-03
36 2 34 38 35 3 33 37 662119.599 0.12 0.875E-03
36 2 34 35 35 3 33 34 662119.599 0.12 0.804E-03
17 4 14 16 16 3 13 15 665189.528 0.08 0.943E-03
17 4 14 19 16 3 13 18 665189.528 0.08 0.113E-02
17 4 14 17 16 3 13 16 665191.415 0.08 0.100E-02
17 4 14 18 16 3 13 17 665191.415 0.08 0.106E-02
38 0 38 40 37 1 37 39 675431.622 0.03 0.154E-02
38 0 38 37 37 1 37 36 675431.622 0.03 0.143E-02
38 0 38 39 37 1 37 38 675431.622 0.03 0.150E-02
38 0 38 38 37 1 37 37 675431.622 0.03 0.146E-02
12 5 7 11 11 4 8 10 681012.743 0.03 0.111E-02
12 5 7 14 11 4 8 13 681012.743 0.03 0.143E-02
12 5 7 12 11 4 8 11 681012.743 0.03 0.121E-02
12 5 7 13 11 4 8 12 681012.743 0.03 0.132E-02
39 1 39 41 38 0 38 40 692955.782 0.03 0.150E-02
39 1 39 38 38 0 38 37 692955.782 0.03 0.138E-02
39 1 39 40 38 0 38 39 692955.782 0.03 0.146E-02
39 1 39 39 38 0 38 38 692955.782 0.03 0.142E-02
19 4 16 18 18 3 15 17 694187.076 0.10 0.972E-03
19 4 16 21 18 3 15 20 694187.076 0.10 0.114E-02
19 4 16 19 18 3 15 18 694189.609 0.10 0.102E-02
19 4 16 20 18 3 15 19 694189.609 0.10 0.108E-02
13 5 9 12 12 4 8 11 699934.556 0.04 0.118E-02
13 5 9 15 12 4 8 14 699934.556 0.04 0.149E-02
13 5 9 13 12 4 8 12 699934.556 0.04 0.128E-02
13 5 9 14 12 4 8 13 699934.556 0.04 0.138E-02
38 2 36 39 37 3 35 38 702197.513 0.08 0.850E-03
38 2 36 38 37 3 35 37 702197.513 0.08 0.828E-03
38 2 36 40 37 3 35 39 702197.513 0.08 0.873E-03
38 2 36 37 37 3 35 36 702197.513 0.08 0.806E-03
37 3 35 36 36 2 34 35 706095.323 0.10 0.869E-03
37 3 35 39 36 2 34 38 706095.323 0.10 0.943E-03
37 3 35 37 36 2 34 36 706095.915 0.10 0.893E-03
37 3 35 38 36 2 34 37 706095.915 0.10 0.917E-03
12 4 8 11 12 1 11 11 706851.775 0.25 0.533E-05
12 4 8 14 12 1 11 14 706851.775 0.25 0.680E-05
12 4 8 12 12 1 11 12 706855.042 0.25 0.574E-05
12 4 8 13 12 1 11 13 706855.042 0.25 0.623E-05
39 2 38 38 38 1 37 37 711158.874 0.10 0.109E-02
39 2 38 41 38 1 37 40 711158.874 0.10 0.118E-02
39 2 38 39 38 1 37 38 711158.874 0.10 0.112E-02
39 2 38 40 38 1 37 39 711158.874 0.10 0.115E-02
40 3 37 41 39 4 36 40 711730.405 0.10 0.469E-03
40 3 37 40 39 4 36 39 711730.405 0.10 0.458E-03
40 3 37 42 39 4 36 41 711732.058 0.10 0.481E-03
40 3 37 39 39 4 36 38 711732.058 0.10 0.446E-03
22 4 18 23 22 1 21 23 715318.281 0.10 0.745E-04
22 4 18 22 22 1 21 22 715318.281 0.10 0.713E-04
22 4 18 24 22 1 21 24 715322.277 0.10 0.781E-04
22 4 18 21 22 1 21 21 715322.277 0.10 0.683E-04
34 10 24 33 34 9 25 33 944801.861 0.10 0.841E-03
34 10 24 36 34 9 25 36 944801.861 0.10 0.917E-03
34 10 24 34 34 9 25 34 944801.861 0.10 0.865E-03
34 10 24 35 34 9 25 35 944801.861 0.10 0.890E-03
32 10 22 31 32 9 23 31 945581.125 0.10 0.956E-03
32 10 22 34 32 9 23 34 945581.125 0.10 0.105E-02
32 10 22 32 32 9 23 32 945581.125 0.10 0.985E-03
32 10 22 33 32 9 23 33 945581.125 0.10 0.102E-02
31 10 22 30 31 9 23 30 945907.936 0.10 0.101E-02
31 10 22 33 31 9 23 33 945907.936 0.10 0.111E-02
31 10 22 31 31 9 23 31 945907.936 0.10 0.104E-02
31 10 22 32 31 9 23 32 945907.936 0.10 0.108E-02
30 10 20 29 30 9 21 29 946196.588 0.10 0.107E-02
30 10 20 32 30 9 21 32 946196.588 0.10 0.118E-02
30 10 20 30 30 9 21 30 946196.588 0.10 0.110E-02
30 10 20 31 30 9 21 31 946196.588 0.10 0.114E-02
29 10 20 28 29 9 21 28 946449.981 0.10 0.112E-02
29 10 20 31 29 9 21 31 946449.981 0.10 0.124E-02
29 10 20 29 29 9 21 29 946449.981 0.10 0.116E-02
29 10 20 30 29 9 21 30 946449.981 0.10 0.120E-02
28 10 18 27 28 9 19 27 946670.683 0.10 0.117E-02
28 10 18 30 28 9 19 30 946670.683 0.10 0.130E-02
28 10 18 28 28 9 19 28 946670.683 0.10 0.121E-02
28 10 18 29 28 9 19 29 946670.683 0.10 0.125E-02
27 10 18 26 27 9 19 26 946861.206 0.10 0.121E-02
27 10 18 29 27 9 19 29 946861.206 0.10 0.135E-02
27 10 18 27 27 9 19 27 946861.206 0.10 0.125E-02
27 10 18 28 27 9 19 28 946861.206 0.10 0.130E-02
26 10 16 25 26 9 17 25 947023.896 0.05 0.125E-02
26 10 16 28 26 9 17 28 947023.896 0.05 0.140E-02
26 10 16 26 26 9 17 26 947023.896 0.05 0.130E-02
26 10 16 27 26 9 17 27 947023.896 0.05 0.135E-02
25 10 16 24 25 9 17 24 947161.334 0.05 0.128E-02
25 10 16 27 25 9 17 27 947161.334 0.05 0.144E-02
25 10 16 25 25 9 17 25 947161.334 0.05 0.133E-02
25 10 16 26 25 9 17 26 947161.334 0.05 0.138E-02
24 10 14 23 24 9 15 23 947275.468 0.05 0.131E-02
24 10 14 26 24 9 15 26 947275.468 0.05 0.148E-02
24 10 14 24 24 9 15 24 947275.468 0.05 0.136E-02
24 10 14 25 24 9 15 25 947275.468 0.05 0.141E-02
23 10 14 22 23 9 15 22 947368.332 0.05 0.132E-02
23 10 14 25 23 9 15 25 947368.332 0.05 0.150E-02
23 10 14 23 23 9 15 23 947368.332 0.05 0.138E-02
23 10 14 24 23 9 15 24 947368.332 0.05 0.144E-02
10 10 0 9 10 9 1 9 947465.747 0.05 0.224E-03
10 10 0 12 10 9 1 12 947465.747 0.05 0.300E-03
10 10 0 10 10 9 1 10 947465.747 0.05 0.244E-03
10 10 0 11 10 9 1 11 947465.747 0.05 0.270E-03
11 10 2 10 11 9 3 10 947493.325 0.05 0.422E-03
11 10 2 13 11 9 3 13 947493.325 0.05 0.551E-03
11 10 2 11 11 9 3 11 947493.325 0.05 0.458E-03
11 10 2 12 11 9 3 12 947493.325 0.05 0.501E-03
21 10 12 20 21 9 13 20 947499.407 0.03 0.132E-02
21 10 12 23 21 9 13 23 947499.407 0.03 0.152E-02
21 10 12 21 21 9 13 21 947499.407 0.03 0.138E-02
21 10 12 22 21 9 13 22 947499.407 0.03 0.145E-02
12 10 2 11 12 9 3 11 947519.555 0.03 0.597E-03
12 10 2 14 12 9 3 14 947519.555 0.03 0.762E-03
12 10 2 12 12 9 3 12 947519.555 0.03 0.644E-03
12 10 2 13 12 9 3 13 947519.555 0.03 0.699E-03
20 10 10 19 20 9 11 19 947541.003 0.04 0.130E-02
20 10 10 22 20 9 11 22 947541.003 0.04 0.151E-02
20 10 10 20 20 9 11 20 947541.003 0.04 0.136E-02
20 10 10 21 20 9 11 21 947541.003 0.04 0.143E-02
13 10 4 12 13 9 5 12 947543.475 0.08 0.751E-03
13 10 4 15 13 9 5 15 947543.475 0.08 0.940E-03
13 10 4 13 13 9 5 13 947543.475 0.08 0.804E-03
13 10 4 14 13 9 5 14 947543.475 0.08 0.867E-03
14 10 4 13 14 9 5 13 947563.732 0.03 0.883E-03
14 10 4 16 14 9 5 16 947563.732 0.03 0.109E-02
14 10 4 14 14 9 5 14 947563.732 0.03 0.942E-03
14 10 4 15 14 9 5 15 947563.732 0.03 0.101E-02
19 10 10 18 19 9 11 18 947569.215 0.03 0.127E-02
19 10 10 21 19 9 11 21 947569.215 0.03 0.148E-02
19 10 10 19 19 9 11 19 947569.215 0.03 0.134E-02
19 10 10 20 19 9 11 20 947569.215 0.03 0.141E-02
15 10 6 14 15 9 7 14 947579.434 0.08 0.995E-03
15 10 6 17 15 9 7 17 947579.434 0.08 0.121E-02
15 10 6 15 15 9 7 15 947579.434 0.08 0.106E-02
15 10 6 16 15 9 7 16 947579.434 0.08 0.113E-02
18 10 8 17 18 9 9 17 947585.589 0.08 0.123E-02
18 10 8 20 18 9 9 20 947585.589 0.08 0.144E-02
18 10 8 18 18 9 9 18 947585.589 0.08 0.129E-02
18 10 8 19 18 9 9 19 947585.589 0.08 0.136E-02
16 10 6 15 16 9 7 15 947589.169 0.08 0.109E-02
16 10 6 18 16 9 7 18 947589.169 0.08 0.131E-02
16 10 6 16 16 9 7 16 947589.169 0.08 0.115E-02
16 10 6 17 16 9 7 17 947589.169 0.08 0.123E-02
17 10 8 16 17 9 9 16 947591.794 0.08 0.117E-02
17 10 8 19 17 9 9 19 947591.794 0.08 0.139E-02
17 10 8 17 17 9 9 17 947591.794 0.08 0.123E-02
17 10 8 18 17 9 9 18 947591.794 0.08 0.130E-02
| eu |
converted_docs | 756708 | **Vicia benghalensis L. (Fabaceae)**
**Purple Vetch**
**Description**. Annual, stems vine-like or reclining, 2-8 dm long,
villosulous to puberulent. Leaves alternate, 4-10 cm long, pinnately
compound, leaflets 10-18, 10-25 mm long, 1.5-6 mm wide, elliptic to
oblong, the leaf apex modified into a tendril; stipules entire to
dentate. Inflorescence terminal or in upper axils, pedunculate, equal or
shorter than the subtending leaves, usually composed of 3-12 flowers
arranged along one side of the axis. Calyx tubular, swollen at the base,
villous, lobes 5, unequal in length, the apices plumose; corolla
papilionaceus, 10-18 mm long, reddish purple, petals often darker near
the tip; stamens 10; ovary superior, the style with a tuft of minute
hairs at the tip. Fruits 2.5-4 cm long, ca. 1 cm wide, puberulent, with
a stalk-like base ca. 1.5 mm long, with 3-6 seeds. In California,
flowering from March to June. (Ball 1968, Clapham et al. 1962, Hermann
1960, Isely 1993, Munz 1959).
Synonym= *V. atropurpurea* Desf.
**Note:** In Abrams (1944), *V. benghalensis* was apparently confused
with and included in the closely related *V. villosa* and *V. cracca* L.
Both of the latter species are characterized by glabrous fruits and
racemes that are usually longer than the subtending leaves (Ball 1968).
*V. villosa* is widely distributed in California and is further
characterized by having calyces swollen at the base (like *V.
benghalensis*). *Vicia cracca*, which may be a waif in California rather
than naturalized (Isely 1993), does not have swollen calyces. All three
species have pedunculate inflorescences, whereas *V. sativa* (common
vetch) has subsessile, axillary flowers that are much shorter than the
subtending leaf (Ball 1968, Isely 1993).
*Vicia sativa* L. has been treated as including at least 6 subspecies
(Ball 1968), of which two, ssp. *nigra* (L.) Ehrh. (synonym = *V.*
*angustifolia* (Wahlenb.) Roth, *V. sativa* var. *angustifolia* L.) and
ssp. *sativa* are known to be naturalized in the United States (Barneby
1989, Fernald 1950, Gleason and Cronquist 1991). Both forms have been
widely cultivated for agricultural purposes (Barneby 1989), but have not
become widely naturalized, at least in the arid west (Barneby 1989).
**Geographic distribution**. A native of Mediterranean Europe, *Vicia
benghalensis* has become naturalized in California, Australia, and
southern Africa (Arnold and de Wet 1993, Chapman 1991, Hermann 1960,
Isely 1993).
The first report of *Vicia benghalensis* in California (as *V*.
*atropurpurea*) was from Humboldt Bay (Jepson 1936). Earlier
introductions may have been likely, because of earlier confusion with
other introduced species. Both *V*. *villosa* and *V. cracca*, for
example, were first reported as locally introduced (Humboldt, Modoc, and
San Bernardino counties) by the end of the 19th century (Robbins 1940).
*Vicia sativa* (common vetch), a native of Europe, has been widely
cultivated and occasionally naturalized throughout most temperate
climates (Arnold and de Wet 1993, Chapman 1991, Fernald 1950, Hermann
1960, Ohwi 1965, Webb et al. 1988), and was widespread in California by
the mid 1800s (Robbins 1940).
Both *Vicia benghalensis* and *V. sativa* are known from Anacapa and
Santa Cruz islands (Junak et al. 1997) and are widespread throughout
much of California west of the Sierra Nevada (Anonymous 1998; Isely
1993).
**Reproductive and vegetative biology**. Close relatives (e.g., *Vicia
sepium*, *Lathyrus* spp) are self-compatible, partly self-pollinating,
and visited primarily by small bees (Kay 1978, Proctor et al. 1996). No
other literature was found that reported on the reproductive biology of
*Vicia benghalensis*, *V. sativa*, or *V. villosa*.
**Ecological distribution**. Both purple and common vetch occur in
disturbed sites of roadsides, fields, and waste places (Clapham et al.
1962, Isely 1993, Munz 1959). Purple vetch is widespread but not common
in California coastal prairie (Heady et al. 1988).
**Weed status.** Neither *Vicia benghalensis*, *V. villosa*, nor *V.
sativa* are considered noxious weeds in agricultural or horticultural
practice, at least at a global level (not listed by Holm et al. 1977),
nor are they considered noxious weeds by the State Dept. of Food and
Agriculture (Anonymous 1996). Except *for V. sativa* (under the name *V.
angustifolia*) they are not listed as weeds in the United States in
Lorenzi and Jeffery (1987).
**Microbial and insect pathogens**. Based on a survey of mycological
literature El-Gazzar (1981) reported that *Vicia* spp. were known to be
host to several species of the rust fungus *Uromyces*. A companion
survey of entomological literature revealed that *Vicia* spp. served as
hosts to several different Bruchid beetles (Johnson 1981). No other
literature was found pertinent to microbial or insect pathogens of
either *Vicia benghalensis*, *V. sativa*, or *V. villosa*.
**Herbicide** **control**. No literature was found pertinent to
herbicide control of *Vicia benghalensis* or *V. villosa*. The use of
dicamba or 2,4-D for controlling *V*. *sativa* (under the name *V.
angustifolia*) and other species (e.g., *V. dasycarpa*) was suggested by
Lorenzi and Jeffery (1987).
**Literature Cited**
Anonymous. 1996. Exotic pest plants of greatest ecological concern in
California as of August 1996. California Exotic Pest Plant Council. 8
pp.
Anonymous. 1998. USDA Plants Database, Baton Rouge, LA. URL =
usda.plants.gov.
Abrams, L. (ed.). 1944. Illustrated flora of the Pacific states. Volume
2. Polygonaceae to Krameriaceae. Stanford University Press, Stanford,
California. 635 pp.
Arnold, T. and B. de Wet. 1993. Memoir 62. Plants of southern Africa:
names and distribution. National Botanical Institute, Pretoria. 825 pp.
Ball, P. 1968. *Vicia*. pp. 129-136. In Tutin et al. (eds). Flora
Europaea. Volume 2. Rosaceae to Umbelliferae. Cambridge University
Press, Cambridge. 455 pp.
Barneby, R. 1989. Fabales. pp. 1-279. In Cronquist et al. Intermountain
flora. Volume 3. Part B. 279 pp.
Chapman, A. 1991. Australian plant name index. Q-Z. Australian
Government Publishing Service, Canberra. pp. 2477-3055.
El-Gazzar, A. 1981. Systematic implications of susceptibility to
*Uromyces* rusts in Leguminosae. pp. 979-994. In Polhill, R. and P.
Raven (eds). Advances in legume systematics. Part 2. Royal Botanic
Gardens, Kew, England. pp. 427-1049.
Fernald, M. 1950. Gray's Manual of Botany. Eighth Edition. American Book
Company, New York. 1632 pp.
Gleason, H. and A. Cronquist. 1991. Manual of the vascular plants of
northeastern United States and Adjacent Canada. 2nd edition. New York
Botanic Garden, Bronx. 910 pp.
Heady, H., T. Foin, M. Hektner, D. Taylor, M. Barbour, and W. Barry.
1988. pp. 733- 760. In Barbour, M. and J. Major (eds.) . Terrestrial
vegetation of California. California Native Plant Society, Sacramento.
1002 pp.
Hermann, F. 1960. Vetches of the United States, native, naturalized, and
cultivated. US Dept. of Agriculture Handbook No. 168. Washington DC. 84
pp.
Holm, L., D. Plucknett, J. Pancho, and J. Herberger. 1977. The world's
worst weeds: distribution and ecology. University Press of Hawaii,
Honolulu. 609 pp.
Isely, D. 1993. Vicia. pp. 654-657. In J. Hickman (ed.) The Jepson
Manual: higher vascular plants of California. University of California
Press, Berkeley. 1400 pp.
Jepson, W. 1936. A flora of California. Volume 2. Capparidaceae to
Cornaceae. University of California, Berkeley. 684 pp.
Johnson, C. 1981. Seed beetle specificity and the systematics of the
Leguminosae. pp. 995-1027. In Polhill, R. and P. Raven (eds). Advances
in legume systematics. Part 2. Royal Botanic Gardens, Kew, England. pp.
427-1049.
Junak, S., T. Ayers, R. Scott, D. Wilken, and D. Young. 1995. A flora of
Santa Cruz Island. Santa Barbara Botanic Garden and California Native
Plant Society, Santa Barbara and Sacramento. 397 pp.
Kay, Q. 1978. The role of preferential and assortative pollination in
the maintenance of flower color polymorphisms. pp. 175-190. On A.
Richards. (ed.) The pollination of flowers by insects. Linnean Society
of London, Symposium Series No. 6. 213 pp.
Lorenzi, H. and L. Jeffery. 1987. Weeds of the United States and their
control. Van Nostrand Company, New York. 355 pp.
Munz, P. 1959. A flora of California. University of California Press,
Berkeley.
Ohwi, J. 1965. Flora of Japan. Smithsonian Institution, Washington D.C.
1066 pp.
Proctor, M. P. Yeo, and A. Lack. 1996. The natural history of
pollination. Timber Press, Portland, Oregon. 479 pp.
Webb, C., W. Sykes, and P. Garnock-Jones. 1988. Flora of New Zealand.
Volume 4. Naturalized pteridophytes, gymnosperms, dicotyledons.
Department of Scientific and Industrial Research, Christchurch. 1365 pp.
| en |
converted_docs | 904560 | **Use of Department of Defense, Public Health Service**
**or Other Federal Hospitals**
**§17.50 Use of Department of Defense, Public Health Service or other
Federal hospitals with beds allocated to the Department of Veterans
Affairs.**
Hospital facilities operated by the Department of Defense or the Public
Health Service (or any other agency of the United States Government) may
be used for the care of Department of Veterans Affairs patients pursuant
to agreements between the Department of Veterans Affairs and the
department or agency operating the facility. When such an agreement has
been entered into and a bed allocation for Department of Veterans
Affairs patients has been provided for in a specific hospital covered by
the agreement, care may be authorized within the bed allocation for any
veteran eligible under 38 U.S.C. 1710 or 38 CFR 17.44. Care in a Federal
facility not operated by the Department of Veterans Affairs, however,
shall not be authorized for any military retiree whose sole basis for
eligibility is under §17.46b, or, except in Alaska and Hawaii, for any
retiree of the uniformed services suffering from a chronic disability
whose entitlement is under §17.46b, §17.47(b)(2) or §17.47(c)(2)
regardless of whether he or she may have dual eligibility under other
provisions of §17.47.
\[39 FR 1842, Jan. 15, 1974, as amended at 45 FR 6936, Jan. 31, 1980, as
amended at 61 FR 21966, May 13, 1996\]
| en |
all-txt-docs | 182968 | Zombies(5) UNIX System V (Concepts) Zombies(5)
NAME
Defunct, zombie and immortal processes
DESCRIPTION
When a process dies, it becomes a zombie (almost dead)
process whose only remaining purpose is to hold its death
certificate (the exit status data returned by the wait
family of system calls). When the death certificate has
been collected, the process is finally removed from
existence and from the systems's process table. Zombie
processes are marked as <defunct> in ps listings.
If the parent of a child has not disowned the child and the
parent dies before collecting the child's death certificate,
the child is sent to the state orphanage. As long as the
parent is alive and the child was not disowned, when a child
tries to die, the zombie child remains around until the
parent finally collects its death certificate. The state
orphanage, process 1 a.k.a. /etc/init, is the second process
created after the system is booted and has several principal
functions: starting and in some cases maintaining the system
daemons and waiting for its children to die. It is given
the job of waiting for the deaths of orphaned children as
well. This allows zombie children to be put to rest.
As an aside, when the system is booted, the boot loader
copies the kernel into memory, creates a stack and calls the
kernel's main procedure which, in turn, makes itself into
process 0, forks itself and that child, process 1, executes
/etc/init. In parallel to /etc/init starting the system and
the system daemons, process 0 may continue to fork and
execute portions of the kernel as asychronous precesses.
Process 1 is and other processes with process 0 as their
parent may be protected from being given a KILL signal.
Processes waiting at very high priorities can not be killed
because the signal is first posted to the process kernel
control data of the process; but the remaining processing
and possible jump to process termination only occurs at
lower priorities, that is, below PZERO. In fact, the final
processing of a signal within a process occurs just as the
process is being readied for return to user state. If the
system is a multiple CPU system, the signaling process and
the signaled processes are running on different CPUs and the
signaled process in running in user state, then the
signaling CPU interrupts the signaled CPU so that the signal
can be processed for the signaled process. If the process
execution does not reach this point of return to user state,
then the process can not be signaled (in the case of the
KILL signal, killed).
A zombie process, since it is already almost dead, can not
Page 1 (printed 12/13/97)
Zombies(5) UNIX System V (Concepts) Zombies(5)
be killed further.
Slightly more technical presentation of the above material:
If the parent of a forked (or sproced) child did not have
SIGCHLD set to the ignore signal condition and the parent
exits or is terminated by the system before the parent
process has issued one of the wait system calls and
retrieved the ending status of the child, the parentage of
the child process is reassigned to process 1 (/etc/init in
most cases). As long as the the parent is alive and SIGCHLD
is not set to ignore signal condition, the process struct of
the terminated process is retained in the kernel so that the
ending status of the child if and when a wait system call is
issued for the child process. Process 1 (/etc/init) after
it has initialized the non kernel functions of the operating
system, loops on the wait system call. When a orphan dies,
process 1 receives and ignores its ending status---this
releases the process struct of the terminated process.
/etc/init is also looking for the death of its own children
so that it can start other processes dependent of that
termination or so that it can restart another copy of the
process that just terminated. For example, the historical
login processing is: init forks itself and execs getty, the
getty program (in the child) waits for the communications
port to open, getty emits the ``login: '' prompt, getty
execs login on top of itself, login authenicates the user,
initializes the user uid, gid, current and root directories,
etc. and execs the user's login shell on top of itself.
When the login process terminates, /etc/init receives its
ending status (it is the parent) and it forks itself and
execs getty, ....
No, there is not a ``fix''. That is the way it is designed
to work. It has been this way back at least as far as
Release 3 UNIX (and Release 6 was the first version to
offically escape Bell Labs).
Immortal processes (except those specifically protected by
the kernel, that is, those processes whose parent is 0), are
caused by the processed waiting for an event (usually I/O
related) at a very high priority (typically described as
waiting above PZERO). Since such processes usually have
critical system resources locked, breaking the lock in a
manner that does not release those resource could become a
major disaster.
A zombie is immortal. An immortal process is not
necessarily a zombie. A zombie or defunct process is the
death certificate of a process that has already terminated.
The only system resource being consumed by it is the process
Page 2 (printed 12/13/97)
Zombies(5) UNIX System V (Concepts) Zombies(5)
block used to store its termination status until the parent
process asks for the exit status with a wait(2) family
system call.
When the parent finally dies, any surviving children,
including the zombies are reassigned to the system
orphanage---process 1. Process 1, /etc/init, is the system
reaper of orphaned children as well as its own. The other
purposes of init are system start up and shutdown and the
respawnning (restarting, if you wish) of system services
such as gettys.
The fact that zombied orphans survive long enough for you to
observe them is cause for concern about init's health.
Defunct processes are zombie processes; these can be deleted
by killing the parent program. Use the PPID value to locate
the parent; if the PPID is 1, then rebooting is the only
solution.
There are immortal processes which derive from another
source. For these, the only practical solution is rebooting.
If a process, while in the kernel locks system critical
resources, then the process raises its processing priority
above or at the PZERO level. Such processes will not be
interrupted by the kernel. If the event for which the
process is waiting will never occur, then the process
becomes immortal. For example, if a tape drive is unpowered
during an I/O operation, then it will never send an I/O
complete signal. The tape drive is a system critical
resource and therefore the process is waiting above or at
PZERO. For another example, in SGI IRIX, kernel mode NFS
network communications appears to be handle at or above
PZERO. Other examples are possible. An immortal process
results.
AUTHOR
Randolph J. Herber.
Page 3 (printed 12/13/97)
| en |
markdown | 719679 | # Presentation: 719679
## Drunk Driving Over the Limit. Under Arrest. NHTSA’s New Impaired Driving High Visibility Crackdown
**Drunk Driving*****Over the Limit. Under Arrest.***NHTSA’s New Impaired Driving High Visibility Crackdown
## Timeline
## Crackdown Dates
**Enforcement**
- August 18 – September 4
**Paid Advertising**
- August 16 – 20
- August 23 – 27
- August 30 – September 3
**Earned Media**
- August 7 – September 10
## Advertising
**$11 million National Buy**
- ▪ Buy networks/programs, not markets
**Targets**
- ▪Primary: 21-34 year old males
- ▪ Secondary: Spanish-dominant males
**Users**
- ▪ Many States to air national ad
## States Requesting to Air National Ad (as of August 1, 2006)
- Alabama
- Connecticut
- Florida
- Georgia
- Idaho
- Indiana
- Iowa
- Minnesota
- Missouri
- New Jersey
- New Mexico
- North Dakota
- South Dakota
- Texas (radio)
- Utah
- Wisconsin
## National Launch
**Date: **August 16
**Location: **Montgomery County, MD, Police Academy
**Speakers**
- Acting Secretary
- Attorney General (invited)
- IACP
- MADD
- GHSA
- NHTSA Administrator
## Launch Messaging
- New Tagline
- Projected Increase in Alcohol-Related Fatalities
- NHTSA data
## Proposed Target Media Market Events
- Los Angeles
- Seattle
- Houston
- Denver
- Oakland
- New Orleans
- Chicago
- Columbus
- Philadelphia
- Orlando
- Dallas
## Additional Media Activities
- Post new earned media and creative materials (“Planners”) on NHTSA websites
- Administrator e-mail of new television spots and posting on NHTSA websites
- Bites and B-Roll package of launch
- Satellite Media Tour announcing 2005 alcohol numbers
## Support from GHSA and MADD
- Joint letters from leadership to their State/local offices
- Editorial Board Outreach
- Toolkits for MADD affiliates to support local enforcement
## Program Activities
**Acting Secretary**
- Letter to Governors
- Email announcing the Crackdown Department-wide
- Engage Modal Administrators to include the crackdown in speeches
- Invite Attorney General to participate in launch
**Administrator **
- Congressional post card inviting support for HVE Crackdown
- Letter to State law enforcement agencies
- Calls/electronic postcards to law enforcement executives
## Program Activities (Cont.)
**Participation Recruitment**
- National meetings
- Newsletter articles/e-mail communications
**Partner Outreach**
- Law Enforcement
- Highway Safety Community
- Community Groups
**Law Enforcement**
- Sobriety Checkpoints
- Saturation Patrols
- States requested/agree to conduct activities in high-crash locations
## Regional Activities
- Law enforcement agency recruitment
- Message marketing
- Best practices information dissemination
- Planning and preparation
- Direct media technical assistance
- Post-crackdown reporting
## Supporting Resources
- Section 402 Assurances
- Increased Section 402 Funding
- Transfer Programs
- Other Funding
## Evaluation
- Public Attitude And Awareness
- States’ Activity Reports
- Crash Data | en |
markdown | 007666 | # Presentation: 007666
## Integration, the other I-Word
*Denni McColm, CIO*
*Citizens Memorial Hospital*
## Interoperability
- Capability to exchange data with systems from different vendors.
- . . . where patient records are available electronically virtually anywhere in the world.
## Integration
- One system deployed across the continuum of care / across providers, hospitals
- One database, one EMR
- EMR that crosses care settings & providers
## Slide 4
## Integration & Interoperability
- Integrated at local or regional level
- Integrated across the continuum and/or across providers
- Integrated system interoperable using new standards
## The CMH Story
- About Citizens Memorial Hospital
- 74 Beds
- Medical/Surgical, ICU, OB, Psychiatry
- 16 Physician Clinics
- Home Care & Hospice Services
- Citizens Memorial Health Care Foundation
- 5 Long Term Care Facilities
- Residential Care
- Bolivar Family Care Center
- Central Care Cancer Center
- TCTI, Nursing School
## Project Infocare
- One EMR, patient-centered, integrated
- All visits from across continuum of care
- No paper charts in the hospital and one LTC
- 100% of admitting physicians use CPOE in hospital & LTC facilities
- EMR available in hospital, LTC facilities, CMH-owned physician clinics, independent clinics, and by remote access
- Visits in EMR from physician clinics and emergency department, implementation of full clinical documentation in process
## Consensus Around Integration
- Project Goals
- Enhance access to care
- Improve continuity of care
- Provide physician connectivity
- Gain operational efficiency
- Support facilities & services expansion
- Push quality & performance improvement
## Project Infocare Vision
- Enable a patient to enter anywhere into the continuum of care and have a personal identity that is maintained across that continuum
- Physicians and other caregivers will have access to all of that patient’s medical information within the healthcare continuum
**Notes:**
Vision statement adopted during implementation planning
## Guidelines for Acquisition
- Common system solutions will be implemented for like functions where the system can meet 70%-80% of department or facility requirements which will provide for _operational integration across the continuum of care_.
## Slide 11
## Results
- 64,860 patient records in EMR since inception in December, 2002
- Each patient has, on average, six visits in the EMR from across the continuum.
- 92% of patients seen in the past year were “known to the system” (i.e. they already had a record in the EMR)
## Value of Integration
- $$$$$
- Information Sharing
- Byproducts
## $$$$ Benefits of Integration
- $6,000,000 investment spread over multiple settings
- Software, implementation, network, devices, staff time & benefits, travel & training
- Sharing of technical expertise
- Reduction in receivables
## Information Sharing Benefits
- Always available, always current
- Coordination of care - transitions across care settings non-issue
- Information to support physicians in providing quality care
## Slide 16
## Other Benefits
- Learning curve for providers
- Scheduling where the patient is
- Staff sharing across settings
- Patient Friendly registration processes (good-bye to the medical clipboard!!)
## Lessons Learned about Integration
- Extensive planning adds value
- Needs, acquisition, implementation
- Include administrative support
- Involve building consensus
- Develop written agreements
- Variations across the continuum
- Adapt without compromising patient-centeredness
- Respect the I-Word
## Coming . . .
- Physician Clinics Electronic Ambulatory Record (1 down, 15 to go)
- Emergency Department full clinical documentation and ordering (2 phases down, 2 to go)
- Bedside Medication Verification
- Evidence-based clinical decision support
- Patient Portal
## Integration, The other I-Word
- Provides quality & efficiency
- Promotes patient safety through information availability
- Reduces the “hassle factor” for physicians
- Plus – when the rest of the world is ready for interoperability – we’ll have a lot of data to share | en |
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555460.43 2874890.62 1.21 320 NODATA
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554625.85 2874876.59 1.30 322 NODATA
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553791.70 2874877.12 1.27 324 NODATA
553371.45 2874873.07 1.32 325 NODATA
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552536.75 2874860.39 1.45 327 NODATA
552125.87 2874865.94 1.45 328 NODATA
551706.28 2874870.04 1.50 329 NODATA
555860.61 2873971.00 1.37 330 NODATA
555464.48 2873959.02 1.16 331 NODATA
555039.38 2873957.22 1.26 332 NODATA
554629.90 2873954.51 1.30 333 NODATA
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550455.53 2875322.88 1.51 347 NODATA
550042.75 2874859.47 1.67 348 NODATA
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550873.47 2874863.67 1.53 350 NODATA
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551264.30 2874867.86 1.43 352 NODATA
549632.49 2873934.05 1.48 353 NODATA
550043.98 2873936.40 1.47 354 NODATA
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550879.16 2873939.61 1.46 356 NODATA
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552131.96 2873487.60 1.45 361 NODATA
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550872.03 2873481.54 1.48 364 NODATA
550456.34 2873475.61 1.48 365 NODATA
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550054.60 2873015.24 1.46 369 NODATA
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552129.32 2872567.27 1.39 380 NODATA
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549628.92 2872552.25 1.47 386 NODATA
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552136.14 2872100.15 1.36 391 NODATA
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END
| en |
markdown | 690592 | # Presentation: 690592
## NCEP SREF Bundle Jeff McQueen, Jun Du, B. Zhou, G. Manikin, E. Rogers and Geoff DiMego September 2, 2003
**where the nation’s climate and weather services begin**
## Short Range Ensemble Forecast
** ****Short Range Ensemble Forecast **
**(SREF) System**
_***Current Configuration***_
** ****Current resolution: 48 km**** **
** ****10 members: 5 Eta ****using BMJ**** plus 5 RSM ****using SAS**
**5 = 1 control + 2 breeding pairs (p1,n1,p2,n2)**
**Full North American Domain**
**Eta from June 2002, RSM from 2001**
** ****09 and 21 Z runs to 63 hours**
**GFS Ensemble boundary conditions**
** ****Products: ****AWIPS 212 CONUS grids available ****on NCEP ftp **
**Thinned Content for Each Member [standard GRIB]**
**Mean, spreads, probabilities [n**_**on-standard**_** GRIB]**
## SREF
** ****SREF **
_***Proposed Upgrades***_
** ****Late Summer: 48 km **
**Go from 10 to 15 members:**
**Add 5 Eta ****using Kain-Fritsch**** members**** **
**5 = 1 control + 2 breeding pairs (p1,n1,p2,n2)**
**NCO running in parallel since **_**September 2002**_
** ****Output format changes:**** **
** ****Use Ensemble GRIB Extension Standards**** for mean, spread and probabilistic products on AWIPS CONUS grid #212**
** ****All probabilistic products in one file (rather than 5)**
## SREF
** ****SREF **
_***Proposed Upgrades***_
** ****Additional GRIB output:**
**Requested by Service Centers**
**Eta: Additional cloud and convective products (13)**
**RSM: Additional convective fields and vertical levels (40)**
**Additional fields can be used to generate future ensemble products**
** ****Create BUFR Sounding File**
**BUFR Soundings for all 10 Eta ensemble members**
**Requested and used by SPC, HPC and AWC**
**Working on plans to ship to NCEP Service Centers**
## SREF
** ****SREF **
_***Example of Eta BUFR Sounding***_
## SREF
**SREF**
_***Eta Members Ensemble Meteogram***_
## SREF
**Grid #212: Lambert Conformal 40 km, 185x129**
_***Probabilistic Parameters***__*** ***__*** ***__*** ***__*** Units***__*** ***__*** ***__*** Threshold____________***_
**Convective Avail. Pot. Energy **** **** **** [J/kg]**** **** ****≥**** 500, 1000, 2000, 3000, 4000**** **
**Convective Inhibition (CIN) **** **** **** **** [J/kg]**** **** ****≤**** -50, -100, -200, -300, -400**** **
**Storm Relative Helicity (SREH) [m2/s2]**** **** ****≥**** 100, 150, 200, 250, 300**
**Lifted Index**** **** **** **** **** **** **** [K] ****≤**** 0, -2, -4, -6, -8 **** **
**Precipitation (3, 6, 12, 24 hr)**** **** **** [Inches]**** **** ****≥**** 0.1, 0.25,0.5, 1.0, 2.0 12hrly Accumulated Snow Fall**** **** [Inches]**** **** ****≥**** 1, 2.5, 5, 10, 20 **
**Prob precip type is rain**** **** **** [%]**
**Prob precip type is freezing rain [%]**
**Prob precip type is snow or sleet [%]**
** ****SREF **
_***GRIB formatting being fixed for these***_
_***probabilistic products***_
## SREF Proposed Upgrades July 2003 Correlation Coefficients
- 850 mb Temperature
- 850 mb U-wind
## SREF Proposed Upgrades July 2003 RMSE
- 850 mb Temperature
- 850 mb U-wind
## SREF Proposed Upgrades July 2003 Spread (Std. Deviation)
- 850 mb U-wind
**SREF Proposed Upgrades**_***July 2003 Spread (Std. Deviation)***_
## SREF Proposed Upgrades Ensemble Forecasts vs Analysis
- % Occurrence
- % Occurrence
**SREF Proposed Upgrades**_***Ensemble Forecasts vs Analysis***_
## SREF Proposed Upgrades Ensemble Members vs Analysis
- % Occurrence
**SREF Proposed Upgrades**_***Ensemble Members vs Analysis***_
## SREF Proposed Upgrades Individual Member SLP Contours
## SREF Proposed Upgrades Cold Season Application and Evaluation
## SREF Applications
_***Spring Season Applications (SPC)***_
**Advanced SREF Products w/ proposed 15 member upgrades**
*** *****SPC probability of occurrence calculations for key Severe Wx parameters:**
**Wind Shear > 40 kts in column**
**CAPE > 1000 Joules/kg **
**Convective rain > 0.01 inch**
**Multiply probabilities to form a Joint Probability Product**
**Bias corrected gridded outputs**
## SREF
**SREF***** ***
_***Wind Shear Prob > 40 kt***_
- June 06 2003
## SREF
_***CAPE > 1000***_
- June 06 2003
## SREF
_***Convective Precip Probability***_
- June 06 2003
## SREF
_***Combined Severe Weather Probability***_
- June 06 2003
## SREF
_***All Centers Give Thumbs Up plus Comments***_
- AWC: *Wants the KF members for convective forecasts *
*NGM's Kuo convective parameterization should be added to the ensemble for forecasting afternoon convection*
- SPC: *Found SREF very useful during Spring Program *
*Probabilistic products helped quantify factors influencing severe weather occurrences*
- TPC: *Will begin looking at 10 m Gale wind and **precip threshold **probability *
- HPC:* **Will use BUFR sounding output from SREF members to develop guidance for forecasting precip type during Winter Weather Experiment*
- OPC:* **Interested in **displays of convective precip probability and 10 m Gale wind probability*
## SREF
_***Other Comments***_
- Western Region:
*K-F tends to do quite a bit better here in the Southwest where our summer boundary layer is much deeper and drier *
*Should examine SREF performance in forecasts of the upper low (off the Pacific NW coast during August)** *
- Eastern Region:* *
*WFO Tauton Eta10 with K-F will often more correctly initiate convection earlier than ops runs: K-F SREF will benefit field *
*Concerns about how to display member soundings on BUFKIT and AWIPS*
*K-F ensemble will improve QPF predictions over the Northeast in concert with other operational ensembles such as MM5 ** *
## SREF Proposed Upgrade
_***Summary***_
**All upgrade package components have been JIFed and are being tested on production machine**
**Improvements seen in accuracy and spread**
**15-member ensemble and products actively used and desired by AWC, HPC and SPC**
## BACKUP SLIDES
## SREF
** ****SREF **
_***Grib Mean/Spread Products***_
**Grid 212: Lambert Conformal 40 km, 185x129**
_***Mean and spread Parameters***__*** ***__*** ***__***Units***__*** ***__*** ***__***Level***__*** ***__*** ***_***(*= not in Spread files)***
**2m Temperature**** **** **** **** ****[K]**** **** **** ****Sfc**** **** **** **
**10m U, Vwind**** **** **** **** **** ****[m/s]**** **** **** ****10 m**** **
**Total precipitation(3,6,12,24hr)**** ****[kg/m2]**** **** ****Sfc**** **** **** **
**Convective Avail. Pot. Energy **** **** ****[J/kg]**** **** **** **
**Convective inhibition (CIN) **** **** ****[J/kg]**** **** **** **** **
**Storm RElative Helicity (SREH)**** ****[m2/s2]**** **** ****0-3000 m**** **** **
**Lifted Index**** **** **** **** **** ****[K]**** **** **** ****0-30 mb abv grnd**** **
**Sea Level Pressure**** **** **** **** ****[Pa]**** **** **** ****Sfc**** **** **
**Pressure**** **** **** **** **** **** ****[Pa]**** **** **** ****1000-50 mb (every 50 mb) ?**** **** **** **
***Categorical rain ******* ****** ****** ****** ******[y/n]****** ****** ****** ******Sfc****** ****** ****** ***
***Dominant precip type (over 3hr)* ****** ******[1-7]****** ****** ****** ******Sfc ***
***12hrly Large scale Snow Fall******* ****** ******[kg/m2]****** ****** ******Sfc****** ****** ***
***12hrly Snow Depth* ****** ****** ****** ****** ******[kg/m2] ****** ****** ******Sfc***
**12hrly Accumulated Snow Fall**** **** ****[kg/m2]**** **** ****Sfc**** ***** ****** ***
***Absolute vorticity******* ****** ****** ****** ******[/s]****** ****** ****** ******1000-50 mb (every 50 mb)?***** **
**Geopotential height**** **** **** **** ****[gpm]**** **** ****1000-50 mb (every 50 mb)?**** **** **
**Relative humidity**** **** **** **** ****[%]**** **** **** ****1000-50 mb (every 50mb)?**
**U, V- wind **** **** **** **** **** ****[m/s]**** **** **** ****1000-50 mb (every 50 mb)**
**Temperature**** **** **** **** **** ****[K]**** **** **** ****1000-50 mb (every 50 mb)?**** **
**Thickness **** **** **** **** **** ****[gpm]**** **** ****1000-850, 1000-500, 850-700mb**
## SREF
** ****SREF **
_***Additional Fields in Post***_
_***Eta Fields***__*** ***__*** ***__*** ***__*** ***__*** ***__*** ***__*** ***__***RSM Fields__________________________***_
**best CAPE**** **** **** **** **** **** **** ****best CAPE **
**convective cloud cover**** **** **** **** **** ****20 new pressure levels (40 total) **
**non-convective cloud**** **** **** **** **** ****dewpoint temperature all pressure levels **
**cloud bottom height (ceiling)**** **** **** ****2m dewpoint temperature **
**cloud bottom pressure (ceiling)**** **** **** ****storm relative helicity **
**cloud top height **** **** **** **** **** **** ****storm motion **
**cloud top pressure**** **** **** **** **** ****storm motion U component **
**cloud top temperature**** **** **** **** **** ****storm motion V component **** **** **** **** **
**maximum wind level height **
**maximum wind level pressure **
**maximum wind level U component **
**maximum wind level V component **
**tropopause height***** ****** ***
## SREF
** ****SREF **
_***Recent Changes***_
- _Date__ __ __ __ __ __ __ __Change (Jif #)__________________________________
- 01/22/02 Eta Members: Implement new Ferrier Cloud physics (33)
- 08/06/02 Eta Members: Update land-sfc model heat flux routines to prevent negative fluxes (651)
- 04/14/03 RSM Members: Modify Grib post to produce extra output levels (40)
- 07/08/03 Eta members: Corrected truncation program to read from new format Eta restart files (264)
## SREF
** ****SREF **
_***Late Summer Impact Results***_
- Forecast Hour
## SREF
**http://wwwt.emc.ncep.noaa.gov/mmb/SREF/SREF.html**
**SREF **
_***Probabilistic Cloud Cover***_ | en |
all-txt-docs | 436612 | This is the accessible text file for GAO report number GAO-04-405
entitled 'Developing Countries: Achieving Poor Countries' Economic
Growth and Debt Relief Targets Faces Significant Financing Challenges'
which was released on April 16, 2004.
This text file was formatted by the U.S. General Accounting Office
(GAO) to be accessible to users with visual impairments, as part of a
longer term project to improve GAO products' accessibility. Every
attempt has been made to maintain the structural and data integrity of
the original printed product. Accessibility features, such as text
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material separately.
Report to Congressional Requesters:
April 2004:
DEVELOPING COUNTRIES:
Achieving Poor Countries' Economic Growth and Debt Relief Targets Faces
Significant Financing Challenges:
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-04-405]:
GAO Highlights:
Highlights of GAO-04-405, a report to congressional requesters
Why GAO Did This Study:
The Heavily Indebted Poor Countries (HIPC) Initiative, established in
1996, is a bilateral and multilateral effort to provide debt relief to
poor countries to help them achieve economic growth and debt
sustainability. Multilateral creditors are having difficulty financing
their share of the initiative, even with assistance from donors. Under
the existing initiative, many countries are unlikely to achieve their
debt relief targets, primarily because their export earnings are likely
to be significantly less than projected by the World Bank and
International Monetary Fund (IMF).
GAO assessed (1) the projected multilateral development banks funding
shortfall for the existing initiative and (2) the amount of funding,
including development assistance, needed to help countries achieve
economic growth and debt relief targets.
The Treasury, World Bank, and African Development Bank commented that
historical export growth rates are not good predictors of the future
because significant structural changes are under way in many countries
that could lead to greater growth. We consider these historical rates
to be a more realistic gauge of future growth because of these
countries reliance on highly volatile primary commodities and other
vulnerabilities such as HIV/AIDS.
What GAO Found:
The three key multilateral development banks we analyzed face a funding
shortfall of $7.8 billion in 2003 present value terms, or 54 percent of
their total commitment, under the existing HIPC Initiative. The World
Bank has the most significant shortfall-$6 billion. The African
Development Bank has a gap of about $1.2 billion. Neither has
determined how it would close this gap. The Inter-American Development
Bank is fully funding its HIPC obligation by reducing its future
lending resources to poor countries by $600 million beginning in 2009.
We estimate that the cost to the United States, based on its rate of
contribution to these banks, could be an additional $1.8 billion.
However, the total estimated funding gap is understated because (1) the
World Bank does not include costs for four countries for which data are
unreliable and (2) all three banks do not include estimates for
additional relief that may be required because countries economies
deteriorated after they qualified for debt relief.
Even if the $7.8 billion gap is fully financed, we estimate that the 27
countries that have qualified for debt relief may need more than $375
billion to help them achieve their economic growth and debt relief
targets by 2020. This $375 billion consists of $153 billion in expected
development assistance, $215 billion to cover lower export earnings,
and at least $8 billion in debt relief. Most countries are likely to
experience higher debt burdens and lower export earnings than the World
Bank and IMF project, leading to an estimated $215 billion shortfall
over 18 years. To reach debt targets, we estimate that countries will
need between $8 billion and $20 billion, depending on the strategy
chosen. Under these strategies, multilateral creditors switch a portion
of their loans to grants and/or donors pay countries debt service that
exceeds 5 percent of government revenue. Based on its historical share
of donor assistance, the United States may be called upon to contribute
about 12 percent of this $375 billion, or approximately $52 billion
over 18 years.
www.gao.gov/cgi-bin/getrpt?GAO-04-405.
To view the full product, including the scope
and methodology, click on the link above.
For more information, contact Joseph A. Christoff at (202) 512-8979, or
e-mail Christoffj@gao.gov.
[End of section]
Contents:
Letter:
Results in Brief:
Background:
Key Multilateral Development Banks Face Significant Challenges to
Financing the Existing Initiative:
Achieving Economic Growth and Debt Relief Targets Requires Substantial
Financial Assistance:
Agency Comments and Our Evaluation:
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
Appendix II: Status of HIPCs and Their Membership in Three Multilateral
Development Banks:
Appendix III: Alternative Strategies for Providing Debt Relief to Poor
Countries:
Appendix IV: Costs and Impact of Various Strategies for Providing Debt
Relief:
Appendix V: How Volatility in Export Earnings Affects the Likelihood
that Countries Will Achieve Debt Sustainability:
Appendix VI: Comments from the Department of the Treasury:
GAO Comments:
Appendix VII: Comments from The World Bank:
GAO Comments:
Appendix VIII: Comments from the African Development Bank:
GAO Comments:
Appendix IX: Comments from the Inter-American Development Bank:
Appendix X: GAO Contacts and Staff Acknowledgments:
GAO Contacts:
Acknowledgments:
Tables:
Table 1: Financing Challenges Facing Key Multilateral Creditors (U.S.
dollars in 2003 present value terms):
Table 2: World Bank/IMF and Historical Export Growth Rates, Debt-to-
Export Ratios, and Export Earnings Shortfall:
Table 3: Cost and Impact of Three Strategies for Providing Debt Relief
to 27 Poor Countries:
Table 4: Percentage of Loans Switched to Grants to Achieve Debt
Sustainability:
Table 5: Countries' Membership in Key Multilateral Development Banks:
Table 6: Cost and Impact of Three Strategies for Providing Debt Relief
to 27 Poor Countries (Grants and Loans Fill the Export Shortfall):
Table 7: Cost and Impact of Switching a Constant Percentage of Loans to
Grants:
Table 8: Cost and Impact of Four Options Requested by Congress for
Increasing Debt Relief to 27 Poor Countries:
Table 9: Cost and Impact of Strategy 1: Switching the Minimum Percentage
of Loans to Grants for Each Country to Achieve Debt Sustainability in
2020:
Table 10: Cost and Impact of Strategy 2: Paying Debt Service Over 5
Percent of Government Revenue:
Table 11: Cost and Impact of Strategy 3: Switching Loans to Grants to
Maximize Debt Sustainability and Paying Debt Service in Excess of 5
Percent of Government Revenue:
Table 12: Likelihood of Achieving Debt Sustainability under Different
Scenarios in 2020:
Figures:
Figure 1: Potential Cost of Topping-up Assistance by Creditor (millions
of dollars):
Figure 2: Estimated Cost to Achieve Economic Growth and Debt Relief
Targets for 27 Countries through 2020 in 2003 Present Value Terms:
Abbreviations:
AfDB: African Development Bank:
AfDF: African Development Fund:
DSA: Debt Sustainability Analysis:
FSO: Fund for Special Operations:
HIPC: Heavily Indebted Poor Country:
IBRD: International Bank for Reconstruction and Development:
IDA: International Development Association:
IaDB: Inter-American Development Bank:
IMF: International Monetary Fund:
MDB: Multilateral Development Banks:
Letter April 14, 2004:
The Honorable Michael G. Oxley:
Chairman:
The Honorable Barney Frank:
Ranking Minority Member:
Committee on Financial Services:
House of Representatives:
The Honorable Peter T. King:
Chairman:
The Honorable Carolyn B. Maloney:
Ranking Minority Member:
Subcommittee on Domestic and International Monetary Policy, Trade, and
Technology:
Committee on Financial Services:
House of Representatives:
The Heavily Indebted Poor Countries (HIPC) Initiative is a joint
bilateral and multilateral effort to provide debt relief to up to 42
poor countries to help them achieve long-term economic growth and debt
sustainability.[Footnote 1] The current cost for the initiative is
projected at about $41 billion in present value terms, funded almost
equally between bilateral and multilateral creditors.[Footnote 2]
Although the initiative was launched in 1996, multilateral creditors
are still having difficulty financing their share of the initiative,
even with assistance from bilateral donors. GAO and others have
reported that the existing initiative is unlikely to provide sufficient
debt relief to achieve long-term debt sustainability, primarily because
export earnings are likely to be significantly less than projected
under the initiative.
You asked us to analyze financing issues concerning this initiative as
well as options for providing additional relief to help countries
achieve debt targets, including debt sustainability and lower debt
service burdens. In response, we assessed (1) the multilateral
development banks' projected funding shortfall for the HIPC Initiative
and (2) the amount of funding, including development assistance, needed
to help countries achieve economic growth and debt relief targets.
The three multilateral development banks (MDB) included in our scope
are the World Bank/International Development Association (IDA), the
African Development Bank (AfDB)/African Development Fund, and the
Inter-American Development Bank (IaDB)/Fund for Special Operations
(FSO). Together they account for about 70 percent of multilateral
creditors' debt relief costs. To determine the amount and timing of
funding shortfalls, we analyzed the banks' total and annual cost
estimates and funding sources for 34 countries. To determine the amount
of funding needed to achieve economic growth and debt relief targets,
we analyzed World Bank and International Monetary Fund (IMF)
projections through 2020 for the 27 countries that have qualified for
debt relief thus far, focusing on estimates of key economic variables
including debt stock, debt service, donor assistance, government
revenue, and exports. We projected these countries' debt ratios over an
18-year period, examining the impact of realistic export growth rates,
various percentages of grants, and varying amounts of debt service
assistance. In addition, we analyzed the impact of fluctuations in
export growth on the likelihood that these countries will achieve debt
sustainability. We performed our work from June 2003 to February 2004
in accordance with generally accepted government auditing standards.
(See app. I for the details of our scope and methodology and app. II
for the status of each country.):
Results in Brief:
The three key multilateral development banks we analyzed face a funding
shortfall of $7.8 billion in present value terms, or 54 percent of
their total commitment, under the existing HIPC Initiative. The World
Bank and the AfDB have not determined how they would close this gap.
The World Bank has by far the most significant shortfall--$6 billion.
Despite significant assistance from donor governments, the African
Development Bank has a financing gap of about $1.2 billion. The IaDB is
fully funding its HIPC obligation by reducing its future lending
resources to poor countries by $600 million beginning in 2009. Based on
the rates at which the United States contributes to these three
multilateral development banks, we estimate that the United States
could be asked to contribute an additional $1.8 billion to close the
known financing shortfall for debt relief. However, the total estimated
funding gap is understated because the World Bank does not include
costs for four countries that are eligible for debt relief but for
which data are unreliable. In addition, all three banks do not include
estimates for additional relief that may be provided due to
deterioration in the countries' economic circumstances since they
qualified for debt relief under the existing initiative. The World Bank
and the IMF project that this additional relief could cost from $877
million to $2.3 billion.
Even if donors fully fund the current initiative, we estimate that the
27 countries that have qualified for debt relief may need more than
$375 billion in additional assistance from donors to help them achieve
their economic growth and debt relief targets by 2020 in present value
terms. This $375 billion consists of $153 billion in expected
development assistance, $215 billion in assistance to cover lower
export earnings, and at least $8 billion in relief to reach debt
targets. According to our analysis of World Bank and IMF projections,
these countries will need $153 billion to help them achieve their
economic growth projections and debt sustainability. However, we
consider that amount to be an underestimate because it assumes that
countries will achieve overly optimistic export growth rates. Under
lower, more realistic historical export growth rates, 23 of the 27
countries are likely to experience higher debt burdens and lower export
earnings, leading to an estimated $215 billion shortfall over 18 years.
In addition, we estimate that countries will need between $8 billion
and $20 billion in debt relief to achieve their debt targets, depending
on the strategy chosen. Under these strategies, multilateral creditors
switch a portion of their loans to grants and/or donors pay countries'
debt service that exceeds 5 percent of government revenue. Based on its
historical share of bilateral and multilateral assistance, the United
States may be asked to contribute about 14 percent of this $375
billion, or approximately $52 billion over 18 years.
We received written comments on a draft of this report from Treasury,
World Bank, AfDB, and IaDB. IaDB agreed with our report. The three
other organizations said that historical export growth rates are not
good predictors of the future because significant structural changes
are underway in many countries that could lead to greater growth. We
consider these historical rates to be a more realistic gauge of future
growth because of these countries' reliance on highly volatile primary
commodities and other vulnerabilities such as HIV/AIDS.
Background:
The World Bank and IMF have classified 42 countries as heavily indebted
and poor; three quarters of these are in subSaharan Africa. In 1996,
creditors agreed to create the HIPC Initiative to address concerns that
some poor countries would have debt burdens greater than their ability
to pay, despite debt relief from bilateral creditors.[Footnote 3] In
1999, in response to concerns about the continuing vulnerability of
these countries, the World Bank and the IMF agreed to enhance the HIPC
Initiative by more than doubling the estimated amount of debt relief
and increasing the number of potentially eligible countries. A major
goal of the HIPC Initiative is to provide recipient countries with a
permanent exit from unsustainable debt burdens.
Under the enhanced HIPC Initiative, countries seeking debt relief must
first carry out economic and social reforms under specified programs.
At a country's decision point, the World Bank and the IMF assess the
country's eligibility to receive debt relief under the initiative. At
the completion point, the World Bank and the IMF assess whether the
country has continued to implement sound economic policies and is
eligible to receive full debt relief. To determine the amount of
assistance that is required for each country to achieve debt
sustainability, the World Bank and the IMF prepare detailed economic
analyses called debt sustainability analyses (DSA), which include
economic projections covering 20 years. To date, 27 poor countries have
reached their decision points, and 10 of these have reached completion
points.[Footnote 4] (See app. II for the status of each country.):
In 1996, to help multilateral creditors meet the cost of the HIPC
Initiative, the World Bank established a HIPC Trust Fund with
contributions from member governments and some multilateral creditors.
The HIPC Trust Fund has received about $3.4 billion (nominal) in
bilateral pledges and contributions, including $750 million in pledges
from the U.S. government. The United States has already paid $600
million of this total.
Key Multilateral Development Banks Face Significant Challenges to
Financing the Existing Initiative:
The World Bank, AfDB, and IaDB face a combined financing shortfall of
$7.8 billion in present value terms under the existing HIPC Initiative.
(See table 1.):
Table 1: Financing Challenges Facing Key Multilateral Creditors (U.S.
dollars in 2003 present value terms):
Institution: World Bank; (34 countries)[A];
Estimated amount of debt relief (billion): IDA 8.8; IBRD 0.7; Total
9.5;
Financing identified (billion): IDA 2.8; IBRD 0.7; Total 3.5;
Estimated: financing gap (billion): IDA 6.0;
Estimated U.S. share of financing gap: 1.2 billion.
Institution: African Development Bank Group (32 countries)[B];
Estimated amount of debt relief (billion): 3.5;
Financing identified (billion): 2.3;
Estimated: financing gap (billion): 1.2;
Estimated U.S. share of financing gap: Between 132 and 348 million.
Institution: Inter-American Development Bank (4 countries)[C];
Estimated amount of debt relief (billion): 1.4;
Financing identified (billion): 0.8;
Estimated: financing gap (billion): 0.6[D];
Estimated U.S. share of financing gap: 300 million.
Total;
Estimated amount of debt relief (billion): 14.4;
Financing identified (billion): 6.6;
Estimated: financing gap (billion): 7.8;
Estimated U.S. share of financing gap: Between 1.6 and 1.8 billion.
Source: GAO analysis of World Bank, African Development Bank Group, and
IaDB data.
Notes:
IDA = International Development Association.
IBRD = International Bank for Reconstruction and Development.
[A] Of the 42 countries potentially eligible for debt relief, 4
countries are not likely to need relief under the initiative. Of the
remaining 38 countries, the World Bank does not include estimates for 4
countries whose data it considers unreliable.
[B] Of the 42 countries potentially eligible for debt relief, 34
countries are members of the AfDB. Of these 34 countries, 2 countries
are not likely to need relief under the initiative.
[C] Of the 42 countries potentially eligible for debt relief, only 4
countries are members of the IaDB.
[D] The IaDB's estimated financing includes a reduction in future
lending resources in the Fund for Special Operations, its concessional
lending arm.
The World Bank's share of the shortfall is $6 billion, which it will
begin addressing in spring 2004. The AfDB needs to secure at least $1.2
billion in additional funding. The IaDB expects to finance its $600
million shortfall by reducing future lending to poor
countries.[Footnote 5] Bilateral donors may be asked to contribute
additional funds under the existing initiative; the United States may
be called on to contribute an additional $1.8 billion.[Footnote 6]
However, the total projected funding gap of $7.8 billion is understated
because the World Bank estimate does not include the costs for four
countries that are eligible for debt relief but for which data are
unreliable. In addition, the estimates of all three banks do not
account for any additional relief that may be provided to countries
because their economies deteriorated since they qualified for debt
relief.
The World Bank Has An Estimated Financing Gap of $6 Billion:
Financing the enhanced HIPC Initiative remains a major challenge for
the World Bank. The total cost of the enhanced HIPC Initiative to the
World Bank for 34 countries is estimated at $9.5 billion. About $8.8
billion of this debt relief cost is for the highly concessional loans
made by IDA, which provides financing to the World Bank's poorest
member countries. The remaining $700 million in debt relief is for
loans made by the International Bank for Reconstruction and Development
(IBRD), which provides market-based loans to the World Bank's middle-
income member countries.[Footnote 7] As of June 30, 2003, the World
Bank had identified $3.5 billion in financing, resulting in a gap of
about $6 billion. (See table 1.):
To cover this gap, we estimate that IDA's financing needs beginning in
2006 for 34 HIPCs will be about $584 million on average per year
through 2020.[Footnote 8] In 2002, donor countries agreed to review the
financing gap during the IDA-14 replenishment discussions beginning in
spring 2004.[Footnote 9] If donor countries close the financing gap
through future replenishments, we estimate that the U.S. government
could be asked to contribute $1.2 billion, which is based on its
historical replenishment rate of 20 percent to IDA.[Footnote 10]
Over 70 percent of the funds IDA has identified thus far come from
transfers of IBRD's net income to IDA. Although IBRD has not committed
any of its net income for HIPC debt relief beyond 2005, we estimate
that the financing gap of $6 billion could be reduced to about $3.5
billion, or by about 42 percent, if the net income transfers from the
IBRD continue.[Footnote 11] Similarly, the U.S.'s potential share
decreases by the same percentage, from $1.2 billion to about $700
million.[Footnote 12] However, transferring more of IBRD's net income
to HIPC debt relief could come at the expense of other IBRD priorities.
For example, a portion of its net income is retained annually to ensure
IBRD's financial integrity. IBRD has also provided substantial
resources to IDA for its new lending, representing about 24 percent of
its net income over the last 5 years. Moreover, countries that borrow
from IBRD have also benefited because this net income provides partial
waivers of the interest and commitment fees IBRD charges on its loans.
AfDB Has a Financing Gap of at Least $1 Billion:
The total cost of debt relief to the AfDB for its 32 member countries
is estimated at about $3.5 billion (see table 1).[Footnote 13] As of
September 2003, the AfDB has identified financing of approximately $2.3
billion, including $2 billion from the HIPC Trust Fund and about $300
million from its own resources. Thus, AfDB is faced with a financing
shortfall of about $1.2 billion in present value terms.
Taking into account the total funds the AfDB has identified thus far
from the HIPC Trust Fund, its internal resources, and its annual cash
flow projections, AfDB estimates that it would have sufficient funds to
cover its share of HIPC commitment to its 23 current decision and
completion point countries up to 2007.[Footnote 14] We estimate that
AfDB will need about $400 million to cover its shortfall for its 23
eligible countries, as well as about $800 million for its 9 potentially
eligible countries.[Footnote 15]
We estimate that the U.S. share of the AfDB's financing shortfall is
between $132 and $348 million, depending on the method used to close
the $1.2 billion shortfall. First, assuming that the United States
contributes at its historical replenishment rate of 11 percent, we
estimate the U.S. share of AfDB's financing shortfall could be at least
$132 million.[Footnote 16] However, as of October 2002, the United
States had contributed or pledged approximately 29 percent of the
bilateral donors' resources committed to the HIPC Trust Fund. Under
that contribution rate, the U.S. share of the AfDB's financing
shortfall would be about $348 million.
IaDB Expects to Finance HIPC Commitments at the Expense of Future
Lending:
The IaDB expects to provide about $1.4 billion for HIPC debt relief to
four countries--Bolivia, Guyana, Honduras, and Nicaragua. Most of the
relief is for debt owed to the FSO, the concessional lending arm of the
IaDB that provides financing to the bank's poorer members. As of
January 2004, the IaDB has identified financing for the full $1.4
billion, about $200 million from donor contributions through the HIPC
Trust Fund and $1.2 billion through its own resources. Although the
IaDB is able to cover its full participation in the HIPC Initiative,
the institution faces about a $600 million reduction in lending
resources in its FSO lending program for the years 2009 through 2019 as
a direct consequence of providing HIPC debt relief.
According to IaDB officials, the FSO will not have enough money to lend
for the years 2009 through 2013. To eliminate this shortfall, donor
countries may be asked to provide the necessary funds through a future
replenishment contribution.[Footnote 17] Assuming that donor countries
agree to close the financing gap, we estimate that the U.S. government
could be asked to contribute about $300 million so that the FSO can
continue lending to poor countries after 2008. This estimate is based
on the 50-percent rate at which the U.S. historically contributes to
the FSO.
Financing Shortfall Is Understated:
The $7.8 billion shortfall for the three MDBs is understated for two
reasons. First, data for four eligible countries are unreliable.
Second, the financing shortfall does not include any additional relief
that may be provided to countries because their economies deteriorated
since they originally qualified for debt relief. The World Bank and IMF
estimate that this additional relief could range from $877 million to
$2.3 billion.
Four Countries' Data Are Unreliable:
The estimated financing shortfall for two institutions--IDA and the
AfDB--is understated because the data for four likely recipient
countries--Laos, Liberia, Somalia, and Sudan--are unreliable. The World
Bank considers existing estimates of the countries' total debt and
outstanding arrears to be incomplete, subject to significant change,
and it is uncertain when the countries will reach their decision
points. Similarly, the estimated costs of debt relief for three of
AfDB's countries--Liberia, Somalia, and Sudan--are likely understated
due to data reliability concerns.
Additional Relief at Countries' Completion Points Poses Additional
Costs to MDBs and Donor Governments:
Under the enhanced HIPC Initiative, creditors and donors could provide
countries with additional debt relief above the amounts agreed to at
their decision points, referred to as "topping up." This relief could
be provided when external factors, such as movements in currency
exchange rates or declines in commodity prices, cause countries'
economies to deteriorate, thereby affecting their ability to achieve
debt sustainability. The World Bank and IMF project that seven to nine
countries may be eligible for additional debt relief.[Footnote 18] Our
estimate of the likely funding shortfalls confronting the MDBs,
discussed above, does not account for this potential additional debt
relief. The World Bank and IMF made a preliminary estimate that this
additional relief could cost from $877 million to about $2.3 billion,
depending on whether additional bilateral relief is included or
excluded from the calculation. (See fig. 1.):
Figure 1: Potential Cost of Topping-up Assistance by Creditor (millions
of dollars):
[See PDF for image]
Note: The Paris Club is a group of bilateral creditor countries that
meets to negotiate sovereign debt rescheduling and debt relief.
Commercial creditors' costs are grouped with other bilaterals and
account for about 10 percent of this subgroup's costs.
[End of figure]
Furthermore, the topping-up estimate considered only the 27 countries
that have reached their decision or completion point; the estimate may
rise as additional countries reach their decision points.
Donor countries currently disagree on whether bilateral debt relief
provided outside the HIPC framework should be counted as part of the
debt relief needed for countries to achieve their debt sustainability
targets. Donors that support including additional bilateral relief in
topping-up calculations would benefit through lower additional costs.
For instance, most Paris Club countries would not have additional costs
for relieving their bilateral debt because they have already pledged
100-percent debt relief,[Footnote 19] but they could be asked to fund
the multilateral creditors' debt relief. In contrast, if additional
bilateral relief were excluded from topping-up calculations, creditors'
HIPC costs would increase substantially. In this case, Paris Club
creditors would be faced with higher HIPC bilateral costs, as well as
potential contributions to cover higher multilateral creditors' costs.
Donors that support this method intend to provide HIPCs with a cushion
against external shocks by ensuring that additional bilateral relief
results in debt ratios below the targets.
Using the lower cost methodology and limiting the analysis to the
countries that have qualified but have yet to receive final debt
relief,[Footnote 20] the World Bank and the IMF project that at their
completion points seven countries would exceed the debt-to-export ratio
calculated at their decision points.[Footnote 21] In addition, if the
lower cost methodology were to consider countries that have already
reached their completion points and received topping up, the total
estimate would increase to about $877 million. The World Bank's share
would be $459 million, and the AfDB's share would be $127 million. (See
fig. 1.):
If the additional bilateral relief is excluded from the topping up
calculation, as some donor countries advocate, the amount of additional
debt relief increases from $877 million to $2.3 billion, including the
cost for countries that have already reached their completion
points.[Footnote 22] Under this methodology, the cost to the World Bank
and AfDB for topping-up would approximately double.[Footnote 23] (See
fig. 1.) Depending on the method used to calculate topping up, the
additional cost to the U.S. government could range from $106 million to
$207 million for assistance to the World Bank and AfDB, based on the
U.S. historical replenishment rates to these banks.[Footnote 24]
Achieving Economic Growth and Debt Relief Targets Requires Substantial
Financial Assistance:
Even if the $7.4 billion shortfall is fully financed, we estimate that,
if exports grow slower than the World Bank and IMF project, the 27
countries that have qualified for debt relief may need more than $375
billion, in additional assistance, to help them achieve their economic
growth and debt relief targets through 2020. This $375 billion consists
of $153 billion in expected development assistance, $215 billion in
assistance to fund shortfalls from lower export earnings, and at least
$8 billion for debt relief (see fig. 2). If the United States decides
to help fund the $375 billion, we estimate it would cost approximately
$52 billion over 18 years.
Figure 2: Estimated Cost to Achieve Economic Growth and Debt Relief
Targets for 27 Countries through 2020 in 2003 Present Value Terms:
[See PDF for image]
[End of figure]
Countries Projected to Receive Development Assistance through 2020:
According to our analysis of World Bank and IMF projections, bilateral
donors and multilateral creditors are expected to provide $153 billion
in development assistance to 27 HIPCs from 2003 to 2020. These
estimates assume that the countries will follow their World Bank and
IMF development programs, including undertaking recommended reforms and
achieving economic growth rates consistent with reducing poverty and
maintaining long-term debt sustainability.[Footnote 25] These
conditions will help countries meet their development objectives,
including the Millennium Development Goals that world leaders committed
to in 2000. These goals include reducing poverty, hunger, illiteracy,
gender inequality, child and maternal mortality, disease, and
environmental degradation. Another goal calls on rich countries to
build stronger partnerships for development and to relieve debt,
increase aid, and give poor countries fair access to their markets and
technology.
Countries Face a Substantial Financial Shortfall in Export Earnings:
We estimate that 23 of the 27 HIPC countries will earn about $215
billion less from their exports than the World Bank and IMF project.
The World Bank and IMF project that all 27 HIPC countries will become
debt sustainable by 2020 if their exports grow at an average of 7.7
percent each year, they receive debt relief under the HIPC Initiative,
and donors provide their expected assistance. However, as we have
previously reported, the projected export growth rates are overly
optimistic.[Footnote 26] We estimate that export earnings are more
likely to grow at the historical annual average of 3.1 percent--less
than half the rate the World Bank and IMF project. Under lower,
historical export growth rates, countries are likely to have lower
export earnings and unsustainable debt levels (see table 2). We
estimate the total amount of the potential export earnings shortfall
over the 2003 to 2020 projection period to be $215 billion.[Footnote
27]
Table 2: World Bank/IMF and Historical Export Growth Rates, Debt-to-
Export Ratios, and Export Earnings Shortfall:
Benin;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 80.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 150.9;
Export growth rates (percentage): World Bank/IMF (projected): 8.3;
Export growth rates (percentage): Historical (1981-2000): 5.1;
Export earnings shortfall (billions of dollars): $3.7.
Bolivia;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 122.5;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 225.7;
Export growth rates (percentage): World Bank/IMF (projected): 7.6;
Export growth rates (percentage): Historical (1981-2000): 4.0;
Export earnings shortfall (billions of dollars): $13.6.
Burkina Faso;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 118.3;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 477.9;
Export growth rates (percentage): World Bank/IMF (projected): 9.0;
Export growth rates (percentage): Historical (1981-2000): 1.4;
Export earnings shortfall (billions of dollars): $4.4.
Cameroon;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 71.1;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 228.5;
Export growth rates (percentage): World Bank/IMF (projected): 6.3;
Export growth rates (percentage): Historical (1981-2000): -0.1;
Export earnings shortfall (billions of dollars): $29.7.
Chad;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 119.5;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 137.0;
Export growth rates (percentage): World Bank/IMF (projected): 11.9;
Export growth rates (percentage): Historical (1981-2000): 7.9;
Export earnings shortfall (billions of dollars): $8.2.
DRC;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 90.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 625.9;
Export growth rates (percentage): World Bank/IMF (projected): 9.4;
Export growth rates (percentage): Historical (1981-2000): -3.2;
Export earnings shortfall (billions of dollars): $21.8.
Ethiopia;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 75.5;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 199.0;
Export growth rates (percentage): World Bank/IMF (projected): 8.0;
Export growth rates (percentage): Historical (1981-2000): 2.9;
Export earnings shortfall (billions of dollars): $11.7.
The Gambia;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 83.2;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 75.9;
Export growth rates (percentage): World Bank/IMF (projected): 6.3;
Export growth rates (percentage): Historical (1981-2000): 7.5;
Export earnings shortfall (billions of dollars): $0.0.
Ghana;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 94.5;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 81.1;
Export growth rates (percentage): World Bank/IMF (projected): 6.6;
Export growth rates (percentage): Historical (1981-2000): 8.0;
Export earnings shortfall (billions of dollars): $0.0.
Guinea;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 90.3;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 217.2;
Export growth rates (percentage): World Bank/IMF (projected): 6.6;
Export growth rates (percentage): Historical (1981-2000): 1.7;
Export earnings shortfall (billions of dollars): $8.7.
Guinea-Bissau;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 120.1;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 153.7;
Export growth rates (percentage): World Bank/IMF (projected): 8.8;
Export growth rates (percentage): Historical (1981-2000): 7.8;
Export earnings shortfall (billions of dollars): $0.4.
Guyana;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 49.8;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 48.7;
Export growth rates (percentage): World Bank/IMF (projected): 3.7;
Export growth rates (percentage): Historical (1981-2000): 4.2;
Export earnings shortfall (billions of dollars): $0.0.
Honduras;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 31.3;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 46.0;
Export growth rates (percentage): World Bank/IMF (projected): 9.4;
Export growth rates (percentage): Historical (1981-2000): 7.2;
Export earnings shortfall (billions of dollars): $24.2.
Madagascar;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 79.0;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 111.0;
Export growth rates (percentage): World Bank/IMF (projected): 7.7;
Export growth rates (percentage): Historical (1981-2000): 6.0;
Export earnings shortfall (billions of dollars): $5.9.
Malawi;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 121.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 132.5;
Export growth rates (percentage): World Bank/IMF (projected): 4.8;
Export growth rates (percentage): Historical (1981-2000): 4.3;
Export earnings shortfall (billions of dollars): $0.4.
Mali;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 139.7;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 119.0;
Export growth rates (percentage): World Bank/IMF (projected): 6.3;
Export growth rates (percentage): Historical (1981-2000): 6.9;
Export earnings shortfall (billions of dollars): $0.0.
Mauritania;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 82.9;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 236.1;
Export growth rates (percentage): World Bank/IMF (projected): 6.3;
Export growth rates (percentage): Historical (1981-2000): 1.3;
Export earnings shortfall (billions of dollars): $3.9.
Mozambique;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 40.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 79.7;
Export growth rates (percentage): World Bank/IMF (projected): 10.3;
Export growth rates (percentage): Historical (1981-2000): 5.2;
Export earnings shortfall (billions of dollars): $21.1.
Nicaragua;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 59.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 94.3;
Export growth rates (percentage): World Bank/IMF (projected): 8.0;
Export growth rates (percentage): Historical (1981-2000): 5.7;
Export earnings shortfall (billions of dollars): $6.9.
Niger;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 137.5;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 643.2;
Export growth rates (percentage): World Bank/IMF (projected): 7.0;
Export growth rates (percentage): Historical (1981-2000): -1.6;
Export earnings shortfall (billions of dollars): $3.8.
Rwanda;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 131.6;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 1,403.7;
Export growth rates (percentage): World Bank/IMF (projected): 10.7;
Export growth rates (percentage): Historical (1981-2000): -3.6;
Export earnings shortfall (billions of dollars): $4.2.
So Tom and Prncipe;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 144.0;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 946.3;
Export growth rates (percentage): World Bank/IMF (projected): 7.4;
Export growth rates (percentage): Historical (1981-2000): -4.2;
Export earnings shortfall (billions of dollars): $0.4.
Senegal;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 56.9;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 98.7;
Export growth rates (percentage): World Bank/IMF (projected): 6.0;
Export growth rates (percentage): Historical (1981-2000): 3.0;
Export earnings shortfall (billions of dollars): $11.2.
Sierra Leone;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/IMF growth rate: 104.3;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 831.8;
Export growth rates (percentage): World Bank/IMF (projected): 9.1;
Export growth rates (percentage): Historical (1981-2000): -3.4;
Export earnings shortfall (billions of dollars): $2.9.
Tanzania;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 117.1;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 149.2;
Export growth rates (percentage): World Bank/IMF (projected): 7.0;
Export growth rates (percentage): Historical (1981-2000): 6.2;
Export earnings shortfall (billions of dollars): $5.3.
Uganda;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 104.3;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 263.8;
Export growth rates (percentage): World Bank/IMF (projected): 9.5;
Export growth rates (percentage): Historical (1981-2000): 4.3;
Export earnings shortfall (billions of dollars): $9.6.
Zambia;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 100.7;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 270.3;
Export growth rates (percentage): World Bank/IMF (projected): 6.6;
Export growth rates (percentage): Historical (1981-2000): 0.6;
Export earnings shortfall (billions of dollars): $12.3.
Average;
Debt-to-export ratios in 2020 (percentage): Under
World Bank/ IMF growth rate: 95.1;
Debt-to-export ratios in 2020 (percentage): Under
historical growth rate[A]: 298.0;
Export growth rates (percentage): World Bank/IMF (projected): 7.7;
Export growth rates (percentage): Historical (1981-2000): 3.1;
Export earnings shortfall (billions of dollars); Total: $214.5.
Source: GAO analysis of IMF and World Bank debt sustainability
analyses.
[A] This analysis assumes countries incur no further debt as a result
of their export earnings shortfall. Under this assumption, 12 countries
are projected to be sustainable: Chad, The Gambia, Ghana, Guyana,
Honduras, Madagascar, Malawi, Mali, Mozambique, Nicaragua, Senegal, and
Tanzania.
[End of table]
High export growth rates are unlikely because HIPC countries rely
heavily on primary commodities such as coffee, cotton, and copper for
much of their export revenue. Historically, the prices of these
commodities have fluctuated, often downward, resulting in lower export
earnings and worsening debt indicators. A 2003 World Bank report found
that the World Bank/IMF growth assumptions had been overly optimistic
and recommended more realistic economic forecasts when assessing debt
sustainability.[Footnote 28]
Since HIPC countries are assumed to follow their World Bank and IMF
reform programs, any export shortfalls are considered to be caused by
factors outside their control such as weather and natural disasters,
lack of access to foreign markets, or declining commodity prices.
Although failure to follow the reform program could result in the
reduction or suspension of development assistance, export shortfalls
due to outside factors would not be expected to have this result. For
countries to achieve the economic growth rates consistent with their
development goals, donors would need to fund the $215 billion
shortfall. Without this additional assistance, countries would grow
slower, resulting in reduced imports, lower gross domestic product
(GDP), and lower government revenue. These conditions could undermine
progress toward poverty reduction and other goals.
Additional Assistance Will Lead to Debt Sustainability in Most
Countries:
Even if donors make up the export earnings shortfall, more than half of
the 27 countries will experience unsustainable debt levels.[Footnote
29] We estimate that these countries will require $8.5 to $19.8 billion
more to achieve debt sustainability and debt service goals.[Footnote
30] In considering strategies for future debt relief, we examined (1)
switching various percentages of multilateral loans to grants and (2)
paying each country's debt service-to-fiscal revenue ratio in excess of
5 percent of government revenue. A country's debt service-to-fiscal
revenue ratio more closely links the country's debt burden to the
ability of the public sector to generate income. Many HIPC countries
are suffering public health crises, most notably HIV/AIDS, which could
put an additional burden on government revenue.
After examining 40 strategies for providing debt relief, we narrowed
our analysis to three specific strategies: (1) switching the minimum
percentage of loans to grants for future multilateral development
assistance for each country to achieve debt sustainability,[Footnote
31] (2) paying debt service in excess of 5 percent of government
revenue, and (3) combining strategies (1) and (2).[Footnote 32] We
chose these strategies because they maximize the number of countries
achieving debt sustainability while minimizing costs to
donors.[Footnote 33] We found that, with this debt relief, as many as
25 countries could become debt sustainable[Footnote 34] and all
countries achieve a debt service-to-revenue ratio below 5 percent over
the entire 18-year projection period (see table 3).
Table 3: Cost and Impact of Three Strategies for Providing Debt Relief
to 27 Poor Countries:
1. Strategy: Switch the minimum percentage of loans to grants for each
country to achieve debt sustainability;
Cost of debt relief (billions of dollars): $8.5;
Number of countries achieving debt sustainability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003-2020: 2.
2. Strategy: Pay debt service in excess of 5 percent of government
revenue;
Cost of debt relief (billions of dollars): $12.6;
Number of countries achieving debt sustainability in 2020: 12;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003-2020: 27.
3. Strategy: Switch the minimum percentage of loans to grants and then
pay debt service in excess of 5 percent of revenue;
Cost of debt relief (billions of dollars): $19.8;
Number of countries achieving debt sustainability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003-2020: 27.
Source: GAO analysis of World Bank and IMF data.
[End of table]
In the first strategy, multilateral creditors switch the minimum
percentage of loans to grants for each country to achieve debt
sustainability in 2020. We estimate that the additional cost of this
strategy would be $8.5 billion.[Footnote 35] The average percentage of
loans switched to grants for all countries under this strategy would be
33.5 percent.[Footnote 36] Twelve countries are projected to be debt
sustainable with no further assistance. In addition, 13 countries would
achieve sustainability by switching between 2 percent (Benin) and 96
percent (So Tom and Prncipe) of new loans to grants (see table 4). A
total of 25 countries could be debt sustainable by 2020, although only
2 countries would achieve the 5-percent debt service-to-revenue target
over the entire period.
Table 4: Percentage of Loans Switched to Grants to Achieve Debt
SustainabilityA:
Country: Benin;
Loans switched to grants (percentage): 1.7.
Country: Bolivia;
Loans switched to grants (percentage): 32.7.
Country: Burkina Faso;
Loans switched to grants (percentage): 86.9.
Country: Cameroon;
Loans switched to grants (percentage): 42.7.
Country: Chad;
Loans switched to grants (percentage): 0.0.
Country: Congo (Dem. Rep.);
Loans switched to grants (percentage): 89.0.
Country: Ethiopia;
Loans switched to grants (percentage): 42.4.
Country: The Gambia;
Loans switched to grants (percentage): 0.0.
Country: Ghana;
Loans switched to grants (percentage): 0.0.
Country: Guinea;
Loans switched to grants (percentage): 39.5.
Country: Guinea-Bissau;
Loans switched to grants (percentage): 3.3.
Country: Guyana;
Loans switched to grants (percentage): 0.0.
Country: Honduras;
Loans switched to grants (percentage): 0.0.
Country: Madagascar;
Loans switched to grants (percentage): 0.0.
Country: Malawi;
Loans switched to grants (percentage): 0.0.
Country: Mali;
Loans switched to grants (percentage): 0.0.
Country: Mauritania;
Loans switched to grants (percentage): 57.3.
Country: Mozambique;
Loans switched to grants (percentage): 0.0.
Country: Nicaragua;
Loans switched to grants (percentage): 0.0.
Country: Niger[B];
Loans switched to grants (percentage): 100.0.
Country: Rwanda[B];
Loans switched to grants (percentage): 100.0.
Country: So Tom and Prncipe;
Loans switched to grants (percentage): 95.9.
Country: Senegal;
Loans switched to grants (percentage): 0.0.
Country: Sierra Leone;
Loans switched to grants (percentage): 93.6.
Country: Tanzania;
Loans switched to grants (percentage): 0.0.
Country: Uganda;
Loans switched to grants (percentage): 57.1.
Country: Zambia;
Loans switched to grants (percentage): 61.3.
Average;
Loans switched to grants (percentage): 33.5.
Source: GAO analysis of World Bank and IMF data.
[A] This assumes countries receive grants to fund their export
shortfall.
[B] Niger and Rwanda do not achieve debt sustainability, even with 100-
percent grants.
[End of table]
The second strategy is aimed at reducing each country's debt service
burden. Under this strategy, donors would provide assistance to cover
annual debt service above 5 percent of government revenue. We estimate
that this strategy would cost an additional $12.6 billion to achieve
the 5-percent debt service-to-revenue goal for all countries throughout
the projection period. Under this strategy, no additional countries
become debt sustainable other than the 12 that are already projected to
be debt sustainable with no further assistance. While this strategy
would free significant resources for poverty reduction expenditures, it
could provide an incentive for countries to pursue irresponsible
borrowing policies. By guaranteeing that no country would have to pay
more than 5 percent of its revenue in debt service, this strategy would
separate the amount of a country's borrowing from the amount of its
debt repayment. Consequently, it could encourage countries to borrow
more than they are normally able to repay, increasing the cost to
donors and reducing the resources available for other countries.
The third strategy combines strategies 1 and 2 to achieve both debt
sustainability and a lower debt-service burden. Under this strategy,
multilateral creditors would first switch the minimum percentage of
loans to grants to achieve debt sustainability, and then donors would
pay debt service in excess of 5 percent of government revenue. We
estimate that this strategy would cost an additional $19.8 billion,
including $8.5 billion for switching loans to grants, and $11.3 billion
for reducing debt service to 5 percent of revenue. Under this strategy,
25 countries would achieve debt sustainability in 2020, that is, 13
countries in addition to the 12 that are projected to be debt
sustainable with no further assistance. All 27 countries would reach
the 5-percent debt-service goal for the duration of the projection
period. However, similar to the debt-service strategy above, this
strategy dissociates borrowing from repayment and could encourage
irresponsible borrowing policies.
Potential U.S. Costs Are Significant:
If the United States decides to help fund the $375 billion, we estimate
that it could cost approximately $52 billion over 18 years, both in
bilateral grants and in contributions to multilateral development
banks. This amount consists of $24 billion, which represents the U.S.
share of the $153 billion in expected development assistance projected
by the World Bank and IMF, as well as approximately $28 billon for the
increased assistance to the 27 countries. Historically, the United
States has been the largest contributor to the World Bank and IaDB, and
the second largest contributor to the AfDB, providing between 11 and 50
percent of their funding. The U.S. share of bilateral assistance to the
27 countries we examined has historically been about 12 percent.
Volatility in Export Earnings Likely to Further Increase the Cost of
Achieving Debt Sustainability:
The export earnings of HIPC countries experience large year-to-year
fluctuations due to their heavy reliance on primary commodities,
weather extremes, natural disasters, and other factors.[Footnote 37] We
found that the higher a country's export volatility, the lower its
likelihood of achieving debt sustainability. For example, Honduras has
low export volatility resulting in little impact on its debt
sustainability. In contrast, Rwanda has very high export volatility,
which greatly lowers its probability of achieving debt sustainability.
Since volatility in export earnings reduces countries' likelihood of
achieving debt sustainability, it is also likely to further increase
donors' cost as countries may require an even greater than expected
level of debt relief to achieve debt sustainability. See appendix VI
for a detailed discussion of the impact of fluctuations in export
earnings on debt sustainability.
Agency Comments and Our Evaluation:
We received written comments on a draft of this report from the
Department of the Treasury, the World Bank, AfDB, and IaDB. These
comments and our evaluation of them are reprinted in appendixes VI,
VII, VIII, and IX. The organizations also provided technical comments
that we discussed with relevant officials and have included in this
report where appropriate.
The Treasury stated that the report leaves the impression that very
large amounts of money will be needed in the future; the HIPC Trust
Fund has a financing gap; and the HIPC Initiative was never intended to
ensure an exit from unsustainable debt burdens. We agree that the
challenge of achieving high economic growth rates, while maintaining
debt sustainability, will likely require a substantial commitment of
resources from the donors beyond what the World Bank and IMF project.
Our report refers to financing challenges over the life of the
initiative, not specifically to the HIPC Trust Fund at this point in
time. Under the current pay-as-you-go approach, we did not identify a
gap in the HIPC Trust Fund. However, as Treasury recognized in its
letter, there are several factors that are likely to result in the need
for additional resources in the future. Our report provides estimates
of those and other emerging costs. Numerous official World Bank and IMF
documents, as recent as 2003, affirm that a permanent, lasting, or
durable exit from unsustainable debt remains a central objective of the
HIPC Initiative. While the Treasury may have retreated from this
objective, the World Bank and IMF have not.
The World Bank disagreed with the assumption that deviations from
projected debt profiles would be offset only through additional debt
relief or compensatory financing, and not through other forms of
adjustments. We disagree with this characterization. The report
explicitly states that donors have the option of not financing the
export shortfalls, however, this will reduce the funds available for
poverty reduction and hamper countries' economic growth. The World Bank
concurred with our finding that long-term projections of export growth
rates need to be more realistic and the report's emphasis on pursuing a
sustainable development finance strategy for countries that have
received debt relief.
AfDB said that our estimate of the financing shortfall for the 23
countries that have already qualified for debt relief is overstated. We
disagree with this assessment. We consider our estimate to be more
accurate because it accounts for the actual amount of resources the
AfDB has identified to contribute to the initiative and converts the
estimate into 2003 dollars. The AfDB also said that our finding that
countries are likely to need considerable assistance in the future to
meet their debt relief and economic growth targets is likely to be
correct.
All three institutions said that our use of historical export growth
rates are not good predictors of the future because significant
structural changes are underway in many countries that could lead to
greater growth. We consider these historical rates to be a more
realistic gauge of future growth because of these countries reliance on
highly volatile primary commodities and other vulnerabilities such as
HIV/AIDS.
IaDB agreed with our report.
As agreed with your office, unless you publicly announce the contents
of this report earlier, we plan no further distribution until 30 days
from the report date. At that time, we will send copies of this report
to the Honorable John Snow, Secretary of the Treasury, and to
appropriate congressional committees. We are also sending copies to the
World Bank, AfDB, IaDB, and IMF. Copies will be made available to
others upon request and at no charge on the GAO Web site at
[Hyperlink, http://www.gao.gov.].
If you or your staff have any questions regarding this report, please
contact me on (202) 512-8979. Other GAO contacts and staff are
acknowledged in appendix X.
Signed by:
Joseph A. Christoff, Director:
International Affairs and Trade:
[End of section]
Appendixes:
Appendix I: Objectives, Scope, and Methodology:
The Chairman and Ranking Member of the House Financial Services
Committee and the Chairman and Ranking Member of the Subcommittee on
Domestic and International Monetary Policy, Trade, and Technology of
the House Financial Services Committee asked us to conduct a review of
the Heavily Indebted Poor Countries (HIPC) Initiative. In response, we
assessed (1) the multilateral development banks' projected funding
shortfall for the existing HIPC Initiative and (2) the amount of
funding, including development assistance, needed to help countries
achieve economic growth and debt relief targets. The scope of our work
involved three key multilateral development banks (MDB)--the World
Bank/International Development Association (IDA), African Development
Bank (AfDB)/African Development Fund (AfDF), and the Inter-American
Development Bank (IaDB)/Fund for Special Operations (FSO), as well as
the 42 potentially eligible HIPCs.[Footnote 38] (See app. II for the
status of the 42 countries potentially eligible for HIPC and their
membership in the MDBs.):
Methodology for Assessing the Financing Shortfall of the Existing
Initiative:
To determine the MDBs' financing shortfall in present value terms, we
analyzed each bank's cost and the total funding each institution has
identified. This analysis covered 34 countries for the World Bank, 32
for the AfDB, and 4 for the IaDB. To determine the amount of debt
relief each bank has committed to under the initiative, we reviewed
documents prepared by the World Bank, AfDB, IaDB, and the International
Monetary Fund (IMF).[Footnote 39] To determine the amount of internal
and external resources available for each bank, we reviewed their
implementation status reports and financial statements. This
information included the amount of money that each MDB has already
received or expects to receive from the HIPC Trust Fund. We also
determined the amount of funds each bank currently has and expects to
receive annually to calculate the present value of these commitments.
This analysis also enabled us to determine the magnitude and timing of
financing shortfalls for the three banks. To determine the amount of
financing the U.S. government may be asked to pay for the MDBs'
financing shortfall, we obtained and reviewed information from U.S.
Treasury officials regarding the U.S.'s historical rates of
replenishment for each MDB, as well as the amount of funds the U.S.
government has provided and plans to provide to each bank through the
HIPC Trust Fund. We discussed our analysis with officials from the
three banks and the U.S. Treasury.
Methodology for Assessing the Amount of Funding Needed to Achieve
Targets:
General Approach:
We analyzed World Bank and IMF staff projections contained within the
debt sustainability analyses (DSA) to assess the impact of historical
export growth rates[Footnote 40] on countries' debt burdens and the
funding needed to achieve economic growth and debt relief targets for
the 27 countries that have reached their decision or completion
points.[Footnote 41] According to our analysis of the DSAs, the World
Bank and IMF project these countries will receive $153 billion in
development assistance through 2020. Our analysis builds on prior work
that examined the HIPC Initiative, including the World Bank and IMF
DSAs.[Footnote 42] The DSAs contain 20-year economic projections for
each country's exports, national income, government revenue, debt
stock, debt service, and other economic variables. Most countries' DSAs
also provide projections of expected future loans, grants, and balance
of payment gaps. These projections provided us with the basis for
creating a database to assess the impact of changing key assumptions
such as export growth rates, percentage of multilateral assistance in
the form of grants, and debt service assistance payments on countries'
debt targets.
While the countries' DSAs are publicly available, data inconsistencies
among countries, gaps in information, and missing variables presented
challenges in constructing a database for our analyses. Since few DSAs
provided annual data for the entire 20-year projection period, and
several DSAs were missing key economic variables,[Footnote 43] we used
a variety of methodologies and statistical techniques to interpolate
these missing data and compute missing variables. Consistent with the
World Bank and IMF estimates, our analysis used the December 2002
Commercial Interest Reference Rate (CIRR) for the Special Drawing
Rights (SDR).[Footnote 44] We reviewed the underlying methodology of
the DSAs, vetted key assumptions, and discussed country-specific
questions with IMF staff. We supplemented our analysis with additional
information from IMF, World Bank, AfDB, and IaDB officials.:
Assessing the Impact of Lower Export Growth:
To illustrate the impact of lower export growth on the cost to donors
and on countries' debt burdens, we substituted each country's DSA
export growth rate with its historical growth rate. The difference
between the export earnings projected in the DSA and the export
earnings projected using the historical rates is defined as the export
earnings shortfall. In order to keep countries on their projected gross
domestic product growth paths, we assume that donors will need to make
up this shortfall. The present value of this shortfall for these 27
countries is $215 billion. We also analyzed how the form of financing
the shortfall impacts countries' debt burdens. If the shortfall is made
up by grants only, each country's debt remains the same. However, the
countries' debt-to-export ratios will increase due to lower export
earnings. If the shortfall is made up by a mix of grants and
loans,[Footnote 45] countries' debt will increase. To determine the
countries' new debt burden, we calculated the debt service and the net
present value of the debt from these new loans.
Assessing 40 Strategies for Increasing Debt Relief:
To determine the amount of funding needed to achieve debt relief
targets under projected and historical growth rates, we analyzed 40
different strategies for providing debt relief. These strategies
included financing the export earnings shortfalls with grants only or a
combination of loans and grants, switching the minimal percentage of
loans to grants for each country to achieve debt targets, switching a
constant percentage of loans to grants for all countries, and paying
debt service in excess of 5 percent of government revenue. For each of
these strategies, we calculated the potential costs to donors to help
countries achieve the debt targets. These costs include foregone MDB
loan receipts from switching baseline DSA loans to grants and the debt
service assistance needed to achieve the 5 percent debt service-to-
revenue target. Finally, we compared the results of the various
strategies, highlighting those strategies that maximized the number of
countries achieving debt targets while minimizing costs to donors.
Assessing the Impact of Export Volatility:
To assess how export volatility would affect the likelihood of
achieving debt sustainability we used a Monte Carlo process that
randomly drew 18,000 export growth rates (for each of 1,000 runs, 18
simultaneous draws, one for each year) from a distribution that
reflects the historic growth volatility of each country. The
distribution was based on the annual export growth rates from 1981 to
2000 for each country. In our Monte Carlo process, the 18 growth
intervals of each country were assigned an equal probability of
reoccurrence in the future. Projected export levels were then
extrapolated with the growth rates randomly drawn from the country's
export growth distribution. To ensure that positive and negative growth
rates were treated the same (or with equal weight) we incorporated
growth rates into our model in a multiplicative fashion rather than in
an additive form. The probability of achieving debt sustainability in
2020 was determined by the percentage of outcomes in 2020 with a debt-
to-export ratio below 150 percent.
Methodology for Assessing Data Reliability:
We used three key variables--debt stock, historical rates of export
growth, and MDBs funding sources--to assess both objectives. To assess
the reliability of the debt stock data, we (1) discussed the data with
the IMF and (2) reviewed their accounting process to determine
outstanding country debt. Every alleged debt is vetted by both the
country and the creditor and then independently reviewed by the IMF and
the World Bank on behalf of the Paris Club. As we found this process to
be rigorous, we determined that the debt stock data are sufficiently
reliable for the purposes of our engagement. To assess the reliability
of the historical rates of export growth, we reviewed the IMF and World
Bank's published documentation and records from our prior work that
utilized these data. While these data have a number of limitations due
to differences in data collection procedures in the 27 countries we
reviewed, they are (1) used by the IMF to determine debt relief; (2)
widely used by other acknowledged experts in this area; and (3) the
only source of available data. Therefore, we determined that they are
sufficiently reliable to use for examining the impact of debt relief on
countries' debt sustainability. To assess the reliability of the
internal and external funding sources of the three MDBs, we (1)
reviewed their debt relief financing plans; (2) reviewed the audited
financial statements of the HIPC Trust Fund; and (3) corroborated the
funding sources through interviews with knowledgeable MDB staff in
budget, accounting, and finance. We determined the funding sources were
sufficiently reliable for the purposes of this review.
We performed our work from June 2003 to February 2004 in accordance
with generally accepted government auditing standards.
[End of section]
Appendix II: Status of HIPCs and Their Membership in Three Multilateral
Development Banks:
Forty-two countries are potentially eligible to receive debt relief
under the existing enhanced HIPC Initiative. Since the enhanced
initiative was launched in 1999, 10 countries have reached their
completion points, meaning that the World Bank and IMF have determined
that the countries have completed HIPC and are eligible to receive full
debt relief. Seventeen are currently at their decision points, meaning
the World Bank and IMF have determined they are eligible to receive
debt relief under the initiative (see table 5).
Table 5: Countries' Membership in Key Multilateral Development Banks:
Completion point countries (10):
Benin;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Bolivia;
World Bank/IDA: Yes;
AfDB: No;
IaDB: Yes.
Burkina Faso;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Guyana;
World Bank/IDA: Yes;
AfDB: No;
IaDB: Yes.
Mali;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Mauritania;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Mozambique;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Nicaragua;
World Bank/IDA: Yes;
AfDB: No;
IaDB: Yes.
Tanzania;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Uganda;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Decision point countries (17):
Cameroon;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Chad;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Congo (Dem. Rep.);
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Ethiopia;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
The Gambia;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Ghana;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Guinea;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Guinea-Bissau;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Honduras;
World Bank/IDA: Yes;
AfDB: No;
IaDB: Yes.
Madagascar;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Malawi;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Niger;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Rwanda;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
So Tom and Prncipe;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Senegal;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Sierra Leone;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Countries still to be considered (11):
Burundi;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Central African Republic;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Comoros;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Congo (Rep. of);
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Cote d'Ivoire;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Lao People's Democratic Republic;
World Bank/IDA: Yes;
AfDB: No;
IaDB: No.
Liberia;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Myanmar;
World Bank/IDA: Yes;
AfDB: No;
IaDB: No.
Somalia;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Sudan;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Togo;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Potentially debt-sustainable countries (4):
Angola;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Kenya;
World Bank/IDA: Yes;
AfDB: Yes;
IaDB: No.
Vietnam;
World Bank/IDA: Yes;
AfDB: No;
IaDB: No.
Yemen, Republic of;
World Bank/IDA: Yes;
AfDB: No;
IaDB: No.
Total;
World Bank/IDA: 42;
AfDB: 34;
IaDB: 4.
Source: IMF and International Development Association.
[End of table]
[End of section]
Appendix III: Alternative Strategies for Providing Debt Relief to Poor
Countries:
We analyzed 40 strategies for providing debt relief to poor countries.
We highlighted three of these strategies in this report because we
found they were the most cost effective. This appendix discusses some
of the other strategies we analyzed and shows why they are less cost
effective. These strategies included using a combination of
multilateral loans and bilateral grants to fill the export shortfall
and switching a constant percentage of loans to grants for all
countries. In each case, donors face a series of costs, including $153
billion in expected development assistance, $215 billion to cover lower
export earnings, and between $0 and $29.1 billion in debt relief.
Using a Combination of Loans and Grants to Fill the Export Shortfall:
If donors choose to fill the $215 billion export shortfall with a
combination of loans and grants, rather than grants alone, we found
that countries will need $15.3 billion to $27.8 billion to achieve debt
sustainability and debt-service goals (see table 6). If donors provide
grants alone, we estimate that 12 of 27 countries would achieve debt
sustainability, while only 6 would achieve sustainability if donors
used a combination of loans and grants. We also found that the optimal
percentage of loans switched to grants necessary for each country to
achieve debt sustainability increases from 33.5 percent when grants
fill the shortfall to 55.6 percent when loans and grants fill the
shortfall, thus increasing the cost to donors. Providing grants alone
is more cost effective because it avoids the build up of debt,
improving countries' likelihood of achieving debt sustainability and
reducing the need for more debt relief in the future. The range in
total cost of debt relief reflects the variation in additional costs,
from $8.5 billion to $27.8 billion, in addition to the $153 billion in
expected baseline development assistance donors provide and the $215
billion needed to cover the shortfall in countries' export earnings.
Table 6: Cost and Impact of Three Strategies for Providing Debt Relief
to 27 Poor Countries (Grants and Loans Fill the Export Shortfall):
Strategy: Switch the minimum percentage of loans to grants for each
country to achieve debt sustainability;
Cost of debt relief (billions of dollars): $15.3;
Number of countries achieving debt sustainability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003-2020: 2.
Strategy: Pay debt service in excess of 5 percent of government
revenue;
Cost of debt relief (billions of dollars): $19.5;
Number of countries achieving debt sustainability in 2020: 6;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003- 2020: 27.
Strategy: Switch the minimum percentage of loans to grants and then pay
debt service in excess of 5 percent of revenue;
Cost of debt relief (billions of dollars): $27.8;
Number of countries achieving debt sustainability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt service
every year: 2003-2020: 27.
Source: GAO analysis of World Bank and IMF data.
[End of table]
Switching a Constant Percentage of Loans to Grants for All Countries:
The strategies we examined in this report determined the minimum
percentage of grants necessary for each country to achieve debt
sustainability and resulted in a different percentage of grants for
each country. While the provision of a consistent percentage of grants
to each country may be the most equitable, we found that it would not
be as cost effective as tailoring the percentage of grants to each
country since some countries would not receive enough grants to achieve
debt sustainability, while others would receive more than was required.
For example, we estimate that switching 50 percent of new loans to
grants would result in seven fewer countries achieving debt
sustainability than would providing the minimum percentage of grants.
Switching 50 percent of new loans to grants would cost over $6 billion
more (see table 7). These options, therefore, are not the most cost-
effective means of maximizing debt sustainability.
Table 7: Cost and Impact of Switching a Constant Percentage of Loans to
Grants:
Strategy: Switch 0 percent of loans to grants;
Cost of debt relief (billions of dollars): $0.0;
Number of countries achieving debt sustain-ability in 2020: 12;
Number of countries paying 5 percent or less of revenue in debt
service (2003-2020): 2.
Strategy: Switch 20 percent of loans to grants;
Cost of debt relief (billions of dollars): $5.8;
Number of countries achieving debt sustain-ability in 2020: 14;
Number of countries paying 5 percent or less of revenue in debt
service (2003-2020): 2.
Strategy: Switch 50 percent of loans to grants;
Cost of debt relief (billions of dollars): $14.6;
Number of countries achieving debt sustain-ability in 2020: 18;
Number of countries paying 5 percent or less of revenue in debt
service (2003-2020): 2.
Strategy: Switch 100 percent of loans to grants;
Cost of debt relief (billions of dollars): $29.1;
Number of countries achieving debt sustain-ability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt
service (2003-2020): 2.
Strategy: Switch the minimum percentage of loans to grants for each
country to achieve debt sustainability;
Cost of debt relief (billions of dollars): $8.5;
Number of countries achieving debt sustain-ability in 2020: 25;
Number of countries paying 5 percent or less of revenue in debt
service (2003-2020): 2.
Source: GAO analysis of World Bank and IMF data.
[End of table]
In addition to the strategies mentioned in the report, you asked us to
analyze the cost and impact of four specific options for increasing
debt relief to poor countries. These options included switching 20 or
50 percent of loans to grants and reducing each country's debt-service
burden to 5 or 10 percent of revenue. With 20-percent grants, we
estimate that 14 countries would achieve debt sustainability, while 18
would do so with 50-percent grants (see table 8). In each option, all
countries would also reach the 5-or 10-percent debt service goal, as
specified. The cost of these options ranges from $7.6 billion to $24.5
billion, in addition to assistance to fund the export shortfall.
Consistent with the previous analysis, these options resulted in higher
costs and/or fewer countries achieving debt sustainability.
Table 8: Cost and Impact of Four Options Requested by Congress for
Increasing Debt Relief to 27 Poor Countries:
Options: Switch 20 percent of new loans to grants and reduce debt
service to 5 percent of government revenue;
Cost of debt relief (billions of dollars): $17.3;
Number of countries reaching debt sustainability in 2020: 14;
Number of countries achieving debt service goal: 27.
Options: Switch 20 percent of new loans to grants and reduce debt
service to 10 percent of government revenue;
Cost of debt relief (billions of dollars): $7.6;
Number of countries reaching debt sustainability in 2020: 14;
Number of countries achieving debt service goal: 27.
Options: Switch 50 percent of new loans to grants and reduce debt
service to 5 percent of government revenue;
Cost of debt relief (billions of dollars): $24.5;
Number of countries reaching debt sustainability in 2020: 18;
Number of countries achieving debt service goal: 27.
Options: Switch 50 percent of new loans to grants and reduce debt
service to 10 percent of government revenue;
Cost of debt relief (billions of dollars): $16.0;
Number of countries reaching debt sustainability in 2020: 18;
Number of countries achieving debt service goal: 27.
Source: GAO analysis of World Bank and IMF data.
[End of table]
[End of section]
Appendix IV: Costs and Impact of Various Strategies for Providing Debt
Relief:
As described earlier in this report, we focused our analysis on three
specific strategies for providing debt relief. The cost of these three
strategies varies by country, as does their impact. Tables 10 to 12
below summarize these results.
Table 9: Cost and Impact of Strategy 1: Switching the Minimum
Percentage of Loans to Grants for Each Country to Achieve Debt
Sustainability in 2020:
Country: Benin;
Future loans switched to grants (percentage): 1.7%;
Cost of debt relief (millions of dollars): $8.8;
Total cost, including export shortfall (millions of dollars):
$3,712.3;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003- 2020 (percentage): 4.7%.
Country: Bolivia;
Future loans switched to grants (percentage): 32.7%;
Cost of debt relief (millions of dollars): $830.3;
Total cost, including export shortfall (millions of dollars):
$14,422;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 9.4%.
Country: Burkina Faso;
Future loans switched to grants (percentage): 86.9%;
Cost of debt relief (millions of dollars): $615.5;
Total cost, including export shortfall (millions of dollars):
$5,065.4;
NPV debt-to- exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.3%.
Country: Cameroon;
Future loans switched to grants (percentage): 42.7%;
Cost of debt relief (millions of dollars): $1,196.4;
Total cost, including export shortfall (millions of dollars):
$30,936.4;
NPV debt- to-exports in 2020 (percentage): 150.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 6.3%.
Country: Chad;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$8,236.7;
NPV debt-to-exports in 2020 (percentage): 137.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 8.1%.
Country: DRC;
Future loans switched to grants (percentage): 89.0%;
Cost of debt relief (millions of dollars): $1,755.3;
Total cost, including export shortfall (millions of dollars):
$23,539.5;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 12.6%.
Country: Ethiopia;
Future loans switched to grants (percentage): 42.4%;
Cost of debt relief (millions of dollars): $436.6;
Total cost, including export shortfall (millions of dollars):
$12,133.7;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 2.3%.
Country: The Gambia;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$0.0;
NPV debt-to-exports in 2020 (percentage): 75.9%;
Average debt service-to-revenue, 2003-2020 (percentage): 11.8%.
Country: Ghana;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$46.8;
NPV debt-to-exports in 2020 (percentage): 81.1%;
Average debt service-to-revenue, 2003-2020 (percentage): 10.8%.
Country: Guinea;
Future loans switched to grants (percentage): 39.5%;
Cost of debt relief (millions of dollars): $456.0;
Total cost, including export shortfall (millions of dollars):
$9,123.6;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 7.1%.
Country: Guinea-Bissau;
Future loans switched to grants (percentage): 3.3%;
Cost of debt relief (millions of dollars): $6.0;
Total cost, including export shortfall (millions of dollars):
$433.8;
NPV debt-to- exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 8.5%.
Country: Guyana;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$30.6;
NPV debt-to-exports in 2020 (percentage): 48.7%;
Average debt service-to-revenue, 2003-2020 (percentage): 9.5%.
Country: Honduras;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$24,241.3;
NPV debt-to-exports in 2020 (percentage): 41.3%;
Average debt service-to-revenue, 2003-2020 (percentage): 8.5%.
Country: Madagascar;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$5,889.4;
NPV debt-to-exports in 2020 (percentage): 111.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 6.2%.
Country: Malawi;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$444.4;
NPV debt-to-exports in 2020 (percentage): 132.5%;
Average debt service-to-revenue, 2003-2020 (percentage): 4.1%.
Country: Mali;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$0.0;
NPV debt-to-exports in 2020 (percentage): 119.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 7.5%.
Country: Mauritania;
Future loans switched to grants (percentage): 57.3%;
Cost of debt relief (millions of dollars): $222.2;
Total cost, including export shortfall (millions of dollars):
$4,099.7;
NPV debt-to- exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 8.3%.
Country: Mozambique;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$21,131.8;
NPV debt-to-exports in 2020 (percentage): 79.7%;
Average debt service-to-revenue, 2003-2020 (percentage): 7.5%.
Country: Nicaragua;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$6,914.7;
NPV debt-to-exports in 2020 (percentage): 94.3%;
Average debt service-to-revenue, 2003-2020 (percentage): 7.7%.
Country: Niger;
Future loans switched to grants (percentage): 100.0%;
Cost of debt relief (millions of dollars): $544.3;
Total cost, including export shortfall (millions of dollars):
$4,314.9;
NPV debt-to-exports in 2020 (percentage): 179.1%;
Average debt service-to-revenue, 2003-2020 (percentage): 3.3%.
Country: Rwanda;
Future loans switched to grants (percentage): 100.0%;
Cost of debt relief (millions of dollars): $392.0;
Total cost, including export shortfall (millions of dollars):
$4,640.2;
NPV debt-to-exports in 2020 (percentage): 516.4%;
Average debt service-to-revenue, 2003-2020 (percentage): 2.1%.
Country: So Tom and Prncipe;
Future loans switched to grants (percentage): 95.9%;
Cost of debt relief (millions of dollars): $43.9;
Total cost, including export shortfall (millions of dollars):
$397.1;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.6%.
Country: Senegal;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$11,177.6;
NPV debt-to-exports in 2020 (percentage): 98.7%;
Average debt service-to-revenue, 2003-2020 (percentage): 7.9%.
Country: Sierra Leone;
Future loans switched to grants (percentage): 93.6%;
Cost of debt relief (millions of dollars): $244.1;
Total cost, including export shortfall (millions of dollars):
$3,149.1;
NPV debt-to- exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 6.5%.
Country: Tanzania;
Future loans switched to grants (percentage): 0.0%;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$5,295.5;
NPV debt-to-exports in 2020 (percentage): 149.2%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.2%.
Country: Uganda;
Future loans switched to grants (percentage): 57.1%;
Cost of debt relief (millions of dollars): $872.2;
Total cost, including export shortfall (millions of dollars):
$10,473.6;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.5%.
Country: Zambia;
Future loans switched to grants (percentage): 61.3%;
Cost of debt relief (millions of dollars): $839.1;
Total cost, including export shortfall (millions of dollars):
$13,138.0;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 8.2%.
Country: Average/Total;
Future loans switched to grants (percentage): 33.5%;
Cost of debt relief (millions of dollars): $8,462.7;
Total cost, including export shortfall (millions of dollars):
$222,988.0;
NPV debt- to-exports in 2020 (percentage): 141.3%;
Average debt service-to- revenue, 2003-2020 (percentage): 7.1%.
[End of table]
Source: GAO analysis of World Bank and IMF data.
Table 10: Cost and Impact of Strategy 2: Paying Debt Service Over 5
Percent of Government Revenue:
Country: Benin;
Cost of debt relief (millions of dollars): $10.5;
Total cost, including export shortfall (millions of dollars):
$3,714.0;
NPV debt-to-exports in 2020 (percentage): 150.9%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.6%.
Country: Bolivia;
Cost of debt relief (millions of dollars): $2,507.1;
Total cost, including export shortfall (millions of dollars):
$16,098.8;
NPV debt-to-exports in 2020 (percentage): 225.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Burkina Faso;
Cost of debt relief (millions of dollars): $172.2;
Total cost, including export shortfall (millions of dollars):
$4,622.1;
NPV debt-to-exports in 2020 (percentage): 477.9%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.0%.
Country: Cameroon;
Cost of debt relief (millions of dollars): $818.4;
Total cost, including export shortfall (millions of dollars):
$30,558.3;
NPV debt-to-exports in 2020 (percentage): 228.5%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.9%.
Country: Chad;
Cost of debt relief (millions of dollars): $182.6;
Total cost, including export shortfall (millions of dollars):
$8,419.3;
NPV debt-to-exports in 2020 (percentage): 137.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 5.0%.
Country: DRC;
Cost of debt relief (millions of dollars): $1,268.0;
Total cost, including export shortfall (millions of dollars):
$23,052.2;
NPV debt-to-exports in 2020 (percentage): 625.9%;
Average debt service-to- revenue, 2003-2020 (percentage): 5.0%.
Country: Ethiopia;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$11,697.2;
NPV debt-to-exports in 2020 (percentage): 199.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 2.5%.
Country: The Gambia;
Cost of debt relief (millions of dollars): $125.8;
Total cost, including export shortfall (millions of dollars):
$125.8;
NPV debt-to-exports in 2020 (percentage): 75.9%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Ghana;
Cost of debt relief (millions of dollars): $1,622.4;
Total cost, including export shortfall (millions of dollars):
$1,669.1;
NPV debt-to-exports in 2020 (percentage): 81.1%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Guinea;
Cost of debt relief (millions of dollars): $337.3;
Total cost, including export shortfall (millions of dollars):
$9,004.9;
NPV debt-to-exports in 2020 (percentage): 217.2%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Guinea-Bissau;
Cost of debt relief (millions of dollars): $55.5;
Total cost, including export shortfall (millions of dollars):
$483.3;
NPV debt-to-exports in 2020 (percentage): 153.7%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.0%.
Country: Guyana;
Cost of debt relief (millions of dollars): $247.8;
Total cost, including export shortfall (millions of dollars):
$278.4;
NPV debt-to-exports in 2020 (percentage): 48.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Honduras;
Cost of debt relief (millions of dollars): $1,735.7;
Total cost, including export shortfall (millions of dollars):
$25,977.0;
NPV debt-to-exports in 2020 (percentage): 46.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Madagascar;
Cost of debt relief (millions of dollars): $213.7;
Total cost, including export shortfall (millions of dollars):
$6,103.2;
NPV debt-to-exports in 2020 (percentage): 111.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.9%.
Country: Malawi;
Cost of debt relief (millions of dollars): $11.6;
Total cost, including export shortfall (millions of dollars):
$456.0;
NPV debt-to-exports in 2020 (percentage): 132.5%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.0%.
Country: Mali;
Cost of debt relief (millions of dollars): $394.7;
Total cost, including export shortfall (millions of dollars):
$394.7;
NPV debt-to-exports in 2020 (percentage): 119.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 5.0%.
Country: Mauritania;
Cost of debt relief (millions of dollars): $241.2;
Total cost, including export shortfall (millions of dollars):
$4,118.7;
NPV debt-to-exports in 2020 (percentage): 236.1%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Mozambique;
Cost of debt relief (millions of dollars): $348.1;
Total cost, including export shortfall (millions of dollars):
$21,479.9;
NPV debt-to-exports in 2020 (percentage): 79.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Nicaragua;
Cost of debt relief (millions of dollars): $474.5;
Total cost, including export shortfall (millions of dollars):
$7,389.2;
NPV debt-to-exports in 2020 (percentage): 94.3%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Niger;
Cost of debt relief (millions of dollars): $52.8;
Total cost, including export shortfall (millions of dollars):
$3,823.4;
NPV debt-to-exports in 2020 (percentage): 643.2%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.5%.
Country: Rwanda;
Cost of debt relief (millions of dollars): $0.0;
Total cost, including export shortfall (millions of dollars):
$4,248.2;
NPV debt-to-exports in 2020 (percentage): 1,403.7%;
Average debt service-to- revenue, 2003-2020 (percentage): 3.6%.
Country: So Tom and Prncipe;
Cost of debt relief (millions of dollars): $14.5;
Total cost, including export shortfall (millions of dollars):
$367.6;
NPV debt-to-exports in 2020 (percentage): 946.3%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.0%.
Country: Senegal;
Cost of debt relief (millions of dollars): $623.9;
Total cost, including export shortfall (millions of dollars):
$11,801.5;
NPV debt-to-exports in 2020 (percentage): 98.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Sierra Leone;
Cost of debt relief (millions of dollars): $117.4;
Total cost, including export shortfall (millions of dollars):
$3,022.4;
NPV debt-to-exports in 2020 (percentage): 831.8%;
Average debt service-to-revenue, 2003-2020 (percentage): 4.9%.
Country: Tanzania;
Cost of debt relief (millions of dollars): $164.0;
Total cost, including export shortfall (millions of dollars):
$5,459.6;
NPV debt-to-exports in 2020 (percentage): 149.2%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.6%.
Country: Uganda;
Cost of debt relief (millions of dollars): $228.1;
Total cost, including export shortfall (millions of dollars):
$9,829.4;
NPV debt-to-exports in 2020 (percentage): 263.8%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Zambia;
Cost of debt relief (millions of dollars): $616.4;
Total cost, including export shortfall (millions of dollars):
$12,915.3;
NPV debt-to-exports in 2020 (percentage): 270.3%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Average/Total;
Cost of debt relief (millions of dollars): $12,584.1;
Total cost, including export shortfall (millions of dollars):
$227,109.4;
NPV debt-to-exports in 2020 (percentage): 298.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 4.8%.
[End of table]
Source: GAO analysis of World Bank and IMF data%.
Table 11: Cost and Impact of Strategy 3: Switching Loans to Grants to
Maximize Debt Sustainability and Paying Debt Service in Excess of 5
Percent of Government Revenue:
Country: Benin;
Cost of debt relief (millions of dollars): $19.0;
Total cost, including export shortfall (millions of dollars):
$3,722.5;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.6%.
Country: Bolivia;
Cost of debt relief (millions of dollars): $3,125.5;
Total cost, including export shortfall (millions of dollars):
$16,717.2;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Burkina Faso;
Cost of debt relief (millions of dollars): $658.2;
Total cost, including export shortfall (millions of dollars):
$5,108.1;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 4.8%.
Country: Cameroon;
Cost of debt relief (millions of dollars): $1,905.6;
Total cost, including export shortfall (millions of dollars):
$31,645.5;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.7%.
Country: Chad;
Cost of debt relief (millions of dollars): $182.6;
Total cost, including export shortfall (millions of dollars):
$8,419.3;
NPV debt-to-exports in 2020 (percentage): 137.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 5.0%.
Country: DRC;
Cost of debt relief (millions of dollars): $2,622.3;
Total cost, including export shortfall (millions of dollars):
$24,406.5;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.8%.
Country: Ethiopia;
Cost of debt relief (millions of dollars): $436.6;
Total cost, including export shortfall (millions of dollars):
$12,133.7;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 2.3%.
Country: The Gambia;
Cost of debt relief (millions of dollars): $125.8;
Total cost, including export shortfall (millions of dollars):
$125.8;
NPV debt-to-exports in 2020 (percentage): 75.9%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Ghana;
Cost of debt relief (millions of dollars): $1,622.4;
Total cost, including export shortfall (millions of dollars):
$1,669.1;
NPV debt-to-exports in 2020 (percentage): 81.1%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Guinea;
Cost of debt relief (millions of dollars): $725.6;
Total cost, including export shortfall (millions of dollars):
$9,393.2;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.8%.
Country: Guinea-Bissau;
Cost of debt relief (millions of dollars): $60.1;
Total cost, including export shortfall (millions of dollars):
$487.9;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 5.0%.
Country: Guyana;
Cost of debt relief (millions of dollars): $247.8;
Total cost, including export shortfall (millions of dollars):
$278.4;
NPV debt-to-exports in 2020 (percentage): 48.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Honduras;
Cost of debt relief (millions of dollars): $1,735.7;
Total cost, including export shortfall (millions of dollars):
$25,977.0;
NPV debt-to-exports in 2020 (percentage): 41.3%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Madagascar;
Cost of debt relief (millions of dollars): $213.7;
Total cost, including export shortfall (millions of dollars):
$6,103.2;
NPV debt-to-exports in 2020 (percentage): 111.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.9%.
Country: Malawi;
Cost of debt relief (millions of dollars): $11.6;
Total cost, including export shortfall (millions of dollars):
$456.0;
NPV debt-to-exports in 2020 (percentage): 132.5%;
Average debt service-to- revenue, 2003-2020 (percentage): 4.0%.
Country: Mali;
Cost of debt relief (millions of dollars): $394.7;
Total cost, including export shortfall (millions of dollars):
$394.7;
NPV debt-to-exports in 2020 (percentage): 119.0%;
Average debt service-to- revenue, 2003-2020 (percentage): 5.0%.
Country: Mauritania;
Cost of debt relief (millions of dollars): $393.7;
Total cost, including export shortfall (millions of dollars):
$4,271.2;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Mozambique;
Cost of debt relief (millions of dollars): $348.1;
Total cost, including export shortfall (millions of dollars):
$21,479.9;
NPV debt-to-exports in 2020 (percentage): 79.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Nicaragua;
Cost of debt relief (millions of dollars): $474.5;
Total cost, including export shortfall (millions of dollars):
$7,389.2;
NPV debt-to-exports in 2020 (percentage): 94.3%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Niger;
Cost of debt relief (millions of dollars): $576.7;
Total cost, including export shortfall (millions of dollars):
$4,347.3;
NPV debt-to-exports in 2020 (percentage): 179.1%;
Average debt service-to- revenue, 2003-2020 (percentage): 2.6%.
Country: Rwanda;
Cost of debt relief (millions of dollars): $392.0;
Total cost, including export shortfall (millions of dollars):
$4,640.2;
NPV debt-to-exports in 2020 (percentage): 516.4%;
Average debt service- to-revenue, 2003-2020 (percentage): 2.1%.
Country: So Tom and Prncipe;
Cost of debt relief (millions of dollars): $49.7;
Total cost, including export shortfall (millions of dollars):
$402.8;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 3.7%.
Country: Senegal;
Cost of debt relief (millions of dollars): $623.9;
Total cost, including export shortfall (millions of dollars):
$11,801.5;
NPV debt-to-exports in 2020 (percentage): 98.7%;
Average debt service- to-revenue, 2003-2020 (percentage): 5.0%.
Country: Sierra Leone;
Cost of debt relief (millions of dollars): $326.3;
Total cost, including export shortfall (millions of dollars):
$3,231.3;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service-to-revenue, 2003-2020 (percentage): 3.6%.
Country: Tanzania;
Cost of debt relief (millions of dollars): $164.0;
Total cost, including export shortfall (millions of dollars):
$5,459.6;
NPV debt-to-exports in 2020 (percentage): 149.2%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.6%.
Country: Uganda;
Cost of debt relief (millions of dollars): $1,031.2;
Total cost, including export shortfall (millions of dollars):
$10,632.5;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.5%.
Country: Zambia;
Cost of debt relief (millions of dollars): $1,331.8;
Total cost, including export shortfall (millions of dollars):
$13,630.7;
NPV debt-to-exports in 2020 (percentage): 150.0%;
Average debt service- to-revenue, 2003-2020 (percentage): 4.5%.
Country: Average/Total;
Cost of debt relief (millions of dollars): $19,798.9;
Total cost, including export shortfall (millions of dollars):
$234.324.2;
NPV debt-to-exports in 2020 (percentage): 141.3%;
Average debt service-to-revenue, 2003-2020 (percentage): 4.5%.
Source: GAO analysis of World Bank and IMF data.
[End of table]
[End of section]
Appendix V: How Volatility in Export Earnings Affects the Likelihood
that Countries Will Achieve Debt Sustainability:
While the analysis in this report assumed constant export growth rates,
consistent with the projections of the World Bank and IMF, the export
earnings of HIPC countries are, in fact, highly volatile. The export
earnings of these countries experience large year-to-year fluctuations
due to their heavy reliance on primary commodities, weather extremes,
natural disasters, and other factors. We found that higher export
volatility, along with lower average growth rates, lowers a country's
likelihood of achieving debt sustainability. For example, under the
World Bank and IMF export growth assumptions, which are usually higher
than historical growth rates, all 27 HIPC countries are projected to be
debt sustainable in 2020. However, we found that negative shocks tend
to have greater impact on debt sustainability than positive shocks.
After factoring in the impact of export growth volatility, we found
that countries will not consistently achieve debt sustainability, with
the average likelihood of achieving sustainability at 84 percent,
despite the assumption of high export growth.[Footnote 46] We estimate
that 10 countries have less than an 80-percent likelihood of achieving
debt sustainability due to export volatility, with Rwanda having the
lowest probability at 57 percent (see table 13). Countries with low
export volatility, such as Honduras, tend to have a high likelihood of
achieving debt sustainability under the high World Bank and IMF growth
rates.
Table 12: Likelihood of Achieving Debt Sustainability under Different
Scenarios in 2020:
Country: Benin;
Probability using: World Bank/IMF growth rates (percentage): 89.3;
Probability using historical growth rates (percentage): 42.3.
Country: Bolivia;
Probability using: World Bank/IMF growth rates (percentage): 75.7;
Probability using historical growth rates (percentage): 11.0.
Country: Burkina Faso;
Probability using: World Bank/IMF growth rates (percentage): 76.0;
Probability using historical growth rates (percentage): 1.7.
Country: Cameroon;
Probability using: World Bank/IMF growth rates (percentage): 95.9;
Probability using historical growth rates (percentage): 63.2.
Country: Chad;
Probability using: World Bank/IMF growth rates (percentage): 62.3;
Probability using historical growth rates (percentage): 51.3.
Country: Congo (Dem. Rep.);
Probability using: World Bank/IMF growth rates (percentage): 84.4;
Probability using historical growth rates (percentage): 1.5.
Country: Ethiopia;
Probability using: World Bank/IMF growth rates (percentage): 93.1;
Probability using historical growth rates (percentage): 37.3.
Country: Ghana;
Probability using: World Bank/IMF growth rates (percentage): 89.4;
Probability using historical growth rates (percentage): 81.0.
Country: Guinea;
Probability using: World Bank/IMF growth rates (percentage): 97.2;
Probability using historical growth rates (percentage): 37.6.
Country: Guinea-Bissau;
Probability using: World Bank/IMF growth rates (percentage): 70.0;
Probability using historical growth rates (percentage): 65.1.
Country: Guyana;
Probability using: World Bank/IMF growth rates (percentage): 97.7;
Probability using historical growth rates (percentage): 93.2.
Country: Honduras;
Probability using: World Bank/IMF growth rates (percentage): 99.5;
Probability using historical growth rates (percentage): 98.7.
Country: Madagascar;
Probability using: World Bank/IMF growth rates (percentage): 99.0;
Probability using historical growth rates (percentage): 86.7.
Country: Malawi;
Probability using: World Bank/IMF growth rates (percentage): 72.3;
Probability using historical growth rates (percentage): 44.0.
Country: Mali;
Probability using: World Bank/IMF growth rates (percentage): 75.4;
Probability using historical growth rates (percentage): 59.9.
Country: Mauritania;
Probability using: World Bank/IMF growth rates (percentage): 98.3;
Probability using historical growth rates (percentage): 25.3.
Country: Mozambique;
Probability using: World Bank/IMF growth rates (percentage): 97.8;
Probability using historical growth rates (percentage): 77.3.
Country: Nicaragua;
Probability using: World Bank/IMF growth rates (percentage): 95.7;
Probability using historical growth rates (percentage): 72.3.
Country: Niger;
Probability using: World Bank/IMF growth rates (percentage): 65.9;
Probability using historical growth rates (percentage): 2.7.
Country: Rwanda;
Probability using: World Bank/IMF growth rates (percentage): 57.3;
Probability using historical growth rates (percentage): 10.0.
Country: So Tom and Prncipe;
Probability using: World Bank/IMF growth rates (percentage): 66.5;
Probability using historical growth rates (percentage): 12.4.
Country: Senegal;
Probability using: World Bank/IMF growth rates (percentage): 98.7;
Probability using historical growth rates (percentage): 78.9.
Country: Sierra Leone;
Probability using: World Bank/IMF growth rates (percentage): 81.3;
Probability using historical growth rates (percentage): 1.5.
Country: Tanzania;
Probability using: World Bank/IMF growth rates (percentage): 83.2;
Probability using historical growth rates (percentage): 35.9.
Country: The Gambia;
Probability using: World Bank/IMF growth rates (percentage): 91.7;
Probability using historical growth rates (percentage): 94.2.
Country: Uganda;
Probability using: World Bank/IMF growth rates (percentage): 67.4;
Probability using historical growth rates (percentage): 28.3.
Country: Zambia;
Probability using: World Bank/IMF growth rates (percentage): 85.3;
Probability using historical growth rates (percentage): 5.4.
Country: Average;
Probability using: World Bank/IMF growth rates (percentage): 83.9;
Probability using historical growth rates (percentage): 45.1.
Source: GAO analysis of World Bank and IMF data.
Note: For this analysis, we assumed that grants alone are used to cover
the balance of payments shortfall.
[End of table]
Under historical export growth rates, which are usually lower than
assumed in the World Bank and IMF projection, volatility reduces these
countries' likelihood of achieving debt sustainability even further. On
average, we estimate that the likelihood of achieving debt
sustainability is only 45 percent for the 27 HIPC countries, under
historical export growth rates. Five countries, all of which had on
average negative historic growth, are estimated to have less than a 10-
percent likelihood of achieving debt sustainability.[Footnote 47] Since
volatility in export earnings reduces countries' likelihood of
achieving debt sustainability, it is also likely to further increase
donors' cost, as countries will require an even greater than expected
level of debt relief to achieve debt sustainability.
[End of section]
Appendix VI: Comments from the Department of the Treasury:
DEPARTMENT OF THE TREASURY
WASHINGTON, D.C. 20220:
APR 2 2004:
Mr. Joseph A. Christoff:
Director, International Affairs and Trade
U.S. General Accounting Office:
441 G Street, N.W.
Washington, D.C. 20548:
Dear Mr. Christoff:
Thank you for giving us the opportunity to comment on your recent
report related to international debt issues, developing country
economic growth, and international financial institutions and bilateral
donors' participation in these issues. While acknowledging the analysis
that has gone into producing this report, we find many aspects that
concern us. In our view, the report brings too little clarity to a very
complex topic. It tends to be aggressive and sensationalistic in its
claims. It leaves the impression to a reader that very large amounts of
money, substantially above previously projected costs, will be required
to be paid in substantial part by American taxpayers in future years.
Multilateral Development Bank Financing of the Enhanced HIPC
Initiative:
We believe the report should have clearly reported the existence of
international agreements for the financing of the Enhanced HIPC
Initiative as it relates to the concessional loan windows of the
Multilateral Development Banks (MDBs): the International Development
Association of the World Bank (IDA), the Fund for Special Operations of
the Inter-American Development Bank (FSO) and the African Development
Fund of the African Development Bank (AFDF). In these areas and as
related to the much smaller MDB hard loan debts of HIPC countries,
international financing frameworks have been agreed for some time and
basically are being followed. To date it is fair to say that the
contributions have been coming in largely consistent with commitments
donors made and at a rate that for the most part has not slowed HIPC
program action due to lack of international financing.
The report also fails to explain that there is a regular international
process for review and discussion of financing for the HIPC program.
These discussions have mostly taken place alongside IDA Deputies
meetings over the past several years and often have been based on
regular IDA Trustee papers analyzing the financial status of the HIPC
Trust Fund. The analysis looks at any gaps that may exist from two
sources: (1) What donors promised and what they have actually provided;
and (2) What additional resources are needed due to new decisions
related to the HIPC program or due to various cost increases. The
financing gap analysis in October 2002 showed the need for an
additional $650 million for the HIPC Trust Fund. Donors subsequently
made further pledges including an additional pledge of $150 million
from the United States. There has been no indication since that time of
any further financing gap in the HIPC Trust Fund.
Of course, there are factors that have and could in the future result
in a need for additional resources for the HIPC Trust Fund: (1)
adjustments in cost estimates for existing countries caused by delays
in the timing of "Decision Points"; also, adjustments necessary over
time because HIPC Trust Fund pledges are made in nominal terms but
costs are measured in NPV terms; (2) additional countries: Sudan,
Liberia, and Somalia, while technically eligible for HIPC, were not
included in the original financing framework because it was not
expected they would be able to take advantage of the program; (3)
topping up: there is a possibility of "topping up", additional debt
reduction provided at "Completion Point", under the HIPC framework if a
country has encountered exceptional exogenous shocks that cause a
fundamental change in economic circumstances. There will be continuing
reviews of the status of HIPC Trust Fund financing, but since October,
2002 there have been no calls for additional donor pledges.
In the context of this report, we have discussed the stated additional
HIPC costs related to the AFDB. At this time, we remain unconvinced
that these AFDB related cost projections are accurate.
Objectives of the Enhanced HIPC Initiative:
This report, similar to the prior GAO report on HIPC, continues to
assert that the Enhanced HIPC Initiative was intended to ensure an
"exit" from unsustainable debt burdens. We again disagree.
Fundamentally, the Enhanced HIPC Initiative was aimed at eliminating
the extraordinary debt overhangs of the poorest most debt burdened
countries and at the HIPC decision point achieving a debt to export
ratio of 150 percent for those countries. The Initiative did not
contain elements aimed at controlling lending or over-lending to these
countries. It did not contain elements capable of ensuring economic or
export growth, and it did not contain elements to ensure that a 150
percent debt to exports ratio for individual countries would be
maintained into the future. The Enhanced HIPC Initiative policy
structure has three primarily elements: (1) deep debt reduction applied
to both multilateral and bilateral sources, (2) new money to sustain
resource transfer levels, and (3) economic and governance policy
reform. While enthusiastic supporters of the program may well have
claimed that it was intended to achieve "debt sustainability", and
while that goal is admirable, the program itself was created as a one
time event to address the accumulation of unsustainable debt overhangs
by the poorest countries. Achieving the aspiration of "debt
sustainability" for developing poor countries requires productive
investment, economic growth, continuing significant economic and
governance reforms and disciplined lending and borrowing, a combination
of elements far beyond those contained in the Enhanced HIPC Initiative.
Projections of Future Development Assistance:
The report contains various cost projections largely unrelated to the
Enhanced HIPC Initiative as it exists today, but rather related to
possible increases in the need for official development assistance in
the future. The goal of achieving and particularly of maintaining "debt
sustainability", however it is defined, like most other development
goals, fundamentally is the responsibility of the developing countries.
There exists no international agreement on maintaining this goal nor on
how such costs would be paid.
We acknowledge the valuable work GAO did in a prior report to point out
overly optimistic export growth projections of the IMF and World Bank
staffs. It should be noted however that a recent World Bank/IMF paper
compares anticipated export growth and actual export growth for HIPC
countries between their decision and completion points. The finding is
that, while overall the projections were optimistic, almost half the
countries have exceeded their original export projections.
We would caution that the very large numbers in this report are a
confusing speculative mix of long-term estimates of the "cost" of
achieving debt reduction and providing increases to official
development assistance in order to achieve projected economic growth
rates and maintain a debt to export ratio of 150 percent for HIPC
countries. Making long-term projections is a highly uncertain business
and results are volatile to basic assumptions. We remain unconvinced
that utilization of an export growth average for the past twenty years
is the best way to project future export growth, albeit it is a
conservative base that has the effect of significantly increasing
estimated resource needs.
In closing, we believe that this report continues to build the
substantial analytic base supporting the United States pursuit of
substantial increases in grant financing in MDB development funds for
the poorest developing countries. Grant programs, if adopted at
sufficient levels, would provide a stronger basis for economic growth
and would avoid the significant risk of a future and largely MDB-
focused debt crisis among the poorest developing countries.
We appreciate the GAO's contributions to the deliberations on how to
assist countries in achieving long-term economic growth and debt
sustainability, and we look forward to continuing to collaborate
together.
Sincerely,
Signed by:
William E. Schuerch:
Deputy Assistant Secretary for Debt Policy and Trade Finance:
The following are GAO's comments on the Department of the Treasury
letter, dated April 2, 2004.
GAO Comments:
1. Treasury said the report leaves the impression that very large
amounts of money, substantially above previously projected costs, will
be required to be paid in substantial part by American taxpayers in
future years. We agree that the challenge of achieving high economic
growth rates, while maintaining debt sustainability, will likely
require a substantial commitment of resources from the donors,
including the United States, beyond what is currently projected by the
World Bank and IMF.
2. Treasury said the report should have clearly reported the existence
of international agreements for financing HIPC as they relate to the
multilateral development banks and that contributions have thus far
largely met commitments. We recognized throughout the report the donor
community's commitment to financing HIPC. However, under the agreed
upon pay-as-you-go financing arrangement, funding has not been
identified for large emerging financing shortfalls. We consider it to
be fiscally prudent to estimate the full magnitude of the donor's
financial commitment.
3. Treasury said there has been no indication since October 2002 of any
further financing gap in the HIPC Trust Fund. Our report refers to
financing challenges over the life of the initiative, not specifically
to the HIPC Trust Fund at this point in time, as reflected by the
donor's pay-as-you-go approach. Under the current pay-as-you-go
approach, we did not identify a gap in the HIPC Trust Fund. However, as
Treasury recognizes in its letter, there are several factors that are
likely to result in the need for additional resources in the future.
Our report provides estimates of those and other emerging additional
costs.
4. Treasury said it is not convinced that our cost estimates for the
AfDB are correct. We consider our estimate to be more accurate because
it accounts for the actual amount of resources the AfDB has identified
to contribute to the initiative and converts the estimate into 2003
dollars. For example, although the AfDB expects to provide $662 million
(nominal) as it share of the HIPC Initiative it has only identified
$370 million (nominal) thus far.
5. Treasury disagrees with the assertion that the enhanced HIPC
Initiative was intended to ensure an exit from unsustainable debt
burdens. We disagree. Numerous official World Bank and IMF documents as
recent as 2003 affirm that a permanent, lasting, or durable exit from
unsustainable debt remains a central objective of the HIPC
Initiative.[Footnote 48] While the Treasury may have retreated from
this objective, the World Bank and IMF have not.
6. Treasury also said achieving the aspiration of debt sustainability
for poor countries requires a combination of elements. The report
states that our estimates assume that the countries will follow their
World Bank and IMF development programs, including undertaking
recommended reforms and achieving economic growth rates consistent with
reducing poverty and maintaining long-term debt sustainability:
7. The Treasury said the report contains various cost projections
largely unrelated to the current Enhanced HIPC Initiative. We disagree.
At least 95 percent of our cost projections directly pertain to
achieving the goals of the initiative--helping countries achieve
economic growth and maintain long-term debt sustainability. The
remaining amount is our estimate of the cost of achieving a second debt
target--a debt service-to-government revenue of less than 5 percent--
requested by the committee.
8. Treasury said that a recent World Bank/IMF study demonstrates that,
while overall the projections were optimistic, almost half the
countries have exceeded their original export projections. We do not
believe that strong short-term (2 to 3 years) export growth necessarily
constitutes a long-term trend. HIPC countries have historically
experienced great volatility in their export earnings. It is not
uncommon to see substantial increases in their export earnings for a
few years followed by substantial declines. Although some countries
have experienced high growth in recent years, sustaining that growth
over 20 years or more is a difficult challenge.
9. Treasury said that it remains unconvinced that using an export
growth average for the past 20 years is the best way to project future
export growth. As noted in our previous reports, World Bank/IMF
projected export growth rates have been optimistic--overall, more than
double historical rates. We consider historical export growth rates to
be more realistic, given these countries' reliance on highly volatile
commodities and other vulnerabilities. For example, the increasing
prevalence of HIV/AIDS in many poor countries will likely have
substantial negative effects on a broad range of economic variables,
including export growth.
[End of section]
Appendix VII: Comments from The World Bank:
The World Bank
Washington, D.C. 20433 U.S.A.
SHENGMAN ZHANG
Managing Director:
March 31, 2004:
Mr. Joseph Christoff
Director
International Affairs and Trade
U.S. General Accounting Office
Washington, DC 20548:
Dear Mr. Christoff:
Thank you for the opportunity to comment on the General Accounting
Office's draft report, "Developing Countries-Achieving Poor Countries'
Economic Growth and Debt Relief Targets Faces Significant Financing
Challenges" (GAO-04-405, April 2004).
The draft report rightly reminds us of the challenges of channeling
adequate resources to the Heavily Indebted Poor Countries (HIPCs),
including the assistance committed under the HIPC Initiative, in
support of their long-term development strategy and efforts toward
meeting the Millennium Development Goals (MDGs) by 2015. As you know,
during the development and adoption of the enhanced HIPC Initiative in
1999, the World Bank's Management and shareholders held extensive
discussions on the financing of the Bank's cost of HIPC debt relief.
The conclusion of these discussions was to adopt a pay-as-you-go
approach to ensure prompt delivery of debt relief. Subsequently, the
financing of IDA's debt relief costs on IBRD debt was included in the
overall IDA13 replenishment resources. Also, during the IDA13
replenishment IDA donors agreed to address the financing of IDA's HIPC
debt relief costs during the IDA14 replenishment.
We take to heart the report's recommendation that long-term projections
on export growth rates made by the Bank and the Fund need to be more
realistic. Indeed, the Bank's independent Operations Evaluations
Department produced a review of the HIPC Initiative last year that made
the same recommendation. Staff have adopted this recommendation,
including by systematically providing a low-case scenario based on
historical growth trends and country-specific risk scenarios to stress
test the long-term projections. Nevertheless we would like to emphasize
that economic projections over a 20-year period contain a high degree
of uncertainty, not only around economic conditions that may prevail
over that period but also around policy changes that may occur in
developed and developing countries.
We also support the GAO report's emphasis on the need for HIPCs to
strive for sustainable development financing strategies even after they
reach their completion
points under the HIPC Initiative. In this vein, the Bank and Fund
staffs are working with their low-income member countries, including
the HIPCs, and the international community to develop strategies that
would contribute toward achieving debt sustainability while in pursuit
of the MDGs (IDA and IMF, Debt Sustainability in Low-Income Countries-
Proposal for an Operational Framework and Policy Implications, February
3, 2004).
Debt relief has never been considered or presented as a panacea that
would alone overcome the towering challenge of long-term development
and poverty reduction in HIPCs. We therefore do not agree with the
report's implicit assumption that any
deviation from a projected debt profile would be offset only by
additional debt relief or compensatory financing. Other elements of an
effective development strategy have to be in place, including a stable
and growth-friendly macroeconomic environment, good governance and
institutional capacity, and widespread participation including the poor
in the design and implementation of poverty reduction strategies. These
can be reinforced by concurrent changes in the policies of developed
countries, particularly in their effort to increase aid flows in a more
predictable manner and to create greater market access for low-income
countries to benefit from increased exports.
While we agree with the GAO report's finding that significantly more
resources will be needed to help countries achieve the MDGs, we would
like to clarify that the HIPC Initiative has never specified nor
committed to "debt relief targets" in 2020. We find the hypothetical
exercise contained in the report interesting, but also believe that
GAO's methodology to assess the financing needs of WPCs can be improved
to recognize the very important efforts made by these countries
themselves. In particular, GAO needs to re-examine its key assumption
that holds constant countries' policies even during periods of
exogenous shocks. Furthermore, GAO makes an arbitrary assumption that
historical growth rates are a good guide to future performance, even
though significant structural and policy changes are taking place in
HIPCs through ongoing reforms. In fact, studies of recent HIPC
graduates provide encouraging evidence that growth has accelerated in
recent years.
Again, let me thank you for the opportunity to comment on this draft
report on the challenges we face together in meeting the debt relief
costs at the multilateral development banks and in securing adequate
long-term financing in support of the MDGs in the world's poorest, most
heavily indebted countries.
Sincerely yours,
Signed by:
Shengman Zhang:
The following are GAO's comments on the World Bank letter, dated March
31, 2004.
GAO Comments:
1. The World Bank disagreed with the assumption that any deviation from
a projected debt profile would be offset only by additional debt relief
or compensatory financing. We disagree with the Bank's characterization
of the report. The report explicitly states that donors have the option
of not financing the export shortfalls; however, this will hamper
countries' economic growth and reduce the funds available for poverty
reduction. We assume, consistent with World Bank and IMF projections,
that countries are following their reform and development programs.
Hence we assumed that the other key elements of an effective
development strategy are in place.
2. The World Bank said that the HIPC Initiative has never committed to
debt relief targets in 2020. While we agree with this technical
distinction, we note that debt sustainability analyses project all HIPC
countries to have net present value debt-to-export ratios at or below
150 percent in 2020. Therefore, we chose 2020 because it represented
the final year in World Bank and IMF projections.
3. The World Bank said that our methodology to assess the financing
needs of HIPCs can be improved to recognize the very important efforts
made by these countries themselves. As the report states, our analysis
assumes that government revenue and GDP will grow at the optimistic
rates projected by the World Bank and IMF because countries are
expected to be undertaking recommended structural and policy reforms.
4. The World Bank said that we make an arbitrary assumption that
historical growth rates are a good guide to future performance. As
noted in our previous reports, World Bank/IMF projected export growth
rates have been optimistic--overall, more than double historical rates.
We consider historical export growth rates to be more realistic, given
these countries' reliance on highly volatile commodities and other
vulnerabilities. While policy reforms may improve export growth, other
factors may hinder growth. For example, the increasing prevalence of
HIV/AIDS in many poor countries will likely have substantial negative
effects on a broad range of economic variables, including export
growth. A 2003 World Bank report found that the World Bank/IMF growth
assumptions had been overly optimistic and recommended more realistic
economic forecasts when assessing debt sustainability.
[End of section]
Appendix VIII: Comments from the African Development Bank:
AFRICAN DEVELOPMENT BANK GROUP:
13 RUE DU GHANA:
ANGLE AV. HEDI NOUIRA ET PIERRE DE COUBERTIN
B.P. 323 - 1012 TUNIS BELVEDERE:
TUNISIE:
Telephone: (216) 71 352 246
Fax: (216) 71 352 577
Web Site: www.afdb.org:
REF: PRST/LTR/2004/04/001
DATE: 2nd April, 2004:
PRESIDENT:
Mr. John W. Snow
Secretary Of The Treasury
Department Of The Treasury
1500 Pennsylvania Avenue, N.W. Room 3419:
Washington D.C. 20220 U.S.A:
Dear Mr. Snow,
I am writing in response to the GAO request for our comments on its
recent draft of its study on debt relief, entitled, "Developing
Countries: Achieving Poor Countries' Debt Relief Targets Faces
Significant Financing Challenges." Our comments relate to two issues
raised by the GAO Report: (1) Financing Gap for the Debt Relief of the
African Development Bank Group (AfDB), and (2) Achieving Debt
Sustainability in the Medium to Long Term.
With respect to the first issue, GAO estimates that the AfDB faces a
financing gap of around $400 million for the 23 countries that have
qualified and $800 million for the remaining nine countries - most of
which are post-conflict countries. GAO's estimate for AfDB of its total
financing gap thus stands at $1.2 billion. The GAO Report also states
"Neither (the World Bank or the ADB) has determined how it would close
the gap."
With respect to the 23 African countries that have qualified to date,
AfDB's current estimate of its costs for debt relief, including for the
Democratic Republic of Congo, is $2.56 billion in present value terms.
From the information provided to us by the HIPC Trust Fund regarding
donor contributions and including the projected Bank contributions, the
resources mobilized by the Bank Group as of the end of 2003 is $2.43
billion. The current shortfall is thus in the order $130 million,
although this may increase due to differences inevitably created by net
present value estimates for the debt, the timing of donor
contributions, and the returns on the funds once received. Moreover,
this estimate does not take into account any 'topping up' of debt
relief that may be required when the 15 African countries that have
only achieved their decision point reach their completion points. As
the GAO study indicates this could vary between $127 to $254 million
for the AfDB depending on the approach to be taken by the donor
community with respect to calculating topping up requirements.
With respect to the resources required for the remaining 9 countries,
the GAO report is correct when it states that the financing of the
AfDB's HIPC contribution has yet to be determined. In this regard, it
is important to emphasize, first, that the actual amounts involved are
not precise. The $800 million quoted by the GAO is likely to be an
underestimate given that most of these countries in the remaining group
are post-conflict countries that will require high levels of debt
relief when the international community determines that they are ready
to become eligible for HIPC debt relief.
More broadly, with respect to the financing of AfDB HIPC costs, I wish
to bring to your kind attention the two important agreements that the
donor community had reached. First, at the June 2000 meeting of ADF
donors, State Participants pledged to finance the Bank's HIPC costs and
agreed that the maximum the Bank Group could mobilize from its own
resources was $370 million. Second, donor countries essentially adopted
a pay-as-you-go approach, making part of the debt relief costs of the
AfDB available at the decision point and the remaining amount at the
completion point.
In the light of these agreements, we expect additional debt relief
financing for the AfDB Group to be covered by donor contributions. In
this connection, it is evident that the US government would undoubtedly
be asked to make additional contributions to cover future AfDB HIPC
costs. I
wish to emphasize that unless it reaches agreement with its donors on
financing, the AfDB cannot, on its own, decide to provide debt relief
to the remaining countries.
Turning to the issue of long-term debt sustainability, as the GAO study
clearly points out, this would depend on the growth performance of HIPC
countries, the growth of their exports, and the degree to which these
countries succeed in diversifying their exports. The record to date is
indeed not very encouraging. As the need to `top up' debt relief at the
completion point has shown, projections on growth and export
performance have proved to be too optimistic. And recent adverse terms
of trade and volatility in commodity prices have also made it difficult
for countries to achieve the HIPC debt targets.
The GAO conclusion that these countries are likely to need considerable
assistance in the future to meet the debt sustainability targets - and
as important their economic growth and social development targets - is
therefore likely to be correct. There can, however, be some
differences of views on the actual amounts that will be involved.
The use of historical data to project export performance, as the GAO
study does, would imply limited progress in the future. While African
countries in general have yet to raise their growth rates to desirable
levels and as many have yet to diversify their export base, caution on
this score is warranted. Nonetheless, it is also important to note that
some HIPC countries, such as Mozambique, are making important strides
in terms of sustaining higher growth rates and diversifying their
exports. Other African countries are also beginning to boost their
exports to the US in the context of the AGOA initiative.
In the light of these developments, a closer look at the recent
performance of individual cases may provide a more accurate basis for
projecting future ODA needs. It would also indicate some of the other
policy measures that the US government could consider in other critical
areas such as trade to help African countries accelerate their growth
rates and diversify their exports.
I trust that you will find these comments useful.
Sincerely yours,
Signed by:
Omar Kabbaj:
The following are GAO's comments on the African Development Bank
letter, dated April 2, 2004.
GAO Comments:
1. The AfDB said its current shortfall for the 23 African countries
that have qualified to date is $130 million. We consider our estimate
of about $400 million to be more accurate because it accounts for the
actual amount of resources the AfDB has identified to contribute to the
initiative and converts the estimate into 2003 dollars. For example,
although the AfDB expects to provide $662 million (nominal) as it share
of the HIPC Initiative, it has only identified $370 million (nominal)
thus far.
2. The AfDB said the use of historical export data would imply limited
progress in the future. As noted in our previous reports, World Bank/
IMF projected export growth rates have been optimistic--overall, more
than double historical rates. We consider historical export growth
rates to be more realistic, given these countries' reliance on highly
volatile commodities and other vulnerabilities. For example, the
increasing prevalence of HIV/AIDS in many poor countries will likely
have substantial negative effects on a broad range of economic
variables, including export growth.
[End of section]
Appendix IX: Comments from the Inter-American Development Bank:
INTER-AMERICAN DEVELOPMENT BANK
WASHINGTON D. C. 20577:
PRESIDENT:
April 5, 2004:
Mr. Joseph A. Christoff Director:
International Affairs and Trade
General Accounting office:
441 G Street, NW, Room 4767
Washington, D.C. 20548:
Dear Mr.Christoff:
Thank you for giving us an opportunity to comment on the draft report
titled "Developing Countries: Achieving Poor Countries' Economic Growth
and Debt Relief Targets Faces Significant Financing Challenges".
Attached, please find our comments, which we understand will be
reflected in the final report.
Yours sincerely,
Signed by:
Dennis Flannery
for Enrique V. Iglesias, President:
Encl.
Comments from the Inter-American Development Bank:
The IDB generally agrees with the report prepared by GAO, which
accurately reflects the Bank's participation in the HIPC Initiative.
The IDB is providing debt relief to four countries: Bolivia, Guyana,
Honduras and Nicaragua. Of these countries, three have already reached
completion without significant completion point DSA or topping-up
adjustments; therefore, the fully financed framework of debt relief
remains unchanged.
As indicated in the report, the IDB estimates there could be a shortage
of resources available for lending in the FSO in future years. The
current Governors' mandate established a lending program for 2000-2008,
which the Bank expects to be able to achieve. IDB Management is
reviewing its lending capacity in the FSO for 2009 and thereafter to
determine what actions may be required for the FSO to continue
providing concessional loans to the Bank's poorest borrowing member
countries.
[End of section]
Appendix X: GAO Contacts and Staff Acknowledgments:
GAO Contacts:
Thomas Melito (202) 512-9601 Cheryl Goodman (202) 512-6571:
Acknowledgments:
In addition to the individuals named above, Bruce Kutnick, Barbara
Shields, R.G. Steinman, Ming Chen, Rob Ball, and Lynn Cothern made key
contributions to this report.
(320196):
FOOTNOTES
[1] Under the HIPC Initiative a country is considered to be "debt
sustainable" if, in most cases, the ratio of a country's debt (in
present value terms) to the value of its exports is at or below the150
percent threshold, which is believed to contribute to countries'
ability to make their future debt payments on time and without further
debt relief.
[2] All figures in this report are stated in 2003 present value terms,
unless otherwise noted. The present value of debt is a measure that
takes into account the concessional, or below market, terms that
underlie most of these countries' loans. The present value is defined
as the sum of all future debt-service obligations (interest and
principal) on existing debt, discounted at the market interest rate.
The nominal value of the debt is greater than the present value. The
cost estimate is for 34 countries, because 4 countries are not likely
to need relief under the initiative and the data for 4 other countries
are considered unreliable.
[3] Efforts to relieve the debt burdens of poor countries have
concentrated on the external debt of these countries. Thus, debt
sustainability is defined in terms of repaying debt owed to external
creditors, with export earnings considered an important source of
revenue for repaying this debt.
[4] Eligibility for the HIPC Initiative is scheduled to expire at the
end of calendar year 2004. However, previous sunset dates have been
extended.
[5] The multilateral development banks' financing gap takes into
consideration pledges from the HIPC Trust Fund. The HIPC Trust Fund was
created to help multilateral creditors meet their share of debt relief
cost. The Fund includes money pledged/contributed by member governments
and some multilateral creditors.
[6] Factors such as changes in the foreign exchange value of the U.S.
dollar could substantially alter total costs.
[7] The IBRD does not expect to write off this debt. The IBRD expects
the financing for debt relief on IBRD loans to come from HIPC Trust
Fund resources and through new credits from IDA to certain affected
countries. These HIPC Trust Fund resources and IDA credits are to be
funded by resources other than transfers from IBRD's net income.
[8] This is a nominal dollar estimate.
[9] Replenishment refers to periodic contributions by member countries
that are agreed upon by the institution's board of governors to fund
concessional lending operations over a specified period of time,
normally every 3 years. IDA's next replenishment (the 14TH) is expected
to take effect in July 2005.
[10] According to IDA's Articles of Agreement, the Association shall
review the adequacy of its resources and authorize an increase in
members' subscriptions. All decisions to increase members'
subscriptions are made by a two-thirds majority of the total voting
power. No member is obligated to subscribe; however, not participating
in an increase may affect a country's voting power and influence in the
Association.
[11] For this analysis, we assumed that IBRD's net income transfers
continue until 2021 at the maximum rate of $240 million per year
beginning in 2006 and decline thereafter to cover all remaining
scheduled HIPC relief through 2035.
[12] While the U.S. government is not legally obligated to help close
the HIPC financing shortfall of the MDBs, the United States may have an
implicit fiscal exposure, which is an implied commitment embedded in
the government's current policies or in the public's expectations about
the role of the government. See U.S. General Accounting Office, Fiscal
Exposures: Improving the Budgetary Focus on Long-Term Costs and
Uncertainties, GAO-03-213, (Washington, D.C.: January 24, 2003) for a
discussion of implicit exposures.
[13] Most of the debt of these countries is owed to the African
Development Fund, the concessional lending arm of the bank.
[14] AfDB's annual cash flow projection covers the period 2000 through
2038.
[15] According to the AfDB, the $800 million is likely to be an
underestimate, given that most of the nine remaining countries are
post-conflict countries that will require high levels of debt relief
when the international community determines that they are ready to
become eligible for HIPC debt relief.
[16] According to AfDB's Articles of Agreement, the authorized capital
stock of the AfDB may be increased when the Board of Governors deems it
advisable. The decision of the board is adopted by a two-thirds
majority of the total number of governors, representing not less than
three-quarters of the total voting power of the members. No member is
obligated to subscribe to any part of a capital stock increase, but not
participating in an increase could affect a country's voting power and
influence in AfDB.
[17] According to the IaDB's Articles of Agreement, the FSO shall be
increased through additional contributions by the members when the
Board of Governors considers it advisable by a three-fourths majority
of the total voting power of the member countries. No member, however,
is obligated to contribute any part of such increase, though not
contributing may affect a country's voting power and influence in the
Bank.
[18] The current HIPC framework allows for topping up of relief only in
exceptional cases where a country's debt ratios have worsened as a
result of exogenous shocks, leading to a fundamental change in its
economic circumstances.
[19] Under the first methodology, the current bilateral cost is
associated with Russia and non-Paris Club bilateral and commercial
creditors, which did not provide additional bilateral assistance above
the enhanced HIPC agreement.
[20] When IDA performed the analysis, 19 countries were between the
decision and completion points, and 8 had reached their completion
points for a total of 27 countries. Currently, 10 countries have
reached their decision points, and 17 are between decision and
completion points.
[21] The seven countries are Chad, Ethiopia, Malawi, Niger, Rwanda, The
Gambia, and So Tom and Prncipe.
[22] This figure includes $149 million for Burkina Faso and Benin under
methodology I and $326 million for Benin, Burkina Faso, and Mauritania
under methodology II. Burkina Faso has already received topping up of
$129 million, and the IMF and World Bank boards decided in March 2003
that Benin did not qualify for topping up at its completion point.
According to the World Bank and IMF, the estimates for these countries
are provided for information purposes and do not necessarily imply that
methodology II would be applied retroactively.
[23] Declines in discount rates and the U.S. dollar exchange rate since
these preliminary cost estimates were calculated could increase total
costs. The World Bank and IMF estimate that the cost in the baseline
scenario could rise to about $1.5 billion under methodology I and about
$3.4 billion under methodology II, using lower exchange and discount
rates prevailing as of June 30, 2003 (end-December 2002 for those
countries likely to reach completion point in 2003). For example,
methodology I estimates of topping up costs for Ethiopia increased from
$334 million to $618 million, and from $71 million to $103 million for
Niger.
[24] Using updated exchange and discount rates, the estimated
additional cost to the U.S. government could range from $179 million to
$316 million for assistance to the World Bank and AfDB.
[25] Debt sustainability under the current HIPC standard is defined as
a present value external debt stock-to-export ratio less than or equal
to 150 percent. The World Bank and IMF established a different debt
sustainability indicator for countries with very open economies.
Because these countries have a large export base compared with other
measures of debt servicing capacity, the fiscal criterion of present
value debt-to-fiscal revenues (250 percent) is considered a more
appropriate debt sustainability measure. The four countries that
qualify under this criterion are Ghana, Guyana, Honduras, and Senegal.
[26] U.S. General Accounting Office, Developing Countries: Status of
the Heavily Indebted Poor Countries Debt Relief Initiative, GAO/NSIAD-
98-229 (Washington, D.C.: Sept. 30, 1998); U.S. General Accounting
Office, Developing Countries: Debt Relief Initiative for Poor Countries
Faces Challenges, GAO/NSIAD-00-161 (Washington, D.C.: June 29, 2000);
U.S. General Accounting Office, Developing Countries: Switching Some
Multilateral Loans to Grants Lessens Poor Country Debt Burdens, GAO-02-
593 (Washington, D.C.: April 19, 2002); and U.S. General Accounting
Office, Developing Countries: Challenges Confronting Debt Relief and
IMF Lending to Poor Countries, GAO-01-745T (Washington, D.C.: May 15,
2001).
[27] If future export growth rates exceed historical levels, the
projected export earnings shortfall would be lower. We estimate that
for every percentage-point increase (decrease) in export growth rates
from the historical average, the export earnings shortfall would
decrease (increase) by about $35 billion.
[28] World Bank, Operation Evaluations Department, The Heavily Indebted
Poor Countries Debt Initiative, An OED Review, February 20, 2003.
[29] Under historical export growth rates, more than half of the
countries experience unsustainable debt levels. These debt levels can
be reduced regardless of whether donors address the export earnings
shortfall. However, if donors do not fund the export earnings
shortfall, countries will likely experience significant reductions in
economic growth.
[30] This estimate assumes that donors fund the $215 billion export
shortfall with grants only, as grants avoid the build up of new debt.
[31] Of the $153 billion in expected future development assistance, $75
billion is comprised of loans from the multilateral development banks.
This strategy would switch the minimum amount of these loans to grants
to achieve debt sustainability. Because these loans would raise a
country's debt to an unsustainable level under historical growth rates,
we consider switching them to grants to be the equivalent to debt
relief.
[32] See appendix IV for a more detailed discussion of the different
strategies examined.
[33] Our analysis assumes that under historical export growth rates,
countries will have difficulty repaying their future debt burdens. As
such, we did not take into account any reduction in future costs to
bilateral donors that could arise if HIPCs were able to repay their
multilateral loans.
[34] Niger and Rwanda do not achieve debt sustainability, even with
100-percent grants because their historical export growth rates are
negative and their existing debt levels are high.
[35] This cost represents loan receipts from 2003-2060 that are forgone
after switching a percentage of new loans to grants.
[36] The percentage of loans switched to grants necessary to achieve
debt sustainability varies by country and results in different costs
and impacts for each country. For a breakdown of costs and impact by
country, see appendix IV.
[37] While the previous analysis assumed constant export growth rates,
consistent with the projections of the World Bank and IMF, the export
earnings of HIPC countries are in fact highly volatile.
[38] Yemen, Angola, Kenya, and Vietnam are not included in our analysis
because they are not expected to qualify for the HIPC Initiative. The
World Bank and IMF expect the countries' debt level to be sustainable
after they receive traditional debt relief.
[39] Heavily Indebted Poor Countries Initiative - Status of
Implementation, IMF and World Bank, (Washington, D.C.: September 12,
2003); from AfDB-List of Countries Approved by the African Development
Bank Group's Boards Under the Enhanced HIPC Initiative; from IaDB-
Enhanced HIPC Debt Relief Profile for Bolivia, Honduras, Guyana, and
Nicaragua.
[40] For most countries, historical export growth rates are lower than
the DSA projections.
[41] While 42 countries are potentially eligible for assistance under
the HIPC Initiative, only 27 countries thus far have qualified for debt
relief.
[42] See U.S. General Accounting Office, Debt Relief Initiative for
Poor Countries Faces Challenges, GAO/NSIAD-00-161 (Washington, D.C.:
June 29, 2000) and Switching Some Multilateral Loans to Grants Lessens
Poor Country Debt Burdens, GAO-02-593 (Washington, D.C.: April 19,
2002).
[43] Key economic variables such as IMF purchases, loan disbursements,
grants, or additional finance were not provided or could be deduced
only by making reasonable assumptions. For example, while most
countries' DSAs contained a balance of payments table indicating
official grants and loans, Mauritania had no balance of payments table
and Rwanda's did not have official grant and loan information.
[44] The SDR is a unit of account of the IMF. It is comprised of a
weighted average of the values of four currencies: the U.S. dollar,
yen, euros, and pound sterling.
[45] We assume the same loans-to-grants ratio as indicated in each
country's DSA.
[46] To build in volatility in export projection, we used software that
randomly drew 18,000 export growth rates (for each 1,000 runs, 18
simultaneous draws, one for each year) from a distribution that
reflects the historic growth volatility of each country. A detailed
description of our methodology is contained in appendix I.
[47] The five countries are Burkina Faso, Democratic Republic of Congo,
Niger, Sierra Leone, and Zambia. Historic growth is calculated using
the geometric mean of the annual growth rates.
[48] See for example, Debt Relief for the Poorest: An OED Review of the
HIPC Initiative, World Bank, (Washington, D.C.: February 24, 2003).
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| en |
converted_docs | 174650 | **["Locally Led Conservation; Diverse Districts/Common
Goals]{.underline}"**
**[Colorado Association of Conservation Districts 64^th^ Annual
Meeting]{.underline}**
**[November 17 -- 20, 2008, Rocky Mountain Conference Center, Estes
Park, Colorado\
Draft agenda August 2008 / For details see: www.cacd.us]{.underline}**
[**\
**Monday (Nov. 17):]{.underline}
10:00 a.m. -- 6:00 **SWCS Meeting** ("Impact of Energy Development on
Soil and Water Resources")
> (Coalbed Methane; Energy Dev on Public Lands; (Lunch buffet)
>
> (All are invited by SWCS; \$fee\$)
11:00 -- 1:00 **Joint CACD & CSCB Board Meetings** (Lunch buffet)
1:00 -- 5:00 **CACD Board Meeting** (Big Horn)
1:00 -- 5:00 **CSCB Board Meeting** (Blue Spruce)\
4:00 -- 6:00 Early registration -- Prefunction Area\
5:00 -- 7:00 **Resolutions Committees Meeting\
**7:00 -- 7:30 Annual Meeting **Moderators** Workshop\
7:00 -- 9:00 **Getting to know you** cash **bar social gathering**
[Tuesday (Nov. 18):]{.underline}
7:00 a.m. Registration Opens / Prefunction Area\
7:00 a.m. Exhibit Hall Opens/ Lobby
7:30 -- 8:30 **First Timer Meeting** (Big Horn/Blue Spruce)
8:30 -- Noon **Policy Development Meeting Resolutions** Review
10:15-10:30 Break
Noon **Lunch on Your Own**\
Noon -- 1:00 **District Manager Appreciation Lunch**
1:00 -- 2:30 **Opening Session**\
-Color Guard/Pledge of Allegiance
> -Invocation\
> **-Comments** by Eric Jessen CACD President / Introduction of Speaker
> **\
> ** -**Commissioner John Stulp**, CO Dept of Ag **Year in Review**
>
> \-**NACD Update** (Confirmed, Keira Franz, NACD Washington
> DC/Legislation)
>
> \-**Motivational Speaker** (Richard Fagerlin, invited)
1:00 **Silent Auction** Opens
1:00 **Poster and Photo Contest** Begins
3:00 -- 5:00 **Auxiliary Meeting** (Lake Estes)\
2:30 -- 3:00 Break
3:00 -- 4:00 General Session (Brian / Brian Starkebaum- Moderator)
> \-**Justice Greg Hobbs** (confirmed) "**Colorado 21^st^ Century
> Water"**
>
> \-**Meghan Sittler**, **National Drought Mitigation Center**
4:00 -- 4:15 Break\
4:15 -- 5:30 **Showcase Conservation District Weed Management, (Costilla
CD Project)\
-Kelly Uhing, Colorado Weed Coordinator, and Mike Riggirozzi**
(Invited)\
-Question and Answer
5:30 -- 7:30 **Dinner on your own**\
5:30 -- 7:30 **Grazing Land Conservation Initiative Committee Meeting**
5:30 -- 7:30 **CO District BSPP Steering Committee**, Eric Jessen,
Moderator\
5:30 -- 7:30 **District Employees Only Meeting**
7:30 -- 8:30 **Social Hour** (Ballrooms E and F)
8:00 -- 8:30 **Live Auction,** Auctioneer - (Ballrooms E and F)
8:30 -- 11:00 **Social evening; Entertainment; Theme: Luau** (Pool
Atrium)
[Wednesday (Nov. 19):]{.underline}
7:00 a.m. Registration Opens -- Prefunction area\
8:00 -- 9:30 **Farm Bill** (Post rulemaking discussion)\
-Farm Bill -- Conservation Title of the Farm Bill, Tim Carney (invited)\
-Rural Development -- (Mike Bennett)\
-CRP Grazing / Lewis Frank, FSA\
-Brian Starkebaum, CACD\
-Question and Answer
9:30 -- 9:50 Break
9:50 -- 11:00 **Legislative Training**, Legislative Briefing Jeani
Frickey,\
9:50 -- 10:30 **Showcase Conservation District Education Work**
(Ballrooms A, B, C)\
-Small Acreage Education, Ft. Morgan CD, Val Loose\
-Conservation Education Today, Rio Grande Watershed, Judy Lopez
10:30 -- 11:00 Break\
10:30 Poster and Photo Contest ends
11:00 -- 12:15 General discussion / **Proposed Irrigation Rules/ Water**
(Ballrooms A, B, C)
> Panel discussion with Commissioner Stulp, Steve Witte (State
> Engineer's Office\
> Representative; Allen Green, George Fosha and other panel members\
> Open to general discussion by conservation districts and questions
12:30 -- 2:30 **Awards Luncheon** Ballrooms, (D, E, F)
2:30 -- 3:00 BREAK\
3:00 -- 4:15 Roundtable open discussion; what is important in your
district in **Powers of Partnerships**
> (Kick off roundtable by Baca CD, Misty George/ DOW, RMBO, USDA)
3:00 -- 4:15 Roundtable open discussion; what is important in your
district in **Renewable Energy**\
(Kick off roundtable; Bent CD Wind Energy Presentation; Tony Frank
(invited)
3:00 -- 4:15 Roundtable open discussion; what is important in your
district in **Resource Extraction**\
(Invite to sit in on roundtable Ron Catany or Loretta Pineda; Oil and
Gas industry invited)\
3:00 -- 4:15 Roundtable open discussion; what is important in your
district in **Forest Health/Management** (Invited to sit in on
roundtable Greg Sundstrom /and Jan Hackett, invited. (Please remember to
visit the Silent Auction before it closes at 5:00 p.m.)
4:30 -- 5:30 **District Supervisors** Only Roundtable Discussion/
Moderators Petra Barnes/Monty Smith\
(Carry over into 5:30 p.m. networking session if needed)
4:30 -- 5:30 **District Employees** Business Meeting
> (Carry over into 5:30 p.m. networking session if needed)
4:30 -- 5:30 **Partners Networking Appreciation Session** / Light
appetizers / beverages\
(A thank you to the partners by the conservation districts; "we could
not do it without you."
5:00 p.m. Silent Auction Closes\
5:30 -- 6:30 **Open Networking**; Exhibit Hall/Conference Center (Have
material present) (Lobby) (30 exh)
6:30 -- 9:15 **Banquet** Ballrooms D, E, F (225)
> Invocation / JD Wright\
> Dinner / 6:30 -- 7:30 pm
>
> Awards Presentation / 7:30 pm -- 8:30 pm\
> Camp Rocky Range Science Presentation / Entertainment
[Thursday (Nov. 20):]{.underline}
8:00 a.m -- Noon **CACD General Assembly Business Meeting**
8:00 -- 4:00 **RC&D** all day meeting
8:00 -- Noon **NRCS** meeting
1:00 -- 3:00 **CACD Board Meeting** and **Election of Officers**
| en |
converted_docs | 744391 | **Safeguarding Personal Information in**
**Department of Veterans Affairs Records**
**Note**: Sections 1.575 through 1.584 concern the safeguarding of
individual privacy from the misuse of information from files, records,
reports, and other papers and documents in Department of Veterans
Affairs custody. As to the release of information from Department of
Veterans Affairs claimant records see §1.500 series. As to the release
of information from Department of Veterans Affairs records other than
claimant records see §1.550 series. Section 1.575 series implement the
provisions of Pub. L. 93-579, December 31, 1974, adding a section 552a
to title 5 U.S.C. providing that individuals be granted access to
records concerning them which are maintained by Federal agencies, and
for other purposes.
**Source**: Sections 1.575 through 1.584 issued at 40 FR 33944,
Aug. 12, 1975, unless otherwise noted.
**§1.575 Social security numbers in veterans' benefits matters.**
\(a\) Except as provided in paragraph (b) of this section, no one will
be denied any right, benefit, or privilege provided by law because of
refusal to disclose to the Department of Veterans Affairs a social
security number.
\(b\) VA shall require mandatory disclosure of a claimant's or
beneficiary's social security number (including the social security
number of a dependent of a claimant or beneficiary) on necessary forms
as prescribed by the Secretary as a condition precedent to receipt or
continuation of receipt of compensation or pension payable under the
provisions of chapters 11, 13 and 15 of title 38, United States Code,
provided, however, that a claimant shall not be required to furnish VA
with a social security number for any person to whom a social security
number has not been assigned. VA may also require mandatory disclosure
of an applicant's social security number as a condition for receiving
loan guaranty benefits and a social security number or other taxpayer
identification number from existing direct and vendee loan borrowers and
as a condition precedent to receipt of a VA-guaranteed loan, direct loan
or vendee loan, under chapter 37 of title 38, United States Code. (Pub.
L. 97-365, sec. 4)
\(c\) A person requested by VA to disclose a social security number
shall be told, as prescribed by §1.578(c), whether disclosure is
voluntary or mandatory. The person shall also be told that VA is
requesting the social security number under the authority of title 38
U.S.C., or in the case of existing direct or vendee loan borrowers,
under the authority of 26 U.S.C. 6109(a) in conjunction with sections
145 and 148 of Pub. L. 98-369, or in the case of loan applicants, under
the authority of section 4 of Pub. L. 97-365. The person shall also be
told that it will be used in the administration of veterans' benefits in
the identification of veterans or persons claiming or receiving VA
benefits and their records, that it may be used in making reports to the
Internal Revenue Service where required by law, and to determine whether
a loan guaranty applicant has been identified as a delinquent taxpayer
by the Internal Revenue Service, and that such taxpayers may have their
loan applications rejected, and that it may be used to verify social
security benefit entitlement (including amounts payable) with the Social
Security Administration and, for other purposes where authorized by both
title 38 U.S.C., and the Privacy Act of 1974, (Pub. L. 93-579), or,
where required by another statute. (Pub. L. 97--365, sec. 4) (Authority:
38 U.S.C. 5101)
\[44 FR 22068, Apr. 13, 1979, as amended at 51 FR 21750, June 16, 1986;
56 FR 25044, June 3, 1991\]
| en |
converted_docs | 759151 | September 17, 2007
Ms. Susan Parker Bodine
Assistant Administrator
Office of Solid Waste and Emergency Response
United States Environmental Protection Agency
Washington, DC 20460
***Re:*** Environmental Protection Agency - Proposed Expansion of RCRA
Comparable Fuel Exclusion (40 CFR Part 261), published on June 15, 2007
(72 FR 33284).
Docket ID No. **EPA-HQ-RCRA-2005-0017**
Dear Ms. Bodine:
API is the primary not-for-profit trade association of North America's
oil and natural gas industry, and represents nearly 400 members involved
in all aspects of the oil and natural gas industry, including
exploration, production, transportation, refining, and marketing. Their
operations produce a variety of materials, and some of these materials
are potentially subject to Resource Conservation and Recovery Act (RCRA)
regulations. A number of the secondary materials produced by API's
members' operations are beneficially recycled or reused, and others
could be if the regulatory climate were amenable. API thus has an
interest in ensuring that changes to the Comparable Fuels Exclusion are
reasonable, efficient, and environmentally protective.
EPA, in a proposed rule published on June 15, 2007 (72 FR 33284), would
expand the comparable fuel exclusion under the rules implementing
subtitle C of the Resource Conservation and Recovery Act (RCRA) for
fuels that are produced from hazardous waste but which generate
emissions that are comparable to emissions from burning fuel oil when
such fuels are burned in certain industrial boilers. The revised rule
would establish a new category of excluded waste-derived fuel called
emission-comparable fuel (ECF). The Agency has requested comments on a
number of issues associated with this expansion of the Comparable Fuel
Exclusion. API appreciates the opportunity to examine the proposal and
to provide comments.
API finds that the proposed conditions to be imposed on an ECF material
are complex in the extreme, and this complexity will discourage the use
of the proposed exclusion. The steps that are proposed to achieve
exclusion are many, covering hundreds of requirements from a variety of
rules and many pages of regulatory text, within the expanded 40 CFR §
261.38 itself as well as in many referenced regulations found elsewhere
(e.g. many specified sections of 40 CFR parts 60, 63, 70, 71, 112, &
264) . By way of illustration, we have counted well over 400 specific
regulatory conditions, beyond those already applicable to the existing
Comparable Fuel exclusion, which may apply to newly excluded ECF
material. This approach appears to be entirely unprecedented among the
many previous and existing Definition of Solid Waste exclusions in 40
CFR § 261.2 and 261.4, and seems particularly unnecessary within the
context of this specific proposal, which is limited to a very narrow
expansion of the existing Comparable Fuels exclusion with respect to
certain oxygenates and hydrocarbons that are being properly recognized
as legitimate fuel constituents.
The proposed level of complexity and extensiveness of detailed
conditions is also inconsistent with a number of EPA statements
throughout the preamble related to minimizing unnecessary burden; for
example:
- "These additional hazardous secondary materials could be burned for
energy recovery without imposing unnecessary regulatory costs on
generators...." \[72 FR 33286\].
- "....we are proposing....to condition the exclusion on certain
storage conditions similar to those applicable to commercial
products and commodities analogous to ECF, namely fuel oil and other
commercial organic liquids" \[72 FR 33290\], but then proceeding to
impose many additional storage conditions to which nether fuel oil
nor commercial organic liquids are subject, such as RCRA Subtitle C
hazardous waste regulatory requirements (40 CFR § 264, subparts C
& J) and Organic Liquid Distribution MACT requirements in 40 CFR §
63 for chemicals that are not Hazardous Air Pollutants.
- Concession that "....it could be argued that the only controls
needed to ensure good combustion conditions and destruction of
hazardous organics in ECF would be continuous monitoring of carbon
monoxide and a requirement to fire ECF into the flame zone...." \[72
FR 33294\], but then proceeding to require many more conditions
related to burning the ECF, despite this exclusion being limited to
a short list of oxygenates and hydrocarbons that represent
legitimate fuel constituents.
- Recognition that "...continuing to regulate these waste-derived
fuels as hazardous waste would treat a potentially valuable fuel
commodity\...as a waste without a compelling basis...." \[72 FR
33286\] yet imposing many of those same RCRA Subtitle C hazardous
waste regulatory requirements (from 40 CFR § 264, subparts C & J) on
the excluded material. In addition, EPA acknowledgements that:
- "The CO controls for ECF boilers plus the requirement to fire
ECF into the primary fuel flame zone are equivalent to the
controls on organic emissions for hazardous waste boilers...."
and "The other ECF boiler controls are more restrictive than
controls that apply to hazardous waste boilers...." (72 FR
33291, Footnote 19),
- "...the ECF boiler conditions proposed today are at least as
stringent as the conditions provided by § 266.110...." which
apply to hazardous waste boilers (72 FR 33294, Footnote 33),
- "We propose to adopt the provisions for automatic feed cutoff
systems that apply to boilers that burn hazardous waste...." (72
FR 33296)
- In contrast, at 72 FR 33305, EPA appropriately rejects adopting
hazardous waste tank closure requirements for ECF tanks on the basis
that "...those provisions are inappropriate for closure of a tank
that stored a product -- ECF." That same logic, rejecting the
temptation to apply hazardous waste requirements to products, could
and should be used in many of the other areas where hazardous waste
regulatory conditions are imposed on excluded ECF.
At 72 FR 33308, EPA states that they considered the option of imposing
no specific new controls, instead relying on currently applicable
controls for commercial products, but ultimately rejected that approach
after what appears to be only a fairly cursory consideration. API would
argue, however, that this option should have been selected for this
narrow expanded exclusion, particularly recognizing that ECF would
continue to be subject to all of the existing conditions in § 261.38
already established for Comparable Fuel (which are themselves more
extensive than other DSW exclusions). EPA provides no basis for
concluding that the many existing Safety and Environmental regulations
that apply to products of this type would be inadequate or result in
harm to human health or the environment if relied on to ensure proper
ECF management.
In a similar vein, EPA states at 72 FR 33309 that they considered
whether to propose storage conditions for the currently excluded
comparable fuel, but concluded that was unnecessary. In support of that
conclusion, EPA says "we do not believe that applying the SPCC controls
is warranted at this time because we are not aware of evidence of
improper storage of these comparable fuels." Just as the existing
product storage regulations have proven adequate for comparable fuel, so
too would they prove equally adequate for ECF. There is simply no reason
to conclude otherwise.
API, in conclusion, supports EPA's intention of expanding the comparable
fuels exclusion so that it includes legitimate fuel-value components.
However, we disagree with the need for extensive and complex conditions
proposed to achieve that goal. Rather, we believe that the proposed
complexity will discourage companies from taking advantage of the
exclusion and will thus relegate materials that could be legitimately
used in commerce as fuels to lesser uses or to non-utilized waste. This
will be a loss of energy resources and a missed opportunity. API
suggests that there are more straightforward and efficient ways to
accomplish this narrow expansion of the comparable fuels exclusion and
to meet the "resource conservation and recovery" spirit of RCRA than the
complex pathway proposed in this rule. API is willing to work with the
Agency to develop a suitable and less onerous pathway toward efficient
and safe utilization of fuel value secondary materials so they can serve
as safe energy resources.
As EPA deliberates on its approach to the supplemental proposed rule, we
ask that the Agency consider our comments and adopt the recommendations
provided by API. If there are any questions about these comments, please
contact me at (202) 682-8339 or <purcellt@api.org>.
> Sincerely,
>
> Thomas Purcell
>
> Sr. Environmental Scientist
| en |
markdown | 129186 | # Presentation: 129186
## Inter-Sensor Validation of NDVI time series from AVHRR, SPOT-Vegetation, SeaWIFS, MODIS, and LandSAT ETM+
- <footer>
- <date/time>
**Inter-Sensor Validation of ****NDVI time series from ****AVHRR, SPOT-Vegetation, SeaWIFS, MODIS, and LandSAT ETM+**
**Molly E. Brown ****+**
**Jorge E. Pinzon****+**
**Jeffery T. Morisette****x**** **
**Kamel Didan***
**Compton J. Tucker****x**
**+ ****SSAI, NASA Goddard Space Flight Center * Soil, Water and Environmental Sciences**
**Greenbelt, MD 20771 University of Arizona**** **
**x****NASA Goddard Space Flight Center**
- **Greenbelt, MD 20771 **
## Overview
- Data used in study
- Global NDVI datasets, LandSAT ETM+ for comparison
- Methods
- Spectral, spatial and temporal considerations
- Global 1 degree datasets
- CEOS sites and drought locations
- Results
- Discussion – data continuity from AVHRR through MODIS to VIIRS
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## VIS/NIR/SWIR Band Comparison
**VIS/NIR/SWIR Band Comparison**
**AVHRR**
**SeaWiFS**
**VGT**
**MODIS**
- Differences in spectral range will necessitate increased processing in
- AVHRR and SPOT due to water vapor sensitivity.
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Data
| Sensor | Data Source | Spatial Resolution | Time
domain | Temporal Resolution |
| --- | --- | --- | --- | --- |
| AVHRR | GIMMS NDVIg
Pinzon et al (2005) | 8000 m
1 degree | 81-04
280 mon | 15 day
monthly |
| SPOT VGT | FAS-GIMMS, VITO
Achard, F. et al. (1992) | 1000 m
1 degree | 98-04
67 mon | 10 day
monthly |
| MODIS
NDVI | MODIS-Land, University of Arizona (K.Didan)
Huete, A. et al. (2002) | ~5000 m, 500m
1 degree | 00-04
52 mon | 16 day
monthly |
| SeaWIFS | SeaWIFS / GSFC / GIMMS
Tucker et al (2002) | 4633 m
1 degree | 97-02
62 mon | monthly |
| LandSAT | CEOS website
Morisette et al (2004) | 30 m | 1-9 scenes | periodic |
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Validation Methods: 59 Sites
**Aggregations** to monthly time step and 1 degree resolution for pixel by pixel comparison.
**Global hemispherical means** created to provide direct comparison of NDVI behavior.
**Comparisons of time series** created from 25x25 km box at native temporal and spatial resolutions: CEOS sites, locations of droughts, deserts, agricultural production regions, etc.
**Anomaly and seasonal characteristics** evaluated
- Atmospherically corrected, 25x25km subsets of selected **LandSAT ETM+** scenes provide a base for comparison of datasets.
- CEOS Land Validation Sites
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Maps of NDVI correlation at 1degree
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
**Notes:**
Although AVHRR is matched to the SPOT range, correlations are higher in SeaWIFS. PAL and GIMMS NDVIg are similar to SPOT-AVHRR.
## Global averages show that
**Global averages show that**
- Four sensors have similar
- signals.
- Improvements in AVHRR
- NDVI have reduced many
- differences between the
- sensors, enabling a direct
- comparison between the
- records:
- Longer base means for anomaly
- Multiple data sources for NDVI
- More work to be done for
- data integration to be operational
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Results from CEOS Sites: Harvard, Massachusetts
- Note: similarity in range, seasonality of NDVI
- LandSAT scene range of variation
- Differences in treatment of winter, clouds
- Correlations:
- AV-SP 0.89
- AV-MO 0.84
- AV-SW 0.86
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Correlations:
**Correlations:**
**AV-SP 0.59**
**AV-MO 0.65**
**AV-SW 0.59**
**Correlations:**
**AV-SP 0.85**
**AV-MO 0.82**
**AV-SW 0.66**
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## MODIS cloud and aerosol atmospheric correction
- MODIS cloud and aerosol atmospheric correction
- explains the differences between MODIS and the other sensors.
**Correlations**
**AV-SP 0.60**
**AV-MO 0.33**
**AV-SW 0.38**
**+**
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
**Notes:**
NDVI seasonality observed in the southern Amazon forest region with PAL and GIMMS is primary caused by variations in atmospheric conditions associated with biomass-burning aerosols and cloudiness (Koba- Dye this AGU)
All atmospheric corrections need a clear understanding of what fraction of signal is vegetation and what fraction is not.
## Anomaly Time Series: Drought Detection
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Conclusions
- Many lessons have been learned from the creation of a consistent NDVI record from AVHRR
- How to integrate sensors with different gains (NOAA 7-14 and NOAA 16-17)
- Overcome sensor limitations to reduce clouds, reduce noise and improve image coherence
- More work to be done on further integrating the records of AVHRR, MODIS, SPOT, SeaWIFS to maximize their various strengths, minimizing their weaknesses
- AVHRR – MODIS – VIIRS data continuity will be required to maximize length of record to answer important science questions
- Molly E. Brown, PhD
- Dec 15, 2004 AGU
## Thanks go to Brad Doorn, Assaf Anyamba and Jennifer Small for providing the SPOT data, Gene Feldman, Norman Kuring and Jacques Descloitres for the monthly global SeaWIFS data.
URLs:
GIMMS NDVIg: http://landcover.org
SeaWIFS: http://daac.gsfc.nasa.gov/data/dataset/SEAWIFS_LAND
MODIS: http://edcdaac.usgs.gov/modis/dataproducts.asp
SPOT VGT: http://free.vgt.vito.be/
Subsets of SPOT, AVHRR, MODIS tiles, and Landsat ETM+ data at CEOS sites: http://landval.gsfc.nasa.gov/MODIS/index.php
Thank you!
**URLs: **
**GIMMS NDVIg**: http://landcover.org
**SeaWIFS:** http://daac.gsfc.nasa.gov/data/dataset/SEAWIFS_LAND
**MODIS:** http://edcdaac.usgs.gov/modis/dataproducts.asp
**SPOT VGT:** http://free.vgt.vito.be/
- Subsets of SPOT, AVHRR, MODIS tiles, and **Landsat ETM+** data at **CEOS sites**: http://landval.gsfc.nasa.gov/MODIS/index.php
**Thank you!**
- Molly E. Brown, PhD
- Dec 15, 2004 AGU | en |
converted_docs | 745508 | +----------+------------------------------+----+----------------------+
| # | | | |
| Guide f | | | |
| or Revie | | | |
| w of SHP | | | |
| Housing | | | |
+----------+------------------------------+----+----------------------+
| **Name | | | |
| of | | | |
| Grantee | | | |
| : ** | | | |
+----------+------------------------------+----+----------------------+
| **Staff | | | |
| C | | | |
| onsulted | | | |
| : ** | | | |
+----------+------------------------------+----+----------------------+
| * | | ** | |
| *Name(s) | | Da | |
| of | | te | |
| Revie | | ** | |
| wer(s)** | | | |
+----------+------------------------------+----+----------------------+
**NOTE:** All questions that address requirements contain the citation
for the source of the requirement (statute, regulation, NOFA, or grant
agreement). If the requirement is not met, HUD must make a finding of
noncompliance. All other questions (questions that do not contain the
citation for the requirement) do not address requirements, but are
included to assist the reviewer in understanding the grantee\'s program
more fully and/or to identify issues that, if not properly addressed,
could result in deficient performance. Negative conclusions to these
questions may result in a \"concern\" being raised, but not a
**\"finding.**\"
**[Instructions]{.underline}:** This Exhibit is designed to evaluate the
SHP grantee's housing operations, including resident rent calculations,
residential supervision, due process for terminations, confidentiality
procedures for domestic violence families and habitability standards.
Follow the sampling instructions in Section 13-3 of the introduction to
this Chapter for selecting project/activity files to review. This same
sample can also used to complete Exhibit 13-1, "Guide for Review of SHP
Supportive Services, and Exhibit 13-4, Guide for Review of SHP Clients,"
if part of the same monitoring.
**[Questions:]{.underline}**
1\.
+----------------------------------------------------------+-----------+
| a\. For projects using SHP leasing funds, in reviewing | |
| records showing the amounts of monthly/yearly rent | |
| against documentation showing comparable rents in the | |
| area, are the rents charged reasonable and are they | |
| documented for each lease? | |
| | |
| \[24 CFR 583.115\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
+----------------------------------------------------------+-----------+
| b\. If individual housing units are being leased with | |
| SHP funds, are the lease amounts less than or equal to | |
| the current Fair Market Rent rates (which includes | |
| utilities) for the area? | |
| | |
| \[24 CFR 583.115\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
+----------------------------------------------------------+-----------+
| c\. For projects using leasing funds, are the funds not | |
| being used to lease units or structures owned by the | |
| project sponsor, the grantee, or their parent | |
| organization? | |
| | |
| \[24 CFR 583.330(e)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
2\.
+----------------------------------------------------------+-----------+
| For projects reviewed which charge participant rent, are | |
| the rents charged accurately calculated, including | |
| deductions and utility allowances, if applicable? | |
| | |
| \[24 CFR 583.315\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
3\.
---------------------------------------------------------- ------------
For projects reviewed which charge participant rent, does
the file documentation show the source(s) of income used
in preparing the rent calculations?
**Describe Basis for Conclusion:**
---------------------------------------------------------- ------------
4\.
---------------------------------------------------------- ------------
For projects reviewed which charge participant rent, do
the rent records indicate that participants' incomes are
re-examined at least annually?
**Describe Basis for Conclusion:**
---------------------------------------------------------- ------------
5\.
+------------------------------------------------------------+---------+
| For the projects reviewed, is there adequate residential | |
| supervision, based both upon the regulatory criteria and | |
| interviews with grantee staff? | |
| | |
| \[24 CFR 583.300(e)\] | |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:** | |
+------------------------------------------------------------+---------+
| | |
+------------------------------------------------------------+---------+
6\.
-----------------------------------------------------------------------
a\. Is there a written termination policy and does it provide for a
formal process that recognizes the due process rights of individuals
receiving assistance? (If there is no written policy, interview staff
regarding the process for handling terminations.)
**Describe Basis for Conclusion:**
-----------------------------------------------------------------------
+----------------------------------------------------------+-----------+
| b\. If clients have been terminated, does a review of | |
| these clients' files show that the minimum due process | |
| requirements for termination were followed? | |
| | |
| \[24 CFR 583.300(i)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
7\.
+----------------------------------------------------------+-----------+
| For projects reviewed which serve domestic violence | |
| victims, is there evidence to support that the grantee | |
| has established written procedures regarding | |
| confidentiality of client records and the | |
| address/location of any project serving domestic | |
| violence victims? | |
| | |
| \[24 CFR 583.300(h)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
8\.
+----------------------------------------------------------+-----------+
| **\[OS\]** After making a visual inspection of selected | |
| housing facilities, are the | |
| | |
| habitability standards being met? | |
| | |
| \[24 CFR 583.300(b)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
9\.
+----------------------------------------------------------+-----------+
| For Transitional Housing (TH) projects only, do the | |
| entry-exit dates shown in the participant files indicate | |
| that the participants exceed the 24-month limitation of | |
| stay? | |
| | |
| \[McKinney-Vento Act, Section 424(b)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
10\.
+----------------------------------------------------------+-----------+
| If there are TH projects where participants stay longer | |
| than 24 months, do the files for these clients document | |
| the need for extended program participation? | |
| | |
| \[24 CFR 583.300(j)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
11\.
+----------------------------------------------------------+-----------+
| If there are TH projects where participants stay longer | |
| than 24 months, is the number of participants less than | |
| 50% of the total number served by the projects for the | |
| projects reviewed? | |
| | |
| \[24 CFR 583.300(j)\] | |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:** | |
+----------------------------------------------------------+-----------+
| | |
+----------------------------------------------------------+-----------+
| en |
converted_docs | 426621 | Hybrid Perceptual/Bitstream Group
TEST PLAN
Draft Version 1.1
September 13, 2007
Contacts:
Peru Juric (Co-Chair) Tel: +41 41 720 26 12 Email:
<pero.juric@spirent.com>
Chulhee Lee (Co-Chair) Tel: +82 2 2123 2779 Email:
<chulhee@yonsei.ac.kr>
David Hands (Editor) Tel: +44 (0)1473 648184 Email:
<david.2.hands@bt.com>
Nicolas Staelens (Editor) Tel: +32 9 331 49 75 Email:
<nicolas.staelens@intec.ugent.be>
Editorial History
------------- ----------- -------------------------------------------------
**Version** **Date** **Nature of the modification**
1.0 May 9, 2007 Initial Draft, edited by A. Webster (from
Multimedia Testplan 1.6)
1.1 Revised First Draft, edited by David Hands and
Nicolas Staelens
1.1a September Edits approved at the VQEG meeting in Ottawa.
13, 2007
------------- ----------- -------------------------------------------------
Summary
**1. Introduction [6](#introduction)**
2\. List of Definitions [7](#list-of-definitions)
3\. List of Acronyms [9](#list-of-acronyms)
4\. Subjective Evaluation Procedure
[10](#subjective-evaluation-procedure)
4.1. The ACR Method with Hidden Reference Removal
[10](#the-acr-method-with-hidden-reference-removal)
4.1.1. General Description [10](#general-description)
4.1.2. Application across Different Video Formats and Displays
[11](#application-across-different-video-formats-and-displays)
4.1.3. Display Specification and Set-up
[11](#display-specification-and-set-up)
4.1.4. Test Method [12](#test-method)
4.1.5. Subjects [12](#subjects)
4.1.6. Viewing Conditions [13](#viewing-conditions)
4.1.7. Experiment design [14](#experiment-design)
4.1.8. Randomization [14](#randomization)
4.1.9. Test Data Collection [15](#test-data-collection)
4.2. Data Format [15](#data-format)
4.2.1. Results Data Format [15](#results-data-format)
4.2.2. Subjective Data Analysis [16](#subjective-data-analysis)
5\. Test Laboratories and Schedule [17](#test-laboratories-and-schedule)
5.1. Independent Laboratory Group (ILG)
[17](#independent-laboratory-group-ilg)
5.2. Proponent Laboratories [17](#proponent-laboratories)
5.3. Test procedure and schedule [17](#test-schedule)
1.1. [17](#test-schedule)
6\. Sequence Processing and Data Formats
[21](#__RefHeading___Toc158645272)
6.1. Sequence Processing Overview [21](#sequence-processing-overview)
6.1.1. Duration of Source Sequences [21](#duration-of-source-sequences)
6.1.2. Camera and Source Test Material Requirements
[21](#camera-and-source-test-material-requirements)
6.1.3. Software Tools [22](#software-tools)
6.1.4. Colour Space Conversion [22](#colour-space-conversion)
6.1.5. De-Interlacing [23](#de-interlacing)
6.1.6. Cropping & Rescaling [23](#cropping-rescaling)
6.1.7. Rescaling [23](#rescaling)
6.1.8. File Format [24](#file-format)
6.1.9. Source Test Video Sequence Documentation
[24](#source-test-video-sequence-documentation)
6.2. Test Materials [25](#test-materials)
6.2.1. Selection of Test Material (SRC)
[25](#selection-of-test-material-src)
6.3. Hypothetical Reference Circuits (HRC)
[25](#hypothetical-reference-circuits-hrc)
6.3.1. Video Bit-rates [26](#video-bit-rates)
6.3.2. Simulated Transmission Errors
[26](#simulated-transmission-errors)
6.3.3. Live Network Conditions [28](#live-network-conditions)
6.3.4. Pausing with Skipping and Pausing without Skipping
[29](#pausing-with-skipping-and-pausing-without-skipping)
6.3.5. Frame Rates [29](#frame-rates)
6.3.6. Pre-Processing [30](#pre-processing)
6.3.7. Post-Processing [30](#post-processing)
6.3.8. Coding Schemes [30](#coding-schemes)
6.3.9. Processing and Editing Sequences
[30](#processing-and-editing-sequences)
7\. Objective Quality Models [33](#objective-quality-models)
7.1. Model Type [33](#model-type)
7.2. Model Input and Output Data Format
[33](#model-input-and-output-data-format)
7.3. Submission of Executable Model
[36](#submission-of-executable-model)
7.4. Registration [37](#registration)
8\. Objective Quality Model Evaluation Criteria
[38](#objective-quality-model-evaluation-criteria)
8.1. Evaluation Procedure [38](#evaluation-procedure)
8.2. PSNR [38](#psnr)
8.3. Data Processing [38](#data-processing)
8.3.1. Calculating DMOS Values [39](#calculating-dmos-values)
8.3.2. Mapping to the Subjective Scale
[39](#mapping-to-the-subjective-scale)
8.3.3. Averaging Process [40](#averaging-process)
8.3.4. Aggregation Procedure [40](#aggregation-procedure)
8.4. Evaluation Metrics [40](#evaluation-metrics)
8.4.1. Pearson Correlation Coefficient
[40](#pearson-correlation-coefficient)
8.4.2. Root Mean Square Error [41](#root-mean-square-error)
8.5. Statistical Significance of the Results
[42](#statistical-significance-of-the-results)
8.5.1. Significance of the Difference between the Correlation
Coefficients
[42](#significance-of-the-difference-between-the-correlation-coefficients)
8.5.2. Significance of the Difference between the Root Mean Square
Errors
[43](#significance-of-the-difference-between-the-root-mean-square-errors)
8.5.3. Significance of the Difference between the Outlier Ratios
[43](#significance-of-the-difference-between-the-outlier-ratios)
9\. Recommendation [45](#recommendation)
10\. Bibliography [46](#bibliography)
Introduction [49](#introduction-1)
Packet switched radio network [49](#packet-switched-radio-network)
Wireline Internet [50](#wireline-internet)
Circuit switched radio network [50](#circuit-switched-radio-network)
Summary of transmission error simulators
[50](#summary-of-transmission-error-simulators)
References [52](#references)
Installation and preparation [54](#installation-and-preparation)
Running the program [54](#running-the-program)
Setup-file parameters [55](#setup-file-parameters)
Example of a setup-file [56](#example-of-a-setup-file)
Transformation of source test sequences to UYVY AVI files
[61](#transformation-of-source-test-sequences-to-uyvy-avi-files)
AviSynth Scripts for the common transformations
[62](#avisynth-scripts-for-the-common-transformations)
UYVY Raw to UYVY AVI [63](#uyvy-raw-to-uyvy-avi)
UYVY Raw to RGB AVI [63](#uyvy-raw-to-rgb-avi)
RGB AVI to UYVY AVI [64](#rgb-avi-to-uyvy-avi)
Processing and Editing Sequences
[64](#processing-and-editing-sequences-1)
Calibration [65](#calibration)
UYVY Decoder to UYVY Raw / UYVY AVI
[65](#uyvy-decoder-to-uyvy-raw-uyvy-avi)
Notes [66](#notes)
# Introduction
This document defines the procedure for evaluating the performance of
objective perceptual quality models submitted to the Video Quality
Experts Group (VQEG) formed from experts of ITU-T Study Groups 9 and 12
and ITU-R Study Group 6. It is based on discussions from various
meetings of the VQEG Hybrid Bit-stream working group (HBS) recorded in
the Editorial History section at the beginning of this document.
The goal of the VQEG HBS group is to evaluate perceptual quality models
suitable for digital video quality measurement in video and multimedia
services delivered over an IP network. The scope of the testplan covers
a range of applications including IPTV, internet streaming and mobile
video. The primary point of use for the measurement tools evaluated by
the HBS group is considered to be operational environments (as defined
in Figure X, Section Y), although they may be used for performance
testing in the laboratory.
For the HBS testing, audio-video test sequences will be presented to
subjects. Subjects will provide three quality ratings for each test
sequence: a video quality rating (MOS~V~), an audio quality rating
(MOS~A~) and an overall quality rating (MOS~AV~). Models may predict the
quality of the video only or provide all three measures for each test
sequence.
The performance of objective models will be based on the comparison of
the MOS obtained from controlled subjective tests and the MOS predicted
by the submitted models. This testplan defines the test method,
selection of source test material (termed SRCs) and processed test
conditions (termed HRCs), and evaluation metrics to examine the
predictive performance of competing objective hybrid/bit-stream quality
models.
A final report will be produced after the analysis of test results.
# List of Definitions
[Intended frame rate]{.underline} is defined as the number of video
frames per second physically stored for some representation of a video
sequence. The [intended frame rate]{.underline} may be constant or may
change with time. Two examples of *constant* [intended frame
rates]{.underline} are a BetacamSP tape containing 25 fps and a VQEG
FR-TV Phase I compliant 625-line YUV file containing 25 fps; these both
have an [absolute frame rate]{.underline} of 25 fps. One example of a
*variable* [absolute frame rate]{.underline} is a computer file
containing only new frames; in this case the [intended frame
rate]{.underline} exactly matches the [effective frame
rate]{.underline}. The content of video frames is not considered when
determining [intended frame rate]{.underline}.
[Anomalous frame repetition]{.underline} is defined as an event where
the HRC outputs a single frame repeatedly in response to an unusual or
out of the ordinary event. [Anomalous frame repetition]{.underline}
includes but is not limited to the following types of events: an error
in the transmission channel, a change in the delay through the
transmission channel, limited computer resources impacting the decoder's
performance, and limited computer resources impacting the display of the
video signal.
[Constant frame skipping]{.underline} is defined as an event where the
HRC outputs frames with updated content at an [effective frame
rate]{.underline} that is fixed and less than the [source frame
rate]{.underline}.
[Effective frame rate]{.underline} is defined as the number of unique
frames (i.e., total frames -- repeated frames) per second.
[Frame rate]{.underline} is the number of (progressive) frames displayed
per second (fps).
[Live Network Conditions]{.underline} are defined as errors imposed upon
the digital video bit stream as a result of live network conditions.
Examples of error sources include packet loss due to heavy network
traffic, increased delay due to transmission route changes, multi-path
on a broadcast signal, and fingerprints on a DVD. [Live network
conditions]{.underline} tend to be unpredictable and unrepeatable.
[Pausing with skipping (formerly frame skipping)]{.underline} is defined
as events where the video pauses for some period of time and then
restarts with some loss of video information. In [pausing with
skipping]{.underline}, the temporal delay through the system will vary
about an average system delay, sometimes increasing and sometimes
decreasing. One example of [pausing with skipping]{.underline} is a pair
of IP Videophones, where heavy network traffic causes the IP Videophone
display to freeze briefly; when the IP Videophone display continues,
some content has been lost. Another example is a videoconferencing
system that performs [constant frame skipping]{.underline} or [variable
frame skipping]{.underline}. Constant frame skipping and variable frame
skipping are subsets of pausing with skipping. A processed video
sequence containing [pausing with skipping]{.underline} will be
approximately the same duration as the associated original video
sequence.
P[ausing without skipping (formerly frame freeze)]{.underline} is
defined as any event where the video pauses for some period of time and
then restarts without losing any video information. Hence, the temporal
delay through the system must increase. One example of [pausing without
skipping]{.underline} is a computer simultaneously downloading and
playing an AVI file, where heavy network traffic causes the player to
pause briefly and then continue playing. A processed video sequence
containing [pausing without skipping]{.underline} events will always be
longer in duration than the associated original video sequence.
[Refresh rate]{.underline} is defined as the rate at which the computer
monitor is updated.
[Simulated transmission errors]{.underline} are defined as errors
imposed upon the digital video bit stream in a highly controlled
environment. Examples include simulated packet loss rates and simulated
bit errors. Parameters used to control [simulated transmission
errors]{.underline} are well defined.
[Source frame rate]{.underline} (SFR) is the [intended frame
rate]{.underline} of the original source video sequences. The source
frame rate is constant. For the MM testplan the SFR may be either 25 fps
or 30 fps.
[Transmission errors]{.underline} are defined as any error imposed on
the video transmission. Example types of errors include [simulated
transmission errors]{.underline} and [live network
conditions]{.underline}.
[Variable frame skipping]{.underline} is defined as an event where the
HRC outputs frames with updated content at an [effective frame
rate]{.underline} that changes with time. The temporal delay through the
system will increase and decrease with time, varying about an average
system delay. A processed video sequence containing [variable frame
skipping]{.underline} will be approximately the same duration as the
associated original video sequence.
# List of Acronyms
ACR-HRR Absolute Category Rating with Hidden Reference Removal
ANOVA ANalysis Of VAriance
ASCII ANSI Standard Code for Information Interchange
CCIR Comite Consultatif International des Radiocommunications
CIF Common Intermediate Format (352 x 288 pixels)
CODEC COder-DECoder
CRC Communications Research Centre (Canada)
DVB-C Digital Video Broadcasting-Cable
DMOS Difference Mean Opinion Score
FR Full Reference
GOP Group Of Pictures
HRC Hypothetical Reference Circuit
ILG Independent Laboratory Group
ITU International Telecommunication Union
LSB Least Significant Bit
MM MultiMedia
MOS Mean Opinion Score
MOSp Mean Opinion Score, predicted
MPEG Moving Picture Experts Group
NR No (or Zero) Reference
NTSC National Television Standard Code (60 Hz TV)
PAL Phase Alternating Line standard (50 Hz TV)
PS Program Segment
PVS Processed Video Sequence
QAM Quadrature Amplitude Modulation
QCIF Quarter Common Intermediate Format (176 x 144 pixels)
QPSK Quadrature Phase Shift Keying
VQR Video Quality Rating (as predicted by an objective model)
RR Reduced Reference
SMPTE Society of Motion Picture and Television Engineers
SRC Source Reference Channel or Circuit
VGA Video Graphics Array (640 x 480 pixels)
VQEG Video Quality Experts Group
VTR Video Tape Recorder
# Subjective Evaluation Procedure
## The ACR Method with Hidden Reference Removal
This section describes the test method according to which the VQEG
Hybrid Perceptual Bitstream Project's subjective tests will be
performed. We will use the absolute category scale (ACR) \[Rec. P.910\]
for collecting subjective judgments of video samples. ACR is a
single-stimulus method in which a processed video segment is presented
alone, without being paired with its unprocessed ("reference") version.
The present test procedure includes a reference version of each video
segment, not as part of a pair, but as a freestanding stimulus for
rating like any other. During the data analysis the ACR scores will be
subtracted from the corresponding reference scores to obtain a DMOS.
This procedure is known as "hidden reference removal."
### General Description
The selected test methodology is the single stimulus Absolute Category
Rating method with hidden reference removal (henceforth referred to as
ACR-HRR). This choice has been selected due to the fact that ACR
provides a reliable and standardized method (ITU-R Rec. 500-11, ITU-T
P.910) that allows a large number of test conditions to be assessed in
any single test session.
In the ACR test method, each test condition is presented singly for
subjective assessment. The test presentation order is randomized
according to standard procedures (e.g. Latin or Graeco-Latin square, or
via random number generator). The test format is shown in Figure 1. At
the end of each test presentation, human judges (\"subjects\") provide a
quality rating using the ACR rating scale below. Note that the numerical
values attached to each category are only used for data analysis and are
not shown to subjects.
5 Excellent
4 Good
3 Fair
2 Poor
1 Bad
Figure 1 -- ACR basic test cell.
The length of the SRC and PVS should be 8 s.
Instructions to the subjects provide a more detailed description of the
ACR procedure. The instruction script appears in Annex I.
### Application across Different Video Formats and Displays
The proposed Hybrid Perceptual/Bitstream Validation (HBS) test will
examine the performance of objective perceptual quality models for
different video formats (HD, SD, VGA and CIF). Section 4.1.3 defines
format and display types in detail. Video applications targeted in this
test include the suite of IPTV services, internet video, mobile video,
video telephony, and streaming video.
The test instructions request subjects to maintain a specified viewing
distance from the display device. The viewing distance has been agreed
as:
- CIF: 6-8H and let the viewer choose within physical limits
- VGA: 4-6H and let the viewer choose within physical limits
- SD: 6H
- HD: 3H
H=Picture Heights (picture is defined as the size of the video window)
The test environment must be acoustically isolated and conform to
relevant international standards (e.g. ITU-T Rec. P.800. and ITU-R Rec.
BS.1116). For the CIF/VGA tests, use of headphones will be investigated
and perhaps included or mandated in the test (e.g., Stax diffused field
equalized Headphones). The specification and selection of audio cards is
to be decided. Similarly, the audio environment for the HD/SD testing
(stereo, surroundsound) has to be specified.
### Display Specification and Set-up
The subjective tests will cover two display categories: television and
PC. For both categories, LCD displays will be used. The display
requirements for each category are now provided.
#### VGA, CIF Requirements
For CIF and VGA resolution content, this Test Plan requires that
subjective tests use LCD displays that meet the following
specifications:
+----------------------------------+-----------------------------------+
| **Monitor Feature** | **Specification** |
+----------------------------------+-----------------------------------+
| Diagonal Size | 17-24 inches |
+----------------------------------+-----------------------------------+
| Dot pitch | \< 0.30 |
+----------------------------------+-----------------------------------+
| Resolution | Native resolution (no scaling |
| | allowed) |
+----------------------------------+-----------------------------------+
| Gray to Gray Response Time (if | \< 30 ms |
| specified by manufacturer, | |
| otherwise assume response time | (\<10 ms if based on white-black) |
| reported is white-black) | |
+----------------------------------+-----------------------------------+
| Color Temperature | 6500K |
+----------------------------------+-----------------------------------+
| Calibration | Yes |
+----------------------------------+-----------------------------------+
| Calibration Method | Eye One / Video Essentials DVD |
+----------------------------------+-----------------------------------+
| Bit Depth | 8 bits/colour |
+----------------------------------+-----------------------------------+
| Refresh Rate | \>= 60 Hz |
+----------------------------------+-----------------------------------+
| Standalone/laptop | Standalone |
+----------------------------------+-----------------------------------+
| Label | TCO ´03 or TCO '06 (TCO '06 |
| | preferred) |
+----------------------------------+-----------------------------------+
The LCD shall be set-up using the following procedure:
- Use the autosetting to set the default values for luminance,
contrast and colour shade of white.
- Adjust the brightness according to Rec. ITU-T P.910, but do not
adjust the contrast (it might change balance of the colour
temperature).
- Set the gamma to 2.2.
```{=html}
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- Set the colour temperature to 6500 K (default value on most LCDs).
The scan rate of the PC monitor must be at least 60 Hz.
The LCD display shall be a high-quality monitor. It is preferred that
all subjective tests use the same LCD monitor panel. This will
facilitate data analysis using data from different tests. Annex V
contains a list of preferred LCD monitors for use in the subjective
tests.
Video sequences will be displayed using a black border frame (0) on a
grey background (128). The black border frame will be of the following
size:
36 lines/pixels VGA
18 lines/pixels CIF
9 lines/pixels QCIF
The black border frame will be on all four sides.
#### HD, SD Requirements
Editor's note: requirements be added here.
### Test Method
All subjective tests will be run using the same software package. The
software package will include the following components:
- Entry system for subject details (e.g. name, age, gender)
- Test screens (prompts to users, grey panel, ACR scale, response
input, data capture, data storage)
- Timing control
- Correct video play-out check
- Video player
Annex V describes the test method to be used in the VQEG Multimedia
testing. Annex V also provides minimum computer specifications
(including required OS) required when using this subjective test
software package.
For the HD/SD testing, the video will use the full screen dimensions and
no background panel or black border will be present.
### Subjects
Different subjective experiments will be conducted by several test
laboratories. Exactly 24 valid viewers per experiment will be used for
data analysis. A valid viewer means a viewer whose ratings are accepted
after post-experiment results screening. Post-experiment results
screening is necessary to discard viewers who are suspected to have
voted randomly. The rejection criteria verify the level of consistency
of the scores of one viewer according to the mean score of all observers
over the entire experiment. The method for post-experiment results
screening is described in Annex VI. Only scores from valid viewers will
be reported in the results spreadsheets as described in Section 4.2[^1].
The following procedure is suggested to obtain ratings for 24 valid
observers:
1. Conduct the experiment with 24 viewers
2. Apply post-experiment screening to eventually discard viewers who
are suspected to have voted randomly
3. If n viewers are rejected, run n additional subjects.
4. Go back to step 2 and step 3 until valid results for 24 viewers are
obtained
It is preferred that each viewer be given a different randomized order
of video sequences where possible. Otherwise, the viewers will be
assigned to sub-groups, which will see the test sessions in different
randomized orders. A maximum of 4 viewers may be presented with the same
ordering of test sequences per subjective test.
Each viewer can only participate in 1 experiment (i.e. one experiment at
one image resolution).
Only non-expert viewers will participate. The term non-expert is used in
the sense that the viewers' work does not involve video picture quality
and they are not experienced assessors. They must not have participated
in a subjective quality test over a period of six months.
Prior to a session, the observers should usually be screened for normal
visual acuity or corrected-to-normal acuity and for normal color vision.
Acuity will be checked according to the method specified in ITU-T P.910
or ITU-R Rec. 500, which is as follows. Concerning acuity, no errors on
the 20/30 line of a standard eye chart \[I.1\] should be made. The chart
should be scaled for the test viewing distance and the acuity test
performed at the same location where the video images will be viewed
(i.e. lean the eye chart up against the monitor) and have the subjects
seated. Ishihara or Pseudo Isochromatic plates may be used for colour
screening. When using either colour test please refer to usage
guidelines when determining whether subjects have passed (e.g. standard
definition of normal colour vision in the Ishihara test is considered to
be 17 plates correct out of a 38 plate test; ITU-T Rec. P.910 states
that no more than 2 plates may be failed in a 12 plate test.
Editor's note: We need to include auditory screening of subjects.
\[I.1\] Grahm-Field Catalogue Number 13-1240.
### Viewing Conditions
For the VGA/CIF testing, each test session will involve only one subject
per display assessing the test material. Subjects will be seated
directly in line with the center of the video display at a specified
viewing distance (see Section 4.1.2). The test cabinet will conform to
ITU-T Rec. P.910 requirements.
Editor's note: need to agree on maximum number of subjects per HD/SD
test session.
### Experiment design
Each subjective experiment will include the same number of 166 PVSs[^2].
The 166 PVSs include both the common set of PVSs inserted in each
experiment and the hidden reference (hidden SRCs) sequences, i.e. each
hidden SRC is one PVS. The common set of PVSs will include the secret
PVSs and secret source.
The randomization will be applied across the 166 PVSs. The 166 PVSs can
then be split into 2 sessions of 83 PVSs each. In this scenario, an
experiment will include the following steps:
1. Introduction and instructions to viewer
2. Practice clips: these test clips allow the viewer to familiarize
with the assessment procedure and software. They must represent the
range of distortions in the experiment but with different contents
than those used in the experiment. A number of 6 practice clips is
suggested. Ratings given to practice clips are not used for data
analysis.
3. Assessment of 83 PVSs
4. Short break
5. Practice clips (this step is optional but advised to regain viewer's
concentration after the break)
6. Assessment of 83 PVSs
Editor's note: We need to decide whether or not to apply a full matrix
approach for each experiment.
The SRCS used in each experiment must cover a variety of content
categories as defined in Section 6.2. At least 6 categories of content
must be included in each experiment.
A similar number of PVSs from each type of error will be tested per
image resolution. The image resolutions are defined in Section 4.1.2.
The different types of error conditions are defined in Section 6.1.3.
However different types of error conditions can be mixed between
experiments to ensure a balance in the design of each individual
experiment.
### Randomization
For each subjective test, a randomization process will be used to
generate orders of presentation (playlists) of video sequences.
Playlists can be pre-generated offline (e.g. using separate piece of
code or software) or generated by the subjective test software itself.
As stated in section 4.1.4, it is preferred that each subject be given a
different randomized order of video sequences where possible. Otherwise,
the viewers will be assigned to sub-groups, which will see the test
sessions in different randomized orders. A maximum of 4 subjects may be
presented with the same ordering of test sequences per subjective test.
In generating random presentation order playlists the same scene content
may not be presented in two successive trials.
Randomization refers to a random permutation of the set of PVSs used in
that test. Shifting is not permitted, e.g.
Subject1 = \[PVS4 PVS2 PVS1 PVS3\]
Subject2 = \[PVS2 PVS1 PVS3 PVS4\]
Subject3 = \[PVS1 PVS3 PVS4 PVS2\]
...
If a random number generator is used (as stated in section 4.1.1), it is
necessary to use a different starting seed for different tests.
Example script in Matlab that performs playlists (i.e. randomized orders
of presentation) is given below:
rand(\'state\',sum(100\*clock)); % generates a random starting seed
Npvs=200; % number of PVSs in the test
Nsubj=24; % number of subjects in the test
playlists=zeros(Npvs,Nsubj);
for i=1:Nsubj
playlists(:,i)=randperm(Npvs);
end
### Test Data Collection
The responsibity for the collection and organization of the data files
containing the votes will be shared by the ILG Co-Chairs and the
proponents. The collection of data will be supervised by the ILG and
distributed to test participants for verification.
## Data Format
### Results Data Format
The following format is designed to facilitate data analysis of the
subjective data results file.
The subjective data will be stored in a Microsoft Excel spreadsheet
containing the following columns in the following order: lab, test,
type, subject #, month, day, year, session, resolution, rate, age,
gender, order, scene, HRC, ACR Score. Missing data values will be
indicated by the value -9999 to facilitate global search and replacement
of missing values. Each Excel spreadsheet cell will contain either a
number or a name. All names (e.g., test, lab, scene, hrc) must be ASCI
strings containing no white space (e.g., space, tab) and no capital
letters. Where exact text strings are to be used, the text strings will
be identified below in single quotes (e.g., 'original'). Only data from
valid viewers (i.e., viewers who pass the visual acuity and color tests)
will be forwarded to the ILG and other proponents.
Below are definitions for the Excel spreadsheet columns:
[Lab:]{.underline} Name of laboratory's organization (e.g., CRC, Intel,
NTIA, NTT, etc.). This abbreviation must be a single word with no white
space (e.g., space, tab).
[Test:]{.underline} Name of the test. Each test must have a unique name.
[Type:]{.underline} Name of the test category. \[Note: exact text
strings will be specified after individual test categories have been
finalized.\]
[Distance:]{.underline} Viewing distance (e.g. 6to10H, 6to8H, 4to6H,
3to6H).
[Subject #:]{.underline} Integer indicating the subject number. Each
laboratory will start numbering viewers at a different point, to ensure
that all viewers receive unique numbering. Starting points will be
separated by 1000 (e.g., lab1 starts numbering at 1000, lab2 starts
numbering at 2000, etc). Subjects' names will *not* be collected or
recorded.
[Month:]{.underline} Integer indicating month \[1..12\]
[Day:]{.underline} Integer indicating day \[1..31\]
[Year:]{.underline} Integer indicating year \[2004..2006\]
[Session:]{.underline} Integer indicating viewing session
Editor's note: do we need a new column to indicate number of viewers in
a test session \[1..3\]?
[Resolution:]{.underline} One of the following three strings: 'hd',
'sd', 'vga' or 'cif'.
[Rate:]{.underline} A number indicating the frames per second (fps) of
the original video sequence.
[Age:]{.underline} Integer number that indicates the subject's age.
[Gender:]{.underline} 'f' for female, 'm' for male
[Order:]{.underline} An integer indicating the order in which the
subject viewed the video sequences \[or trial number, if scenes are
ordered randomly\].
[Scene:]{.underline} Name of the scene. All scenes from all tests must
have unique names. If a single scene is used in multiple tests (i.e.,
digitally identical files), then the same scene name must be used. Names
shall be eight characters or fewer.
[HRC:]{.underline} Name of the HRC. For reference video sequences, the
exact text 'reference' must be used. All processed HRCs from all tests
must have unique names. If a single HRC is used in multiple tests, then
the same HRC name must be used. HRC names shall be eight characters or
fewer.
[ACR Score:]{.underline} Integer indicating the subject's ACR score (1,
2, 3, 4, or 5).
See Annex II for an example.
### Subjective Data Analysis
Difference scores will be calculated for each processed video sequence
(PVS). A PVS is defined as a SRCxHRC combination. The difference scores,
known as Difference Mean Opinion Scores (DMOS) will be produced for each
PVS by subtracting the score from that of the hidden reference score for
the SRC used to produce the PVS. Subtraction will be done per subject.
Difference scores will be used to assess the performance of each full
reference and reduced reference proponent model, applying the metrics
defined in Section 8.
For evaluation of no-reference proponent models, the absolute (raw)
subjective score will be used. Thus, for each test sequence, only the
absolute rating for the SRC and PVS will be calculated. Based on each
subject's absolute rating for the test presentations, an absolute mean
opinion score will be produced for each test condition. These MOS will
then be used to evaluate the performance of NR proponent models using
the metrics specified in Section 8.
# Test Laboratories and Schedule
Given the scope of the HBS testing, both independent test laboratories
and proponent laboratories will be given subjective test
responsibilities. Before conducting subjective tests, all laboratories
will inform VQEG (via the HBS Reflector \[hybrid@its.bldrdoc.gov\]) of
the test environment and equipment they plan to use.
## Independent Laboratory Group (ILG)
The independent laboratory group is composed of IRCCyN (France), FUB
(Italy), FT (France), CRC (Canada), INTEL (USA), Acreo (Sweden), and
Verizon (USA).
Editor's note: to be confirmed.
## Proponent Laboratories
A number of proponents also have significant expertise in and facilities
for subjective quality testing. Proponents indicating a willingness to
participate as test laboratories are BT, Genista, NTIA, NTT, Opticom,
SwissQual, Psytechnics, TDF, Toyama University, KDDI, and Yonsei. It is
clearly important to ensure all test data is derived in accordance with
this testplan. Critically, proponent testing must be free from charges
of advantage to one of their models or disadvantage to competing models.
The maximum number of subjective experiments run by any one proponent
laboratory is 3 times the lowest non-zero number run by any other
proponent laboratory, per image size.
The maximum number of non-secret PVSs included in overall test by any
single proponent laboratory is 20%.
For each proponent subjective test, no more than 50% of test sequences
may be derived from a single proponent. This does not apply to PVSs
created by the ILG or to common sequences.
See Annex IV for details on fees and conditions for proponents
participating in the VQEG Multimedia tests.
## Test Schedule
1. Approval of test plan \[input date here\]
2. Declaration of intent to participate and the number of models to
submit \[6 weeks prior to model submission date\]
3. VQEG compiles a list of HRCs that are of interest to the HBS test.
Proponents will send details of proposed HRCs and indicate which
ones they can create to the points of contacts and example PVSs
(Editor's note: HRC point of contacts to be assigned). \[TBD\]
4. Input due from all ILG and Proponents regarding general NDA
(Confidentiality agreement) \[input date here\]
5. All General NDAs signed. \[input date here\].
6. Each test lab will produce a test design for each subjective test
they plan to perform. This test design should be sent to HBS
Reflector for initial review to ensure no duplication. A full and
final review of test plans will be performed by the ILG and
proponent labs. \[30 November 2006\]
7. Proponents informed by ILG to whom fee payment is made. \[input date
here\]
8. Content license agreements distributed to proponents and ILG.
\[input date here\]
9. Each proponent must have signed (and content provider received) all
NDAs by \[input date here\]. No guarantees of a three month review
of the video source will be possible if NDAs are not received by
content providers by \[input date here\].
10. The proposed lists of HRCs for each experiment are examined by VQEG
for problems (e.g., one organization creating too many HRCs, overlap
between experiments). \[input date here\]
11. ILG send invoice to proponent. \[input date here\]
12. All new source video sent to content point of contact (Editor's
note: POC to be assigned) \[input date here\]
13. Source video sent by POC to ILG. \[input date here\]
14. ILG/VQEG will select source video pool files and distribute source
pool to regional points of contact (Asia: tba, Europe: tba, North
America: tba) \[input date here\]
15. Participating organizations obtain copies of source pool, except for
the secret SRC. The requesting organization has to pay any costs
involved. \[input date here\]
16. Receiving organization must send acknowledgement to HSB reflector
that they have received the source pool files. When all proponents
have acknowledged to the HSB reflector that they have received all
source pool, there will be a 3 month period until the submission of
models. Secret content may still be collected by ILG. Proponents are
not allowed to provide secret content. \[input date here\]
17. Fee payment is made directly from each proponent to the selected
testing facility, according to a table agreed on by ILG and
distributed to the proponents \[input date here\]
18. By \[input date here\], a list of the ILG labs available for model
submission and for model checking will be made available on the HBS
reflector (hybrid@its.bldrdoc.gov) and HBS proponents. \[input date
here\]
19. Proponents submit their models (executable and, only if desired,
encrypted source code). Models should be submitted to \[Editor's
note: single point of delivery to be named here\]. Procedures for
making changes after submission will be outlined in a separate
document (see Annex VII on storing encrypted version of submitted
source code).
> All proponents must submit the first version all models by \[input
> date here\]. The ILG will validate that each submitted model runs on
> their computer, by running the model on the test vectors produced by
> \[Editor's note: task to be assigned\], and showing that the model
> outputs the MOS score expected by the proponent. If necessary, a
> different ILG may be asked to validate the proponent's model (e.g., if
> another ILG has a computer that may have an easier time running the
> model.) Each ILG will try to validate the first submitted version of a
> model within one week of model submission. \[input date here\]
>
> All proponents have the option of submitting updated models, between
> \[input date here\] and \[input date here\]. Such model updates may be
> either:
>
> \(1\) Intended to make the model run on the ILG's computer.
>
> \(2\) Model improvements, intended to replace the previous model
> submitted. Such improved models will be checked as time permits.
>
> If the replacement model runs on the ILG computer, it will replace the
> previous submission. If the replacement model is not able to run on
> the ILG computer within one week, the previous submission will be
> used. ILG checks on models may exceed the model submission deadline.
> ILG request that proponents try to limit this to one replacement
> model, so that the ILG are not asked to validate an excessive number
> of models.
>
> Model Submission Deadline for all proponents and all models is \[input
> date here\]. Models received after \[input date here\] will not be
> evaluated in the MM test, no matter what the reason for the late
> submission.
20. NDAs for secret SRCs distributed and signed by proponents \[input
date here\].
21. Deinterlacing and resizing applied to all 12 second source sequences
that require these processes to be performed. \[input date here\]
Editor's note: De-interlacing and re-sizing still applicable to VGA/CIF.
Need to consider requirements for SD/HD content.
22. ILG selects and distributes all SRC used for each experiment, secret
SRC and backup SRCs. At this time, the common set of PVSs to be
included in [every]{.underline} experiment will also be distributed.
The common set will be produced in line with that was applied to the
MM test ( 6 SRC and flexiblity on HRCs in order to create
representative range of qualities associated with common set PVSs;
common set to include 6 source sequences together with 24 processed
versions of the common set sources, which amounts to 30 of 166 video
sequences presented in each subjective test). \[input date here\]
23. Proponents and ILG inform VQEG of any problem source content.
Problem content must be made available on ftp site and reviewed by
proponents / ILG. Majority decision needed to reject suspect source.
Where possible, problem content is reprocessed by VQEG HBS content
processing committee and reviewed again by group before any source
is discarded. \[input date here\]
24. Organizations will generate the PVSs and check calibration using the
scenes that were sent to them and send all the PVSs to a common
point of contact. \[input date here \]
25. All PVSs are sent by each test laboratory to a regional point of
contact. Point of contact then distributes PVSs to all the
proponents \[input date here\]
> Editor's note: need to agree procedure.
26. Proponents check the calibration and registration of the PVSs in
their experiment. \[input date here\]
> Editor's note: only needed if calibration limits are required.
27. If a proponent testlab believes that their experiment is unbalanced
in terms of qualities or have calibration problems, they may ask the
ILG and the proponent group to review the selection of test
material. If 2/3^rd^ majority agrees then selection of PVSs will be
amended by the ILG. An even distribution of qualities from excellent
to bad is desirable. \[input date here\]
28. Proponents check calibration of all PVSs and identify potential
problems. They may ask the ILG to review the selection of test
material and replace if necessary. If a proponent or ILG does not
review the test content, then they lose the right to object to the
content composition of that test. \[input date here\]
29. Proponents run their models on all PVSs and generate predicted MOS
values. \[input date here\]
30. ILG performs validity checks on a subset of test sequences. Purpose
of validity check is to ensure that the version of the model
originally submitted by the proponent is used to generate the
predicted MOS values. \[input date here\]
31. Each organization runs their test and submits results to the ILG.
Any source content used in a subjective test with a MOS of \<4 will
be evaluated by the ILG to determine whether the source and its
associated processed files are valid. Any invalid test content will
be removed before data analysis is performed and before proponents
submit their objective data to the ILG. Subjective testing completed
by \[input date here\].
32. Verification of submitted models completed. \[input date here\]
33. ILG distribute subjective and objective data to the proponents and
other ILG \[input date here\]
34. Optional submission of mapping coefficients by proponents due to
ILG. \[input date here\]
35. Statistical analysis \[input date here\]
36. Draft final report \[input date here\]
37. Approval of final report \[input date here\]
Advice to Proponents on Pre-Model Submission Checking
Prior to the official model submission date, the ILG will verify that
the submitted models (1) run on the ILG's computers and (2) yield the
correct output values when run on the test video sequences. Due to their
limited resources, the ILG may encounter difficulties verifying
executables submitted too close to the model submission deadline.
Therefore, proponents are strongly encouraged to submit a prototype
model to the ILG well before the verification deadline, to work out
platform compatibility problems well ahead of the final verification
date. Proponents are also strongly encouraged to submit their final
model executable 14 days prior to the verification deadline date, giving
the ILG two weeks to resolve problems arising from the verification
procedure.
The ILG requests that proponents kindly estimate the run-speed of their
executables on a test video sequence and to provide this information to
the ILG.
# Sequence Processing and Data Formats
Separate subjective tests will be performed for different video sizes
(HD, SD, VGA and CIF).
One set of tests will present video in CIF (352x288 pixels). One set of
tests will present VGA (640x480). In the case of Rec. 601 video source,
aspect ratio correction will be performed on the video sequences prior
to writing the AVI files (SRC) or processing the PVS.
Note that in all subjective tests 1 pixel of video will be displayed as
1 pixel native display. No upsampling or downsampling of the video is
allowed at the player.
Presently, VQEG has access to a set of video test sequences. For
audio-video tests this database needs to be extended to include new
source material containing both audio and video.
Editor's note: need to add in guidance to cover HD and SD.
## Sequence Processing Overview
The test material will be selected from a common pool of video
sequences. If the test sequences are in interlace format then a
standard, agreed de-interlacing method will be applied to transform the
video to progressive format. All source material should be 25 or 30
frames per second progressive and there should not be more than one
version of each source sequence for each resolution. The de-interlacing
algorithm will de-interlace Rec. 601 (or other, e.g., HDTV) formatted
video into a progressive format, e.g., VGA, CIF, or QCIF. Algorithms
will be proposed on the VQEG reflector and approved before processing
takes place. Uncompressed AVI files will be used for subjective and
objective tests. Tools are being sought to convert from the various
coding schemes to uncompressed AVI (see Annex VIII for a description of
the tools used for conversion). The progressive test sequences used in
the subjective tests should also be used by the models to produce
objective scores.
It is important to minimize the processing of video source sequences.
Hence, we will endeavor to find methods that minimize this processing
(e.g., to perform de-interlacing and resizing in one step).
### Duration of Source Sequences
Source content may be obtained from content stored on tape or on hard
drive, provided it meets the quality requirements outlined in Section
6.1.2. Source content must be at least 8 seconds and 20 frames long (220
frames for 625-line source; 260 frames for 525-line source).
All source sequences will be 12 seconds duration (300 frames for
625-line source; 360 frames for 525-line source) for processing through
each HRC. Original SRCs will be of 12s duration. Each original 12s SRC
will be processed by the relevant HRC. The 12s output obtained by
processing the original SRC will then be reduced to produce an 8s PVS.
For the original SRC, this will be achieved by removing the first 2s and
final 2s. For PVS, this will be achieved by removing the first (2 + N)
seconds and final (2 -- N) seconds, where N is the temporal registration
shift needed for the temporal registration limits in section 7.4. Only
the middle 8s sequence will be stored for use in subjective testing and
for processing by objective models.
Wherever possible, the original source sequence should be 12 seconds.
Where the original source sequence is shorter than 12 seconds, but at
least 8 seconds and 20 frames, then it will be edited as follows to
create a 12 second version. Pad out the beginning and end of the
sequence with additional video content. E.g. concatenate three versions
of the source video together, reduce to 12s ensuring that the middle 8s
is the correct content for use in the subjective test. The shorter
source (e.g., 8s + 20frames) must be centered in the 12s SRC.
Furthermore, any 8s PVS created from such a SRC cannot contain the pad
(e.g., cascaded content from beginning or end.)
### Camera and Source Test Material Requirements
The standard definition source test material should be in Rec. 601,
DigiBeta, Betacam SP, or DV25 (3-chip camera) format or better. Note
that this requirement does not apply to Categories 4 and 8 (Section 6.2)
where the best available quality reference will be used. HD source test
material should be taken from a professional grade HD camera (e.g., Sony
HDR-FX1) or better. Original HD video sequences that have been
compressed should show no impairments after being re-sampled to VGA,
CIF, and QCIF.
VQEG MM expresses a preference for all test material to be open source.
At a minimum, source material must be available for use within VQEG MM
proponents and ILG for testing (e.g., under non-disclosure agreement if
necessary).
### Software Tools
Transformation of the source test sequences (e.g., from Rec. 601
525-line to CIF) shall be performed using Avisynth 2.5.5, VirtualDub
1.6.11, and ffdshow 20050303. Within VirtualDub, video sequences will be
saved to AVI files using Video Compression option (Video-\>Compressor)
\"ffdshow Video Codec\", configured with the \"Uncompressed\" decoder
and the UYVY color space. For the Colour Depth (Video-\>Color Depth),
the setting "4:2:2 YcbCr (UYVY)" is used as output format. The
processing mode (Video-\>) is set to "Full processing mode".
### Colour Space Conversion
In the absence of known color transformation matrices (e.g., such as
what might be used by a video display adapter), the following algorithms
will be used to transform between ITU-R Recommendation BT.601
Y\'C~B~\'C~R~\' video and R\'G\'B\' video that is in the range
\[0, 255\]. The reference for these color transformation equations is
pages 15-16 of ColorFAQ.pdf, which can be downloaded from:
<http://www.poynton.com/PDFs/ColorFAQ.pdf>
**Transforming R\'G\'B\' to Y\'C~B~\'C~R~\'**
1\. Compute the matrix transformation:
$$\begin{bmatrix}
Y' \\
C_{B}' \\
C_{R}'
\end{bmatrix} = \begin{bmatrix}
\text{16} \\
\text{128} \\
\text{128}
\end{bmatrix} + \frac{1}{\text{256}}\begin{bmatrix}
\text{65}\text{.}\text{738} & \text{129}\text{.}\text{057} & \text{25}\text{.}\text{064} \\
- \text{37}\text{.}\text{945} & - \text{74}\text{.}\text{494} & \text{112}\text{.}\text{439} \\
\text{112}\text{.}\text{439} & - \text{94}\text{.}\text{154} & - \text{18}\text{.}\text{285}
\end{bmatrix} \cdot \begin{bmatrix}
R' \\
G' \\
B'
\end{bmatrix}$$
2\. Round to the nearest integer.
3\. Clamp all three components to the range 1 through 254 inclusive (0
and 255 are reserved for synchronization signals in ITU-R Recommendation
BT.601).
**Transforming Y\'C~B~\'C~R~\' to R\'G\'B\'**
1\. Compute the matrix transformation:
$$\begin{bmatrix}
R' \\
G' \\
B'
\end{bmatrix} = \frac{1}{\text{256}}\begin{bmatrix}
\text{298}\text{.}\text{082} & 0 & \text{408}\text{.}\text{583} \\
\text{298}\text{.}\text{082} & - \text{100}\text{.}\text{291} & - \text{208}\text{.}\text{120} \\
\text{298}\text{.}\text{082} & \text{516}\text{.}\text{411} & 0
\end{bmatrix} \cdot \left( \begin{bmatrix}
Y' \\
C_{B}' \\
C_{R}'
\end{bmatrix} - \begin{bmatrix}
\text{16} \\
\text{128} \\
\text{128}
\end{bmatrix} \right)$$
2\. Round to the nearest integer.
3\. Clamp all three components to the range 0 through 255 inclusive.
### De-Interlacing
De-interlacing will be performed when original material is interlaced,
using the de-interlacing function "KernelDeint" in Avisynth. If the
deinterlacing using KernelDeint results in source sequence that has
serious artifacts, the Blendfield or Autodeint may be used as
alternative methods for deinterlacing. Proprietary algorithms and/or
hardware deinterlacing may be used if the above three methods prove
unsatisfactory.
To check for de-interlacing problems (e.g. serious artifacts introduced
by the de-interlacing process), the ILG will examine source content
played back at normal speed, with the option to inspect possible
problems at reduced speed.
### Cropping & Rescaling
Table 2 lists recommend values for region of interests to be used for
transforming images. These source regions should be centered vertically
and horizontally. These source regions are intended to be applied
*prior* to rescaling and avoid use of over scan video in most cases.
These regions are known to correctly produce square pixels in the target
video sequence. Other regions may be used, provided that the target
video sequence contains the correct aspect ratio.
The source region selection must not include overscan---i.e. black
borders from the overscan are not allowed.
TABLE 2. Recommended Source Regions for Video Transformation
-------------------------- --------------------------- -----------------
**From** **To** **Source Region**
525-line: 720x486 Rec. 601 VGA: 640x480 square pixel 704x480
525-line: 720x486 Rec. 601 CIF: 352x288 square pixel 646x480
525-line: 720x486 Rec. 601 QCIF: 176x144 square pixel 646x480
625-line: 720x576 Rec. 601 VGA: 640x480 square pixel 702x576
625-line: 720x576 Rec. 601 CIF: 352x288 square pixel 644x576
625-line: 720x576 Rec. 601 QCIF: 176x144 square pixel 644x576
1080i: 1920x1080 VGA: 640x480 square pixel 1440x1080
1080i: 1920x1080 CIF: 352x288 square pixel 1320x1080
1080i: 1920x1080 QCIF: 176x144 square pixel 1320x1080
720p: 1280x720 VGA: 640x480 square pixel 960x720
720p: 1280x720 CIF: 352x288 square pixel 880x720
720p: 1280x720 QCIF: 176x144 square pixel 880x720
-------------------------- --------------------------- -----------------
### Rescaling
Video sequences will be resized using Avisynth's 'LanczosResize'
function.
### File Format
All source and processed video sequences will be stored in Uncompressed
AVI in UyVy..
Source material with a source frame rate of 29.97 fps will be manually
assigned a source frame rate of 30 fps prior to being inserted into the
common pool of video sequences.
AVI is essentially a container format that consists of hierarchical
chunks -- which have their equivalent in C data structures -- which are
all preceded by a so called fourcc, a "four character code", which
indicates the type of chunk following. Some of the chunks are compulsory
and describe the structure of the file, while some are optional and
others contain the real video or audio data. The AVI container format
which is used for the exchange of files in VQEG MM is originally defined
by Microsoft as part of the RIFF file specification in:
"<http://msdn.microsoft.com/library/default.asp?url=/library/en-us/wcedshow/html/_dxce_dshow_avi_riff_file_reference.asp>"
Other descriptions can be found in:
<http://www.opennet.ru/docs/formats/avi.txt>
<http://www.the-labs.com/Video/odmlff2-avidef.pdf>
These last two can be found on the mmpretest ftp server. All these links
describe the AVI format in details as far as the container itself is
concerned. Since the multitude of chunks is quite confusing, an example
C code that reads and writes AVI files down to this level is also
included in the archive on the mmpretest reflector (files avilib.c and
avilib.h). Please note, that the provided C code falls under the GNU
Public License. Please refer to the license statements in the files
themselves. The provided C code is very simple to use and should serve
all needs of VQEG. Please note that the C code allows opening the data
chunk with the UVVY data, but it does not decode this data. In fact,
avilib does not know how to interpret these data. All it returns is a
pointer to the data and some additional information like image sizes and
frame rate. Interpretation of these data is up to the user and described
in the following paragraphs.
A description of the UYVY chunk format which is to be used inside the
AVI container can be found in
<http://www.fourcc.org/index.php?http%3A//www.fourcc.org/fccyvrgb.php>
and below.
UYVY is a YUV 4:2:2 format. The effective bits per pixel are 16. In the
AVI main header (after the fourcc "avih"), a positive height parameter
implies a top-down image (top line first).Two image pixels form one
macro pixel and are stored in one 32bit word with the following byte
ordering:
(lowest byte) U~0~ Y~0~ V~0~ Y~1~ (highest byte)
### Source Test Video Sequence Documentation
Preferably, each source video sequence should be documented. The exact
process used to create each source video sequence should be documented,
listing the following information:
- Camera specifications
- Source region of interest (if the default values were not used)
- Use restrictions (e.g., "open source")
- Deinterlacing method
This documentation is desirable but not required.
## Test Materials
The test material will be representative of a range of content and
applications. The list below identifies the type of test material that
forms the basis for selection of sequences.
1\) video conferencing: (available for research purposes only, NTIA (Rec
601 60Hz); BT (Rec 601 50Hz), Yonsei (CIF and QCIF), FT (Rec 601 50Hz,
D1)), NTT (Rec 601 60Hz, D1)
Currently available: NTIA, NTT, FT
2\) movies, movie trailers:(VQEG Phase II), Opticom, IRCCyN, (trailer
equivalent, restricted within VQEG)
Currently available: Psytechnics, SVT, Opticom,
3\) sports: (available, 15-20 mins from Yonsei, Comcast), KDDI (7 min D1
and D2, other scenes also available), NTIA (Comcast), IRCCyN
Currently available: Yonsei, SVT, Psytechnics, Opticom
4\) music video: (Intel) ), IRCCyN
Currently available: NTIA,
5\) advertisement:
> Currently available: Psytechnics, Opticom
6\) animation: (graphics Phase I, cartoon Phase II; Opticom will send
material to Yonsei), IRCCyN
Currently available: Opticom, NTIA
7\) broadcasting news: (head and shoulders and outside broadcasting).
(available -- Yonsei;, possible Comcast), IRCCyN
Currently available: KBS, Opticom
8) home video: (FUB possibly, BT possibly, INTEL, NTIA). Must be
captured with DV camera or better.
> Currently available: NTIA, SwissQual, Yonsei
There will be no completely still video scenes in the test.
All test material should be sent to the content point of contact
(Chulhee Lee, Yonsei) first and then it will be put on the ftp server by
NTIA. Ideally the material should be converted before being sent to
Chulhee Lee.
The source video will only be used in the testing if an expert in the
field considers the quality to be good or excellent on an ACR-scale.
### Selection of Test Material (SRC)
The ILG is responsible for selecting SRC material to be used in each
subjective quality test. The VQEG MM group will be responsible for
deciding upon precise HRCs to be used in the testing. Section 5.3
provides basic guidelines on the process for selecting SRCs and HRCs
together with a procedure for the distribution of test content.
## Hypothetical Reference Circuits (HRC)
The subjective tests will be performed to investigate a range of HRC
error conditions. These error conditions may include, but will not be
limited to, the following:
- Compression errors (such as those introduced by varying bit-rate,
codec type, frame rate and so on)
- Transmission errors
- Post-processing effects
- Live network conditions
- Interlacing problems
The overall selection of the HRCs will be done such that most, but not
necessarily all, of the following conditions are represented.
### Video Bit-rates
- PDA/Mobile (QCIF): 16 kbit/s to 320 kbs (e.g., 16, 32, 64, 128, 192,
320)
- PC1 (CIF): 64 kbit/s to 704 kbit/s (e.g. 64, 128, 192, 320, 448,
704)
- PC2 (VGA): 128kbit/s to 4Mbit/s (e.g. 128, 256, 320, 448, 704, \~1M,
\~1.5M, \~2M, 3M,\~4M)
### Simulated Transmission Errors
A set of test conditions (HRC) will include error profiles and levels
representative of video transmission over different types of transport
bearers:
- Packet-switched transport (e.g., 2G or 3G mobile video streaming,
PC-based wireline video streaming)
- Circuit-switched transport (e.g., mobile video-telephony)
It is important that when creating HRCs using a simulator, documentation
is produced detailing simulator settings (for circuit switched HRCs the
error pattern for each PVS should also be produced).
Annex III provides guidelines on the procedures for creating and
documenting transmission error conditions.
**Packet-switched transmission**
HRCs will include packet loss with a range of packet loss ratios (PLR)
representative of typical real-life scenarios.
In **mobile video streaming**, we consider the following scenarios:
1. Arrival of packets is delayed due to re-transmission over the air.
Re-transmission is requested either because packets are corrupted
when being transmitted over the air, or because of network
congestion on the fixed IP part. Video will play until the buffer
empties if no new (error-checked/corrected) packet is received. If
the video buffer empties, the video will pause until a sufficient
number of packets is buffered again. This means that in the case of
heavy network congestion or bad radio conditions, video will pause
without skipping during re-buffering, and no video frames will be
lost. This case is not implemented in the current test plan as
stated in Section 6.3.4.
2. Arrival of packets is delayed, and the delay is too large: These
packets are discarded by the video client.
> Note: A radio link normally has *in-order delivery*, which means that
> if one packet is delayed the following packets will also be delayed.
>
> Note: If the packet delay is too long, the radio network might drop
> the packet.
3. Very bad radio conditions: Massive packet loss occurs.
4. Handovers: Packet loss can be caused by handovers. Packets are lost
in bursts and cause image artifacts.
> Note: This is valid only for certain radio networks and radio links,
> like GSM or HSDPA in WCDMA. A dedicated radio channel in WCDMA uses
> soft handover, which not will cause any packet loss.
Typical radio network error conditions are:
- Packet delays between 100 ms and 5 seconds.
In **PC-based wireline video streaming**, network congestion causes
packet loss during IP transmission.
In order to cover different scenarios, we consider the following models
of packet loss:
- Bursty packet loss. The packet loss pattern can be generated by a
link simulator or by a bit or block error model, such as the
Gilbert-Elliott model.
- Random packet loss
- Periodic packet loss.
Note: The bursty loss model is probably the most common scenario in a
'normal' network operation. However, periodic or random packet loss can
be caused by a faulty piece of equipment in the network. Bursty, random,
and periodic packet loss models are available in commercially-available
packet network emulators.
Choice of a specific PLR is not sufficient to characterize packet loss
effects, as perceived quality will also be dependent on codecs, content,
packet loss distribution (profiles) and which types of video frames were
hit by the loss of packets. For our tests, we will select different
levels of loss ratio with different distribution profiles in order to
produce test material that spreads over a wide range of video quality.
To confirm that test files do cover a wide range of quality, the
generated test files (i.e., decoded video after simulation of
transmission error) will be:
1. Viewed by video experts to ensure that the visual degradations
resulting from the simulated transmission error spread over a range
of video quality over different content;
2. Checked to ensure that degradations remain within the limits stated
by the test plan (e.g., in the case where packet loss causes loss of
complete frames, we will check that temporal misalignment remains
with the limits stated by the test plan).
**Circuit-switched transmission**
HRCs will include bit errors and/or block errors with a range of bit
error rates (BER) or/and block[^3] error rates (BLER) representative of
typical real-world scenarios. In circuit-switched transmission, e.g.,
video-telephony, no re-transmission is used. Bit or block errors occur
in bursts.
In order to cover different scenarios, the following error levels can be
considered:
Air interface block error rates: Normal uplink and downlink: 0.3%,
normally not lower. High value uplink: 0.5%, high downlink: 1.0%. To
make sure the proponents' algorithms will handle really bad conditions
up to 2%-3% block errors on the downlink can be used.
Bit stream errors: Block errors over the air will cause bits to not be
received correctly over the air. A video telephony (H.223) bit stream
will experience CRC errors and chunks of the bit stream will be lost.
Tools are currently being sought to simulate the types of error
transmission described in this section.
Proponents are asked to provide examples of level of error conditions
and profiles that are relevant to the industry. These examples will be
viewed and/or examined after electronic distribution (only open source
video is allowed for this).
### {#section .unnumbered}
### Live Network Conditions
Simulated errors are an excellent means to test the behavior of a system
under well defined conditions and to observe the effects of isolated
distortions. In real live networks however usually a multitude of
effects happen simultaneously when signals are transmitted, especially
when radio interfaces are involved. Some effects like e.g. handovers,
can only be observed in live networks.
The term \"live network\" specifies conditions which make use of a real
network for the signal transmission. This network is not exclusively
used by the test setup. It does not mean that the recorded data
themselves are taken from live traffic in the sense of passive network
monitoring. The recordings may be generated by traditional intrusive
test tools, but the network itself must not be simulated.
Live network conditions of interest include radio transmission (e.g.,
mobile applications) and fixed IP transmission (e.g., PC-based video
streaming, PC to PC video-conferencing, best-effort IP-network with
ADSL-access). Live network testing conditions are of particular value
for conditions that cannot confidently be generated by network simulated
transmission errors (see section 6.3.4). Live network conditions should
exhibit distortions representative of real-world situations that remain
within the limits stated elsewhere in this test plan.
Normally most live network samples are of very good or best quality. To
get a good proportion of sample quality levels, an even distribution of
samples from high to low quality should be saved after a live network
session.
Note: Keep in mind the characteristics of the radio network used in the
test. Some networks will be able to keep a very good radio link quality
until it suddenly drops. Other will make the quality to slowly degrade.
Samples with perfect quality do not need to be taken from live network
conditions. They can instead be recorded from simulation tests.
Live network conditions as opposed to simulated errors are typically
very uncontrolled by their nature. The distortion types that may appear
are generally very unpredictable. However, they represent the most
realistic conditions as observed by users of e.g. 3G networks.
Recording PVSs under live network conditions is generally a challenging
task since a real hardware test setup is required. Ideally, the capture
method should not introduce any further degradation. The only
requirement on capture method is that the captured sequences conform to
the file requirements in section 6.1.8 and 7.2.
For applications including radio transmissions, one possibility is to
use a laptop with e.g. a built-in 3G network card and to download
streams from a server through a radio network. Another possibility is
the use of drive test tools and to simulate a video phone call while the
car is driving. In order to simulate very bad radio coverage, the
antenna may be wrapped with some aluminum foil (Editors note: This
strictly a simulation again, but for the sake of simplicity it can be
accepted since the simulated bad coverage is overlayed with the effects
from the live network).
In order to prepare the PVSs the same rules apply as for simulated
network conditions. The only difference is the network used for the
transmission.
### Pausing with Skipping and Pausing without Skipping
Pausing without skipping events will not be included in the current
testing.
Pausing with skipping events will be included in the current testing.
Anomalous frame repetition is not allowed during the first 1s or the
final 1s of a video sequence. Note that where pausing with skipping and
anomalous frame repetition is included in a test then source material
containing still sections should form part of the testing.
If it is difficult or impossible to determine whether a video sequence
contains pausing without skipping or pausing with skipping, the video
sequence will be given the benefit of doubt and considered to contain
pausing with skipping. The same applies to anomalous frame repetition in
the first 1s or final 1s of video sequence.
Other types of anomalous behavior are allowed provided they meet the
following restrictions. The delay through the system before, after, and
between anomalous behavior segments must vary around an average delay
and must meet the temporal registration limits in section 7.4. The first
1s and final 1s of each video sequence cannot contain any anomalous
behavior. At most 25% of any individual PVS\'s duration may exceed the
temporal registration limits in section 7.4. These 25% must have a
maximum temporal registration error of +3 seconds (added delay).
(See section 2 for definitions of "pausing with skipping", "pausing
without skipping" and "anomalous frame repetition".)
The following is another example of a PVS containing pausing with
skipping events, provided that the constraints in this section (6.3.4)
and the temporal registration limits in section 7.4 are respected: a PVS
with no frame repeats that changes between several different constant
delays when anomalous events occurs, for example the delay is 0s at the
start, then +0.1 sec for awhile, then -0.25s for awhile, then +0.25s for
awhile, etc. Different constant delays occur in typical error-prone
network scenarios because it cannot be assured that a pause of X frames
is followed by a skip of exactly X frames.
### Frame Rates
For those codecs that only offer automatically set frame rate, this rate
will be decided by the codec. Some codecs will have options to set the
frame rate either automatically or manually. For those codecs that have
options for manually setting the frame rate (and we choose to set it for
the particular case), 5 fps will be considered the minimum frame rate
for VGA and CIF, and 2.5 fps for PDA/Mobile..
Manually set frame rates (constant frame rate) may include:
- PDA/Mobile: 30, 25, 15, 12.5, 10, 8, 5, 2.5 fps
- PC1 (CIF): 30, 25, 15, 12.5, 10, 8, 5 fps
- PC2 (VGA): 30, 25, 15, 12.5, 10,8, 5 fps
Variable frame rates are acceptable for the HRCs. The first 1s and last
1s of each QCIF PVS must contain at least two unique frames, provided
the source content is not still for those two seconds. The first 1s and
last 1s of each CIF and VGA PVS must contain at least four unique
frames, provided the source content is not still for those two seconds.
Care must be taken when creating test sequences for display on a PC
monitor. The refresh rate can influence the reproduction quality of the
video and VQEG MM requires that the sampling rate and display output
rate are compatible. For example,
Given a source frame rate of video is 30fps, the sampling rate is 30/X
(e.g. 30/2 = sampling rate of 15fps). This is called frame rate. Then we
upsample and repeat frames from the sampling rate of 15fps to obtain 30
fps for display output.
The intended frame rate of the source and the PVS must be identical.
### Pre-Processing
The HRC processing may include, typically prior to the encoding, one or
more of the following:
- Filtering
- Simulation of non-ideal cameras (e.g. mobile)
- Colour space conversion (e.g. from 4:2:2 to 4:2:0)
- Interlacing of previously deinterlaced source.
This processing will be considered part of the HRC.
### Post-Processing
The following post-processing effects may be used in the preparation of
test material:
- Colour space conversion
- De-blocking
- Decoder jitter
Deinterlacing of codec output including when it has been interlaced
prior to codec input.
### Coding Schemes
Coding Schemes that will be used may include, but are not limited to:
- Windows Media Player 9
- H.263
- H.264 (MPEG-4 Part 10)
- Real Video (e.g. RV 10)
- MPEG 4
- JPEG 2000 Part 3
- VC1
### Processing and Editing Sequences
Test sequences will be captured from the decoded video in uncompressed
format. The two capture methods below have been identified, but others
may be used as well. Strict documentation of how PVSs have been produced
should be forwarded to the ILG.
**SwissQual method**
Video capture is done using proprietary software developed at SwissQual.
The software captures an uncompressed video signal directly from
QuickTime player v7.0 generating two files. The first file contains
video data in AVI format whereas a second file contains a list of the
time-stamps of the received frames. The input signal can also contain a
variable frame rate.
QuickTime 7.0 supports most known video encoding formats like: MPEG-4,
H.261, H.263, H.264, Cinepak, DV-PAL/NTSC, Intel Indeo etc.
Recording at variable frame rate reduces the amount of redundancy in
video frames during pausing without skipping events. There are two
possibilities to play back the PVS on the display:
- Using a proprietary Player (SQAviPlayer), which reads AVI file at
variable frame rate and time stamps from LOG file.
- Using a standard player e.g. QuickTime connected to an output of
SQVRtoCR
SQVRtoCR converts variable to constant frame rate PVSs.
{width="1.0188976377952756in"
height="0.6326771653543307in"}
**NTT method** PIFREC 1.0 (Lossless PC Video & Voice Recorder)
The PC capture system uses a capture board to receive the signals passed
from a PC to its monitor, without adding any processing load to the PC,
and stores them while retaining high video quality. So, video service
providers can evaluate and monitor video quality, an operation which is
particularly necessary if the video service is charged for, without
imposing a processing load on the receiving terminal, a penalty which
has conventionally been unavoidable.
{width="6.129861111111111in" height="2.89375in"}
Product composition:
+----------------------------------+-----------------------------------+
| PC video & voice recording | Frame detection, and storing of |
| software | video and voice data |
+----------------------------------+-----------------------------------+
| PC video capture board | High-resolution video capture |
+----------------------------------+-----------------------------------+
| Video capturing PC set | Video play-back |
| | |
| (PC, hard disc and other | |
| peripherals. Monitor is not | |
| included) | |
+----------------------------------+-----------------------------------+
Specification:
----------------------------------- -----------------------------------
Input format Analog signal/digital signal (DVI)
Output format AVI format Video: uncompressed
video, reference video Voice:
uncompressed audio
Maximum recording time 1 hour (in the case of VGA and
30fps)
Recording performance VGA, 30fps\* and full color (24
bits)
----------------------------------- -----------------------------------
\*Frame rate: the number of frames displayed on the monitor each second.
30fps for example means that the display is refreshed 30 times each
second. The higher the value, the smoother the video looks. The frame
rate of television (NTSC) is 30fps.
# Objective Quality Models
## Model Type
VQEG MM has agreed that Full Reference, Reduced Reference and No
Reference models may be submitted for evaluation. The side-channels
allowable for the RR models are:
- PDA/Mobile (QCIF): (1kbit/s, 10kbit/s)
- PC1 (CIF): (10kbit/s, 64kbit/s)
- PC2 (VGA): (10kbit/s, 64kbit/s, 128kbit/s)
Note that for each side-channel condition the limits defined here
represent the maximum allowable side-channel data rate. For example,
where the side-channel is limited to 10 kbit/s, then valid side-channels
are those that use a data rate of \<=10 kbit/s and any data rates above
10 kbit/s are invalid.
Proponents may submit one model of each type for all image size
conditions. Thus, any single proponent may submit up to a total of 13
different models (one FR model for QCIF, one FR model for CIF, one FR
model for VGA; one NR model for QCIF, one NR model for CIF, one NR model
for VGA; two RR models for QCIF, two RR models for CIF, three RR models
for VGA). Note that where multiple models are submitted, additional
model submission fees may apply.
## Model Input and Output Data Format
Video will be full frame, full frame rate. The progressive video format
will be used in the multimedia test. Models will use the same 8s SRC and
PVS seen by viewers (see section 4.1.1 & 6.1.1).
7.2.1 Full reference Models
The FR model will be given an ASCII file listing pairs of video sequence
files to be processed. Each line of this file has the following format:
\<source-file\> \<processed-file\>
where \<source-file\> is the name of a source video sequence file and
\<processed-file\> is the name of a processed video sequence file, whose
format is specified in section 6.1.8 of this document. File names may
include a path. For example, an input file should adhere to the
following naming convention:
**/video/vXX_YYY.avi /video/vXX_YYY.avi (Unix)**
**or**
**\\video\\vXX_YYY.avi \\video\\vXX_YYY.avi (Windows)**
**/video/cXX_YYY.avi /video/ cXX_YYY.avi (Unix)**
**or**
**\\video\\cXX_YYY.avi \\video\\cXX_YYY.avi (Windows)**
**/video/qXX_YYY.avi /video/qXX_YYY.avi (Unix)**
**or**
**\\video\\qXX_YYY.avi \\video\\qXX_YYY.avi (Windows)**
where v represents VGA, c represents CIF, q represents QCIF, XX
indicates the test number and YYY represents the video sequence index.
The leading characters (v,c,q) and all extensions ("avi" and "dat")
should be in lower cases.
The output file is an ASCII file created by the model program, listing
the name of each processed sequence and the resulting Video Quality
Rating (VQR) of the model. The contents of the output file should be
flushed after each sequence is processed, to allow the testing
laboratories the option of halting a processing run at any time. Each
line of the ASCII output file has the following format:
\< source-file \> \<processed-file\> VQR
Where \< source-file \> is the name of the source file run through this
model, without any path information; and \<processed-file\> is the name
of the processed sequence run through this model, without any path
information. VQR is the Video Quality Ratings produced by the objective
model. For the input file example, this file contains the following:
**v01_ref.avi v01_001.avi 0.150**
**v01_ref.avi v01_002.avi 1.304**
**v01_ref.avi v01_003.avi 0.102**
**v01_ref.avi v01_004.avi 2.989**
Each proponent is also allowed to output a file containing Model Output
Values (MOVs) that the proponents consider to be important. The format
of this file will be
**v01_001.avi 0.150 MOV~1~ MOV~2~,... MOV~N~**
**v01_002.avi 1.304 MOV~1~ MOV~2~,... MOV~N~**
**v01_003.avi 0.102 MOV~1~ MOV~2~,... MOV~N~**
**v01_004.avi 2.989 MOV~1~ MOV~2~,... MOV~N~**
7.2.2 Reduced-reference Models
In an effort to limit the amount of variations and in agreement with all
proponents attending the VQEG meeting consensus was achieved to allow
only downstream video quality models.
7.2.2.1 Downstream Model Original Video Processing:
The software (model) for the original video side will be given the
original test sequence in the final file format and produce a reference
data file. The amount of reference information in this data file will be
evaluated in order to estimate the bit rate of the reference data and
consequently assign the class of the method (Section 7.1). The input
file format of the full-reference model will be used for the RR model
for the original video side. Deterministic RR models for the original
video side may ignore the processed video file name which is the second
argument. For example, given an input file:
**/video/qXX_YYY.avi /video/qXX_ZZZ.avi (Unix example, for Windows OS
the path**
> **conforms to Windows format)**
Then, the model should produce reference data files whose file names are
made in the following way:
**/video/qXX_YYY_BBB.dat (deterministic models) or**
**/video/qXX_YYY_ZZZ_BBB.dat (deterministic and non-deterministic
models)**
where BBB indicates side-channel bandwidth in kbps. For example, for a
VGA RR model with the 10kbps side channel, the output file names should
be as follows:
**vXX_001_10.dat**
**vXX_002_10.dat**
**or**
**vXX_001_023_10.dat**
**vXX_002_100_10.dat.**
The model should save the output files in the current directory. The ILG
should make sure that PVS files are not available for the software for
the original video side.
7.2.2.2 Downstream Model Processed Video Processing:
The software (model) for the processed video side will be given the
processed test sequence in the final file format and a reference data
file that contains the reduced-reference information (see Model Original
Video Processing). The input file format of the full-reference model
will be used for the model for the processed video side. The format of
this file will be
**/video/qXX_YYY.avi /video/qXX_ZZZ.avi**
where v indicates VGA resolution, XX indicates the test number, YYY
represents the source video sequence index and ZZZ represents the
processed video sequence index. Then, the model should make reference
data file names as follows:
/video/qXX_YYY_BBB.dat (deterministic models) OR
/video/qXX_YYY_ZZZ_BBB.dat (deterministic and non-deterministic models)
where BBB indicates side-channel bandwidth in kbps. Finally, the model
should use the processed video file and the reference data file, and
produce a VQR for the processed video sequence. The ILG should make sure
that SRC files are not available for the software for the processed
video side.
The output file format of the RR model will be identical with that of
the FR model (Section 7.2.1).
7.2.2.3 Input Parameters for RR models.
Some RR models, the identical software may generate and process
reference data files at various side-channel bandwidths. In this case,
the software needs information on side-channel bandwidth. In order to
provide the information, the software (model) for the original video
side will be given two arguments as follows:
**CompanyName_vRRsrc.exe vXX.txt BBB**
where vXX.txt is the input file name, XX indicates the test number and
BBB indicates side-channel bandwidth in kbps.
The software (model) for the processed video side will be given two
arguments as follows:
**CompanyName_vRRpvs.exe vXX.txt BBB**
7.2.3 No-reference Models
The NR model will be given an ASCII file listing only processed video
sequence files. Each line of this file has the following format:
\<processed-file\>
where \<processed-file\> is the name of a processed video sequence file,
whose format is specified in section 6.1.8 of this document. File names
may include a path. For example, an input file should adhere to the
following naming convention:
**/video/vXX_001.avi**
**/video/vXX_002.avi**
The output file format of the NR model will take the form
\<processed-file\> VQR
where \<processed-file\> is the name of the processed sequence run
through this model, without any path information. VQR is the Video
Quality Ratings produced by the objective model.
NR models will be required to predict the perceptual quality of both the
source and processed video files used in subjective quality tests.
## Submission of Executable Model
For each video format (QCIF, CIF, and VGA), a set of 2 source and
processed video sequence pairs will be used as test vectors. They will
be available for downloading on the VQEG web site
<http://www.vqeg.org/>.
Each proponent will send an executable of the model and the test vector
outputs to the ILG by the date specified in action item "Proponents
submit their models (executable and, only if desired, encrypted source
code)" of Section 5.3. The executable version of the model must run
correctly on one of the two following computing environments:
- SUN SPARC workstation running the Solaris 2.3 UNIX operating system
(SUN OS 5.5). \[Ed. Note: The used of SUN workstation should be
agreed\]
- WINDOWS 2000 workstation and Windows XP.
The use of other platforms will have to be agreed upon with the
independent laboratories prior to the submission of the model.
The ILG will verify that the software produces the same results as the
proponent with a maximum error of plus or minus 0.0001% of the
proponents reported value. See Annex X for requirements on
non-deterministic models. A maximum of 5 randomly selected files will be
used for verification. If greater errors are found, the independent and
proponent laboratories will work together to correct them. If the errors
cannot be corrected, then the ILG will review the results and recommend
further action.
## Registration
Measurements will only be performed on the portions of PVSs that are not
anomalously severely distorted (e.g. in the case of transmission errors
or codec errors due to malfunction).
Models must include calibration and registration if required to handle
the following technical criteria (Note: Deviation and shifts are defined
as between a source sequence and its associated PVSs. Measurements of
gain and offset will be made on the first and last seconds of the
sequences. If the first and last seconds are anomalously severely
distorted, then another 2 second portion of the sequence will be used.):
- maximum allowable deviation in *offset* is ±20
- maximum allowable deviation in *gain* is ±0.1
- maximum allowable *Horizontal Shift* is +/- 1 pixel
- maximum allowable *Vertical Shift* is +/- 1 pixel
- maximum allowable *Horizontal Cropping* is 12 pixels for VGA, 6
pixels for CIF, and 3 pixels for QCIF (for each side).
- maximum allowable *Vertical Cropping* is 12 pixels for VGA, 6 pixels
for CIF, and 3 pixels for QCIF (for each side).
- no *Spatial Rotation or* *Vertical or Horizontal Re-scaling* is
allowed
-
- no Spatial *Picture Jitter* is allowed. Spatial picture jitter is
defined as a temporally varying horizontal and/or vertical shift.
For a description of offset and gain in the context of this testplan see
Annex IX. This Annex also includes the method for calculating offset and
gain in PVSs.
No Reference Models should not need calibration
Reduced Reference Models must include temporal registration if the model
needs it. Temporal misalignment of no more than +/-0.25s is allowed.
Please note that in subjective tests, the start frame of both the
reference and its associated HRCs are matched as closely as possible.
Spatial offsets are expected to be very rare. It is expected that no
post-impairments are introduced to the outputs of the encoder before
transmission. Spatial registration will be assumed to be within (1)
pixel. Gain, offset, and spatial registration will be corrected, if
necessary, to satisfy the calibration requirements specified in this
test plan.
The organizations responsible for creating the PVSs shall check that
they fall within the specified calibration and registration limits. The
PVSs will be double-checked by one other organization. After testing has
been completed any PVS found to be outside the calibration limits shall
be removed from the data analyzes. ILG will decide if a suspect PVS is
outside the limits.
# Objective Quality Model Evaluation Criteria
This chapter describes the evaluation metrics and procedure used to
assess the performance of an objective video quality model as an
estimator of video picture quality in a variety of applications.
## Evaluation Procedure
The performance of an objective quality model is characterized by three
prediction attributes: accuracy, monotonicity and consistency.
The statistical metrics root mean square (rms) error, Pearson
correlation, and outlier ratio together characterize the accuracy,
monotonicity and consistency of a model's performance. The calculation
of each statistical metric is performed along with its 95% confidence
intervals. To test for statistically significant differences among the
performance of various models, the F-test will be used.
The statistical metrics are calculated using the objective model outputs
and the results from viewer subjective rating of the test video clips.
The objective model provides a single number (figure of merit) for every
tested video clip. The same tested video clips get also a single
subjective figure of merit. The subjective figure of merit for a video
clip represents the average value of the scores provided by all subjects
viewing the video clip.
Objective models cannot be expected to account for (potential)
differences in the subjective scores for different viewers or labs. Such
differences, if any, will be measured, but will not be used to evaluate
a model's performance. "Perfect" performance of a model will be defined
so as to exclude the residual variance due to within-viewer,
between-viewer, and between-lab effects
The evaluation analysis is based on DMOS scores for the FR and RR
models, and on MOS scores for the NR model. Discussion below regarding
the DMOS scores should be applied identically to MOS scores. For
simplicity, only DMOS scores are mentioned for the rest of the chapter.
The objective quality model evaluation will be performed in three steps.
The first step is a monotonic rescaling of the objective data to better
match the subjective data. The second calculates the performance metrics
for the model and their confidence intervals. The third tests for
differences between the performances of different models using the
F-test.
## PSNR
PSNR will be calculated to provide a performance benchmark. Proponents
are encouraged to calculate PSNR Ideally, PSNR should be calculated with
a spatial registration accuracy 0.1 pixel. If this is not possible, then
a maximum registration tolerance of 0.5 pixel spatial accuracy is
required. The Pearson correlation evaluation metric defined in this
section will be applied to determine the predictive performance of PSNR
and this will be reported in the final report.
## Data Processing
Prior to any data analysis, the ILG will perform an inspection of the
subjective test data. Any source sequences presented in the test with a
MOS rating of \<4 will be identified and the file will be examined. If,
in the opinion of the ILG the poor MOS vaues for these source sequences
are due to inferior quality then they shall be removed and not included
in the subsequent data analysis. This data inspection will be completed
prior to proponents submitting their objective data to the ILG.
### Calculating DMOS Values
The data analysis will be performed using the difference mean opinion
score (DMOS). DMOS values are calculated on a per subject per PVS basis.
The appropriate hidden reference (SRC) is used to calculate the DMOS
value for each PVS. DMOS values will be calculated using the following
formula:
DMOS = MOS (PVS) -- MOS (SRC) + 5
In using this formula, a DMOS of 5 indicates 'Excellent' quality and a
DMOS of 1 indicates 'Bad' quality. Any DMOS values greater than 5 (i.e.
where the processed sequence is rated better quality than its associated
hidden reference sequence) will be considered valid and included in the
data analysis.
### Mapping to the Subjective Scale
Subjective rating data often are compressed at the ends of the rating
scales. It is not reasonable for objective models of video quality to
mimic this weakness of subjective data. Therefore, in previous video
quality projects VQEG has applied a non-linear mapping step before
computing any of the performance metrics. A non-linear mapping function
that has been found to perform well empirically is the cubic polynomial
given in (1)
$\text{DMOSp} = \text{ax}^{3} + \text{bx}^{2} + \text{cx} + d$
Where DMOSp is the predicted DMOS, and the VQR is the model's computed
value for a clip-HRC combination. The weightings *a*, *b* and *c* and
the constant *d* are obtained by fitting the function to the data
\[DMOS, VCR\]. The mapping function will maximize correlation between
DMOSp and DMOS :
$$\text{DMOSp} = k(a'x^{3} + b'x^{2} + c'x) + d$$
with constant k = 1, d = 0
This function must be constrained to be monotonic within the range of
possible values for our purposes.
Then root mean squared error is minimized over k and d.
a = k\*a'
b = k\*b'
c = k\*c'
This non-linear mapping procedure will be applied to each model's
outputs before the evaluation metrics are computed.
Proponents, in addition to the ILG, may compute the coefficients of the
mapping functions for their models and submit the coefficients to ILGs.
The proponent who submits the coefficients should also submit his
mapping tool (executable) to ILGs so that ILGs can use the mapping tool
for other models. It is desirable that the proponent also submit the
coefficients of the mapping functions for all the other proponents'
models. If a proponent chooses not to exercise this option to compute
the coefficients of the mapping functions, the ILG will compute the
coefficients of the mapping functions. The ILG will use the coefficients
of the fitting function that produce the best correlation coefficient
provided that it is a monotonic fit.
**Any and all mapping algorithms used for the official data analysis
must be referenced.**
### Averaging Process
Primary analysis of model performance will be calculated per processed
video sequence. Secondary analysis of model performance may be
calculated and reported on (1) averaged data, by averaging all SRC
associated with each HRC (DMOS~H~), and on (2) averaged data, by
averaging all HRC associated with each SRC (DMOS~S~).
### Aggregation Procedure
The evaluation of the objective metrics is performed in two steps. In
the first step, the objective metrics are evaluated per experiment. In
this case, the evaluation/statistical metrics are calculated for all
tested objective metrics. A comparison analysis is then performed based
on significance tests. In the second step, an aggregation of the
performance results is considered. The aggregation will be performed by
taking the average values for all three evaluation metrics for all
experiments (see section 8.3).
The ILG has the option open to use some of the secret tests to replicate
ILG experiments (i.e., run viewers through another lab's experiment).
Models' performance evaluation will follow the procedures laid out
above. The data collected will be not be considered an additional
experiment for the purposes of model comparison\--i.e. no double weight
for any single experiment. The first experiment run will provide the
data to be used for model performance evaluation. The replication data
will be used for other analyses. This data will be shared with the
proponents.
## Evaluation Metrics
Once the mapping has been applied to objective data, the three
evaluation metrics: root mean square error, Pearson correlation
coefficient and outlier ratio are determined. The calculation of each
evaluation metric is performed along with its 95% confidence interval.
### Pearson Correlation Coefficient
The Pearson correlation coefficient R (see Equation 2) measures the
linear relationship between a model's performance and the subjective
data. Its great virtue is that it is on a standard, comprehensible scale
of -1 to 1 and it has been used frequently in similar testing.
X
$R = \frac{\sum_{i = 1}^{N}{(\text{Xi} - \overline{X}) \ast (\text{Yi} - \overline{Y})}}{\sqrt{\sum_{}^{}{(\text{Xi} - \overline{X)}}^{2}} \ast \sqrt{\sum_{}^{}{(\text{Yi} - \overline{Y)}}^{2}}}$
(2)
Xi denotes the subjective score DMOS and Yi the objective DMOSp one. N
represents the total number of video samples considered in the analysis.
It is known \[1\] that the statistic z (3) is approximately normally
distributed and its standard deviation is defined by (4). Equation (3)
is called Fisher-z transformation.
$z = 0\text{.}5 \cdot \text{ln}\left( \frac{1 + R}{1 - R} \right)$ (3)
$\sigma_{z} = \sqrt{\frac{1}{N - 3}}$ (4)
The 95% confidence interval (CI) for the correlation coefficient is
determined using the Gaussian distribution, which characterizes the
variable z and it is given by (5)
CI = $z \pm 2 \ast \sigma$ (5)
**NOTE.** If less than N\<30 samples are used, then the Gaussian
distribution needs to be replaced by the two-tailed t-Student
distribution with t=1.96 \[1\].
.
### Root Mean Square Error
The accuracy of the objective metric is evaluated using the root mean
square error (rmse) evaluation metric.
The difference between measured and predicted DMOS is defined as the
absolute prediction error Perror (6)
$\text{Perror}(i) = \text{DMOS}(i) - \text{DMOS}_{p}(i)$ (6)
where the index *i* denotes the video sample.
The root-mean-square error of the absolute prediction error Perror is
calculated with the formula (7)
$\text{rmse} = \sqrt{\left( \frac{1}{N - d}\sum_{N}^{}{\text{Perror}\lbrack i\rbrack ²} \right)}$
(7)
.
Where N denotes the number of samples and d the number of degrees of
freedom of the mapping function (1).
The root mean square error is approximately characterized by a χ\^2 (n)
\[1 \[Ed. Note: a page number or equation should be given here\], where
n represents the degrees of freedom and it is defined by (8)
$n = N - d$ (8)
where N represents the total number of samples.
Using the χ\^2 (n) distribution, the 95% confidence interval for the
rmse is given by (9) \[1\]
$\frac{\text{rmse} \ast \sqrt{N - d}}{\chi_{0\text{.}\text{95}}^{2}(N - d)} < \text{rmse} < \frac{\text{rmse} \ast \sqrt{N - d}}{\chi_{0\text{.}\text{05}}^{2}(N - d)}$
(9)
\[Ed. Note: Header is missing here---see an earlier version\]
The consistency attribute of the objective metric is evaluated by the
outlier ratio OR which represents number of "outlier-points" to total
points N.
$\text{OR} = \frac{\text{TotaNoOutliers}}{N}$ (10)
where an outlier is a point for which
$\left| \text{Perror}(i) \right| > 2 \ast \sigma(\text{DMOS}(i))$ (11)
where σ(DMOS(i)) represents the standard deviation of the individual
scores associated with the video clip i. The individual scores are
approximately normally distributed and therefore twice the σ value
represents the 95% confidence interval. Thus, 2 \* σ(DMOS(i))value
represents a good threshold for defining an outlier point.
The outlier ratio represents the proportion of outliers in N number of
samples. Thus, the binomial distribution could be used to characterize
the outlier ratio. The outlier ratio is represented by a distribution of
proportions \[1\] characterized by the mean (12) and standard deviation
(13)
$p = \frac{\text{TotalNoOutliers}}{N}$ (12)
$\sigma_{p} = \sqrt{\frac{p \ast (1 - p)}{N}}$ (13)
For N\>30, the binomial distribution, which characterizes the proportion
p, can be approximated with the Gaussian distribution . Therefore, the
95% confidence interval (CI) of the outlier ratio is given by (14)
**CI =** $\pm 2 \ast \sigma_{p}$ (14)
**NOTE.** If less than N\<30 samples are used, then the t-Student
distribution with t=1.96 \[1\] can be used instead..
## Statistical Significance of the Results
### Significance of the Difference between the Correlation Coefficients
The test is based on the assumption that the normal distribution is a
good fit for the video quality scores' populations. The statistical
significance test for the difference between the correlation
coefficients uses the H~0~ hypothesis that assumes that there is no
significant difference between correlation coefficients. The H~1~
hypothesis considers that the difference is significant, although not
specifying better or worse.
The test uses the Fisher-z transformation (3) \[1\]. The normally
distributed statistic (15) is determined for each comparison and
evaluated against the 95% t-Student value for the two--tail test, which
is the tabulated value t(0.05) =1.96.
------------------------------------------------------------------ --------
$$Z_{N} = \frac{z1 - z2 - \mu_{(z1 - z2)}}{\sigma_{(z1 - z2)}}$$ \(15\)
where $\mu_{(z1 - z2)} = 0$ \(16\)
and Ed. Note: eqn missing: copy from ver 13 or hdtv testplan \(17\)
------------------------------------------------------------------ --------
σ~z1~ and σ~z2~ represent the standard deviation of the Fisher-z
statistic for each of the compared correlation coefficients. The mean
Ed. Note: investigate this error: see ver 1.13 ask D.Hands Error:
Reference source not found(16) is set to zero due to the H~0~ hypothesis
and the standard deviation of the difference metric z1-z2 is defined by
(17). The standard deviation of the Fisher-z statistic is given by
Error: Reference source not found(18):
----------------------------------------------------------------- --------
$$\sigma_{z} = \sqrt{1(N - 3)}$$ \(18\)
----------------------------------------------------------------- --------
where N represents the total number of samples used for the calculation
of each of the two correlation coefficients.
### Significance of the Difference between the Root Mean Square Errors
Considering the same assumption that the two populations are normally
distributed, the comparison procedure is similarly to the one used for
the correlation coefficients. The H~0~ hypothesis considers that there
is no difference between rmse values. The alternative H~1~ hypothesis is
assuming that the lower prediction error value is statistically
significantly lower. The statistic defined by (19) has a F-distribution
with n1 and n2 degrees of freedom \[1\].
----------------------------------------------------------------------- --------
$$\zeta = \frac{\text{rmse}_{\text{max}}}{\text{rmse}_{\text{min}}}$$ \(19\)
----------------------------------------------------------------------- --------
rmse,max is the highest rmse and rmse,min is the lowest rmse involved in
the comparison. The ζ statistic is evaluated against the tabulated value
F(0.05, n1, n2) that ensures 95% significance level. The n1 and n2
degrees of freedom are given by N1-1, respectively and N2-1, with N1 and
N2 representing the total number of samples for the compared average
prediction errors.
### Significance of the Difference between the Outlier Ratios
As mentioned in paragraph 8.3.3, the outlier ratio could be described by
a binomial distribution of parameters (p, 1-p), where p is defined by
(12). In this case P is equivalent with the probability of success of
the binomial distribution.
The distribution of differences of proportions from two binomially
distributed populations with parameters (p1, 1-p1) and (p2, 1-p2) (where
p1 and p2 correspond to the two compared outlier ratios) is approximated
by a normal distribution for N1, N2 \>30, with the mean:
$\mu_{(p1 - p2)} = \mu(p1) - \mu(p2) = p1 - p2 = 0$ (20)
and standard deviation:
$$
$\sigma_{p1 - p2} = \sqrt{\frac{\sigma(p1)^{2}}{N1} + \frac{\sigma(p2)^{2}}{N2}}$
(21)
The null hypothesis in this case considers that there is no difference
between the population parameters p1 and p2, respectively p1=p2.
Therefore, the mean (20) is zero and the standard distribution (21)
becomes equation (22)
$\sigma_{p1 - p2} = \sqrt{p \ast (1 - p) \ast (\frac{1}{N1} + \frac{1}{N2}})$
(22)(
where N1 and N2 represent the total number of samples of the compared
outlier ratios p1 versus p2. The variable p is defined by 23
$p = \frac{N1 \ast p1 + N2 \ast p2}{N1 + N2}$ (23)
References
\[1\] M. Spiegel, "Theory and problems of statistics", McGraw Hill,
1998.
# Recommendation
The VQEG will recommend methods of objective video quality assessment
based on the primary evaluation metrics defined in Section 8. The Study
Groups involved (ITU-T SG 12, ITU-T SG 9, and ITU-R SG 6) will make the
final decision(s) on ITU Recommendations.
# Bibliography
- VQEG Phase I final report.
- VQEG Phase I Objective Test Plan.
- VQEG Phase I Subjective Test Plan.
- VQEG FR-TV Phase II Test Plan.
- Vector quantization and signal compression, by A. Gersho and R. M.
Gray. Kluwer Academic Publisher, SECS159, 0-7923-9181-0.
- Recommendation ITU-R BT.500-10.
- document 10-11Q/TEMP/28-R1.
- RR/NR-TV Test Plan
Annex I\
Instructions to the Subjects
Notes: The items in parentheses are generic sections for a Subject
Instructions Template. They would be removed from the final text. Also,
the instructions are written so they would be read by the experimenter
to the participant(s).
(*greeting*) Thanks for coming in today to participate in our study. The
study's about the quality of video images; it's being sponsored and
conducted by companies that are building the next generation of video
transmission and display systems. These companies are interested in what
looks good to you, the potential user of next-generation devices.
(*vision tests*) Before we get started, we'd like to check your vision
in two tests, one for acuity and one for color vision. (*These tests
will probably differ for the different labs, so one common set of
instructions is not possible.*)
(*overview of task: watch, then rate*) What we're going to ask you to do
is to watch a number of short video sequences to judge each of them for
"quality" \-- we'll say more in a minute about what we mean by
"quality." These videos have been processed by different systems, so
they may or may not look different to you. We'll ask you to rate the
quality of each one after you've seen it.
(*physical setup*) When we get started with the study, we'd like you to
sit here (point) and the videos will be displayed on the screen there.
You can move around some to stay comfortable, but we'd like you to keep
your head reasonably close to this position indicated by this mark
(point to mark on table, floor, wall, etc.). This is because the videos
might look a little different from different positions, and we'd like
everyone to judge the videos from about the same position. I (the
experimenter) will be over there (point).
(*room & lighting explanation, if necessary*) The room we show the
videos in, and the lighting, may seem unusual. They're built to satisfy
international standards for testing video systems.
(*presentation timing and order; number of trials, blocks*) Each video
will be (*insert number*) seconds (minutes) long. You will then have a
short time to make your judgment of the video's quality and indicate
your rating. At first, the time for making your rating may seem too
short, but soon you will get used to the pace and it will seem more
comfortable. (*insert number*) video sequences will be presented for
your rating, then we'll have a break. Then there will be another similar
session. All our judges make it through these sessions just fine.
(*what you do: judging \-- what to look for*) Your task is to judge the
quality of each image \-- not the [content]{.underline} of the image,
but how well the system displays that content for you. The images come
in three different sizes; how you judge image quality for the different
sizes is up to you. There is no right answer in this task; just rely on
your own taste and judgment.
(*what you do: rating scale; how to respond, assuming presentation on a
PC*) After [judgin]{.underline}*g* the quality of an image, please
[rate]{.underline} the quality of the image. Here is the rating scale
we'd like you to use (*also have a printed version, either hardcopy or
electronic*):
5 Excellent
4 Good
3 Fair
2 Poor
1 Bad
Please indicate your rating by pushing the appropriate numeric key on
the keyboard (button on the screen). If you missed the scene and have to
see it again, press the XXX key. If you push the wrong key and need to
change your answer, press the YYY key to erase the rating; then enter
your new rating. \[Note, this assumes that a program exists to put a
graphical user interface (GUI) on the computer screen between video
presentations. It should feed back the most recent rating that the
subject had input, should have a "next video" button and an "erase
rating" button. It should also show how far along in the sequence of
videos the session is at present. The program that randomly chooses
videos for presentation, records the data, and contains the GUI, should
be written in a language that is compatible with the most commonly used
computers.\]
(*practice trials: these should include the different size formats and
should cover the range of likely quality*) Now we will present a few
practice videos so you can get a feel for the setup and how to make your
ratings. Also, you'll get a sense of what the videos are going to be
like, and what the pace of the experiment is like; it may seem a little
fast at first, but you get used to it.
(*questions*) Do you have any questions before we begin?
(*subject consent form, if applicable; following is an example*)
The Multimedia Quality Experiment is being conducted at the (*name of
your lab*) lab. The purpose, procedure, and risks of participating in
the Multimedia Quality Experiment have been explained to me. I
voluntarily agree to participate in this experiment. I understand that I
may ask questions, and that I have the right to withdraw from the
experiment at any time. I also understand that (*name of lab*) lab may
exclude me from the experiment at any time. I understand that any data I
contribute to this experiment will not be identified with me personally,
but will only be reported as a statistical average.
Signature of participant Signature of experimenter
Name of participant Date Name of experimenter
Annex II\
Example EXCEL Spreadsheet
--------- ---------- ------------- ----------- ----------- --------- ---------- ------------- ---------------- ---------- --------- ------------ ----------- ----------- ----------- ---------
**lab** **test** **type** **subject **month** **day** **Year** **session** **resolution** **rate** **age** **gender** **order** **scene** **hrc** **acr
\#** score**
ntia mm1 compression 1000 10 3 2005 1 vga 30 47 m 1 susie hrc1 4
ntia mm1 compression 1000 10 3 2005 1 vga 30 47 m 1 susie hrc2 2
ntia mm1 compression 1000 10 3 2005 1 vga 30 47 m 1 susie hrc3 1
ntia mm1 compression 1000 10 3 2005 1 vga 30 47 m 1 susie reference 5
ntt mm2 robust 2003 10 18 2005 2 cif 25 38 f 2 calmob pktloss1 1
ntt mm2 robust 2003 10 18 2005 2 cif 25 38 f 2 calmob pktloss2 2
ntt mm2 robust 2003 10 18 2005 2 cif 25 38 f 2 calmob biterror1 1
ntt mm2 robust 2003 10 18 2005 2 cif 25 38 f 2 calmob biterror2 3
ntt mm2 robust 2003 10 18 2005 2 cif 25 38 f 2 calmob reference 4
yonsei mm3 livenetwork 3018 10 21 2005 1 qcif 30 27 m 1 football ip1 4
yonsei mm3 livenetwork 3018 10 21 2005 1 qcif 30 27 m 1 football ip2 3
yonsei mm3 livenetwork 3018 10 21 2005 1 qcif 30 27 m 1 football reference 5
--------- ---------- ------------- ----------- ----------- --------- ---------- ------------- ---------------- ---------- --------- ------------ ----------- ----------- ----------- ---------
Annex III\
Background and Guidelines on Transmission Errors
### Introduction {#introduction-1 .unnumbered}
Transmission errors should be created to emulate a real video service to
ensure that the proponents' models are trained and tested with realistic
video material. There are three major types of transmissions used for
video services today:
### Packet switched radio network {#packet-switched-radio-network .unnumbered}
This kind of transmission is typical for video service in so called 3G
mobile networks. Examples of services are video streaming service, such
as streaming news and sports video clips to a mobile phone, mobile TV
and video shared in parallel with a normal speech call. The transmission
errors are characterized by packet delays, which can be in the range of
10 ms to several seconds, and packet losses that could be massive
(ranging from no losses to 50%). The packet delay might case packet to
be dropped by the video client because they are received too late, or
causing the buffer to run empty in the client. If the buffer runs empty
it causes frame freezing (not currently included in the test plan).
Packet losses will cause image artifacts in the video and possibly video
frame jitter.
Transport errors should be created by running a video streaming service
over a real-time link simulator, where packets can be delayed in with a
delay pattern as in a typical mobile radio network. The link simulator
should also be able to drop packets. Typically packets are dropped when
a buffer somewhere in the network is full, and new packets arriving at
the buffer are dropped. This situation can occur when the link to the
mobile has a lower bandwidth than required by the video stream.
Packet losses are normally bursty, causing the video quality to vary a
lot. A short video streaming sequence might even be played with best
possible quality, even if the bandwidth is limited. Therefore, video
streaming sequences should be longer than 8 to 10 seconds. An 8 to 10
seconds video clip can be cut out from the longer video sequence, from
the part where the transmission errors have caused the desired video
quality degradation. Note also that the packet size is related to video
quality degradation for a certain packet loss ratio.
### Wireline Internet {#wireline-internet .unnumbered}
Typical service is video streaming to a PC with fixed Internet
connection. Network congestion causes packet losses in the network
switches. Random and periodic packet loss *can* occur due to faulty
equipment. However, bursty packet losses are the most common loss type.
Packet loss ratio is in the range from 0% to 50%. Packets are delayed
with delay ranging from 2 ms to several seconds.
Transmission errors should be created with a bursty packet loss model,
as expected for Internet bottlenecks.
### Circuit switched radio network {#circuit-switched-radio-network .unnumbered}
A typical service is video telephony. The transmission errors are
characterized by bursty loss of data. Chunks of data (packets are not
used in circuit switched transmission) are lost. Block (radio blocks)
error rates are typically ranging from 0.2% to 5% when averaged over a
couple of seconds. Momentarily the error rate can be 100%.
Transport errors should be created by applying error masks on a bit
stream. Errors in the mask should have a bursty pattern to mimic a radio
interface, such as a WCDMA 64 kbps circuit switched radio bearer. Note
that the size of the blocks over the simulated transport link is
correlated to video quality. Within limits the larger block size the
better quality for a certain block error rate. Block size can for
example be 160 or 300 bytes.
### Summary of transmission error simulators {#summary-of-transmission-error-simulators .unnumbered}
+-----------+---------------------------------+------------------------+
| ** | **Model** | **Typical error |
| Transport | | rates** |
| link | | |
| type** | | |
+-----------+---------------------------------+------------------------+
| Packet | Link simulator delaying and | Packet delay in the |
| switched | dropping packages. Delay based | range from 10 ms to 5 |
| radio | on bit/block errors over a | s. |
| network | radio link. Drop based on | |
| | overflow in a network buffer | Bursty packet loss in |
| | due to low bandwidth. The | the range 0% to 50% |
| | packet delay should be | (for an average over |
| | introduced as in a real radio | one or a few seconds) |
| | network. Typical target | |
| | networks are GSM, WCDMA or CDMA | |
| | radio networks. | |
+-----------+---------------------------------+------------------------+
| Wireline | Link simulator dropping | Packet delay in the |
| Internet | packets, as expected when the | range 2 ms to 5 |
| | buffer in an Internet switch | seconds (high value |
| | overruns. As described in | when for example a |
| | literature packet losses can be | satellite link Is |
| | modeled with a Markov chain | used). Bursty packet |
| | with two states representing no | losses in range from |
| | loss/loss. See for example | 0% to 50% |
| | \[2\] below for example of link | |
| | model. | |
+-----------+---------------------------------+------------------------+
| Circuit | Link simulator dropping chunks | Typical block error |
| switched | of data. Alternative is to | rates (over a radio |
| radio | apply an error mask to a bit | link) are ranging from |
| network | stream. The error mask should | 0.2% to 5% (average |
| | have been made by simulating a | over a couple of |
| | radio link. The bit stream | seconds) |
| | should be a H.223 bit stream, | |
| | which is used for video | |
| | telephony. See reference \[1\] | |
| | below. | |
+-----------+---------------------------------+------------------------+
Table 1 Summary of transmission error simulators
*Note:* A video service might use multiple transport links. Thus, it is
possible to use a combination of simulators to get realistic transport
errors. A combination of wireline and wireless IP link simulators can be
used to simulate a service, such as video streaming over Internet and a
radio link
**Logging parameters**
Table 2 below describes the parameters to be logged when introducing
transmission errors with a simulator. All parameters are required,
except those explicitly described as "optional".
+-----------+----------------------------------------------------------+
| **Logging | **Logging details** |
| C | |
| ategory** | |
+-----------+----------------------------------------------------------+
| Simulator | - Type of simulator (packet simulator, circuit |
| de | switched simulator) |
| scription | |
| | - Simulated network (GSM/WCDMA/CDMA/Wireline Internet) |
| | |
| | - Version of simulator |
| | |
| | - Hardware/system it was run on |
| | |
| | - General description of how transport errors are |
| | introduced |
+-----------+----------------------------------------------------------+
| Input | - Bandwidth limit |
| p | |
| arameters | - System buffer size |
| to | |
| simulator | - Block or bit error rates |
| (depends | |
| on type | - Latency |
| of | |
| s | |
| imulator. | |
| Only | |
| examples | |
| given | |
| here) | |
+-----------+----------------------------------------------------------+
| Output | **Packet simulator (wireline and wireless)** |
| p | |
| arameters | - Average packet loss ratio in percent |
| from | |
| simulator | - Length of window to calculate packet loss ratio |
| | |
| | - Number of total packets |
| | |
| | - Average packet delay in ms |
| | |
| | - Sequence number of lost packets (optional) |
| | |
| | - Distribution of packet delay (optional) |
| | |
| | - Packet size distribution (optional) |
| | |
| | **Circuit switched simulator** |
| | |
| | - Average block and/or bit error rate (BLER/BER) |
| | |
| | - Block size over transport link |
| | |
| | - Maximum block error rate |
+-----------+----------------------------------------------------------+
| Decoder | - General description of decoder (name, vendor) |
| | |
| | - Version of decoder |
| | |
| | - Post filter used (if known) |
| | |
| | - Error concealment used (if known) |
+-----------+----------------------------------------------------------+
Table 2 Parameters to be logged when introducing transmission errors
.
### References {#references .unnumbered}
1. ITU-T Recommendation H.223, Multiplexing protocol for low bit rate
multimedia communication.
2. B. Girod, K. Stuhlmüller, M. Link and U. Horn. "Packet Loss
Resilient Internet Video Streaming". SPIE Visual Communications and
Image Processing 99, January 1999, San Jose, CA
ANNEX IV
Fee and Conditions
VQEG intends to enable everybody who is interested in contributing to
the work as a proponent to participate in the assessment of video
quality metrics and to do so even if the proponent is not able to
finance more than the regular participation fee as laid forth in this
Annex (see below for details of the fees). On the other side VQEG will
produce video databases which are extremely valuable to those developing
video metrics. An organization cannot get access to these databases
without, at a minimum, substantially participating in the VQEG work.
VQEG has decided that all proponents must provide at least one database
(or a comparable contribution) which fulfils the requirements laid out
in Sections 4, 5 and 6 of this testplan in order to gain access to the
subjective databases produced in the Multimedia tests. A comparable
contribution should be agreed by the other proponents and could include
such things as providing test sequences and/or running HRCs.If an
organization has no facilities to create such a database by itself, it
may contract a recognized subjective test facility to do so on its
behalf. If an organization is lacking the financial resources to fulfil
this obligation, it can ask other proponents or the ILGs to run its
model on the VQEG databases. In this case the party will not be granted
direct access to the video databases, but the party is still able to
participate in the assessment of their models after paying the regular
participation fee to the Independent Lab Group (ILG).
ANNEX V
(Owner: Kjell Brunnstrom)
Subjective Test Software Package and Required Computer Specification
**Introduction**
The program **acrvqwin-beta2** is a program to run subjective
experiments for video quality in Windows environment, using the
ACR-method It is designed to present the video on a computer screen,
using the picture sizes QCIF, CIF and VGA, synchronized with the refresh
of the display. This is implemented using DirectX.
**System Requirements**
The program uses a multithread function, so it requires a Intel based
(AMD has not been tested) computer with two processors or a processor
that supports multithreading. The CPU speed should be at least 2 GHz.
The graphics card should support yuv to rgb conversion and have at least
256 MByte of video memory. The system should have primary memory of at
least 512 MB. The program can be run on Windows 2000 and Windows XP.
**Using the program**
### Installation and preparation {#installation-and-preparation .unnumbered}
After downloading and extracting the files, the file
**acrvqwin-beta2.exe** has to be placed in the same library as the five
dll files: libmatlb, libmcc,libmx, libmat and libut libut (should be
obtained together i.e in the same distribution, with the executable
file, so versions of the dlls match the executable). The setup-file
(setup.seq) can be placed anywhere as the program will let you specify
the path at the start of the experiment. To be able to run the
experiment program a setup-file, see also below, has to be used in order
to set some of the parameters in the program and also specify the path
and name of the avi-files that should be used during the experiment. To
specify your avi-files you write the filenames just below the path to
the directory they are in. Each filename must be written on a separate
row, as the program will treat each line of text as a filename.
### Running the program {#running-the-program .unnumbered}
The program is started in the normal way in Windows e.g double-clicking
on the icon. The program will initially present a dialog box for
selecting setup-file (this makes it possible to have different
setup-files for various experiment stored at the same time) to use for
the experiment.
After choosing the setup-file the program will enter the experiment
environment, the screen will have the same grey-level as has been
specified with the parameter Background. To start the first sequence you
can either press the s button on the keyboard or the left button on the
mouse and the video sequence will be displayed at the centre of the
screen. When the sequence is finished a dialog box will appear in order
to get the subjects rating of the perceived video quality. This
procedure will continue until the experiment is done and the program
will automatically exit. You can at any time quit the current experiment
by pressing the Esc key.
The order of the sequences does not match the order of the filenames in
the setup-file. The program randomises the order at the start of the
program. The random numbers are drawn from a uniform distribution. The
results are stored in two output-files that have the same name as the
parameter SubjectId with an extension of either log or dat. The log-file
shows the results in the exact order as the sequences have been shown.
The dat-file sorts the data regardless of the randomisation that has
been done by the program, in order to make it easier to analyse the
results from a statistical point of view. The data in the dat-file are
stored in exactly the same order as in the setup-file.
If the Esc key is being pressed during an experiment the program will
store the necessary data in a .svd file to be able to restore the
experiment later. The .svd file will be created in the folder specified
by the parameter Path and have the filename specified by the parameter
SubjectId. Next time the program starts it will ask you if you want to
restore the aborted experiment and if selecting yes the experiment will
continue from where it was aborted. If you don't want the program to
keep asking you if you want to restore an experiment, simply delete the
.svd file.
For mixing 25-fps and 30-fps sequences, the parameter ScreenRefreshFreq
must be set to 60 Hz. The program will then run the 30-fps sequences as
normal and try to run the 25-fps sequences as close to 25 fps as
possible. As 60 is evenly divided by 30, each frame will be displayed
two screen refresh cycles and the timing between the frames will be
constant in the 30-fps sequences. This can't be done with the 25-fps
sequences and the solution applied in this program is to alternate
between displaying a frame 2 or 3 screen refresh cycles. The program
uses the serie: 2, 3, 2, 3, 2. In order to distinguish between the
differences in framerate of the sequences the framerate parameter in the
avi-file infoheader must be valid.
### Setup-file parameters {#setup-file-parameters .unnumbered}
PixelDepth: The only supported mode for this version is 16 bit with the
format YUV 4:2:2
ScreenHeight: The height of the screen measured in pixels.
ScreenWidth: The width of the screen measured in pixels.
ScreenRefreshFreq: The update frequency of the screen.
VideoFrameRate: The number of frames shown per second.
Background: The grey-level of the background in the experiment
environment, where 0 is black and 255 is white.
NumberOfSeries: This parameter is used to set how many times each
sequence will be played.
UseImageRatings: Decides whether to use an image or text to describe the
different ratings for the subject.
ImagePathRatings: Specifies the path to the image if the parameter
UseImageRatings is set to true.
ImagePathNoRating: Specifies the path to the image to be shown if
UseImageRatings is set to true and the subject has missed to rate the
sequence.
Rating5-Rating1: The text used to describe the different ratings if
UseImageRatings is set to false.
NoRating: This text is shown if the subject misses to rate the sequence
and UseImageRat-ings is set to false.
SubjectId: Specifies the filename for the .dat and .log file.
NoOfImagesInSeq: The number of frames that will be displayed from the
avi-file. This parameter makes it possible to decide the length of the
sequences from the setup-file.
Path: Specifies the path to the directory holding the avi-files to be
used. The .dat and .log file will be placed here.
### Example of a setup-file {#example-of-a-setup-file .unnumbered}
\[Sequence\]
PixelDepth = 16
ScreenHeight = 1024
ScreenWidth = 1280
ScreenRefreshFreq = 60
VideoFrameRate = 30
Background = 128
NumberOfSeries =3
UseImageRatings = FALSE
ImagePathRatings = \"C:\\MyPath\\mybitmap1.bmp\"
ImagePathNoRating = \"C:\\MyPath\\mybitmap2.bmp\"
Rating5 = \"Excellent\"
Rating4 = \"Good\"
Rating3 = \"Fair\"
Rating2 = \"Poor\"
Rating1 = \"Bad\"
NoRating = \"The sequence has not been rated\"
SubjectId = \"Subject\"
NoOfImagesInSequence = 300
Path = \"C:\\MyPath\"
myavi1.avi
myavi2.avi
myavi3.avi
Note: Experimenter is required to change the "SubjectId" for each
subject in the MM test.
**Term of usage**
This software is provided as is. No warranty or support is given. It may
be used within the VQEG for research purposes. Copyright 2005 Acreo AB,
Sweden.
List of preferred LCD Monitors for use in subjective tests:
TCO '06:
BenQ FP241W, FP241WZ, FP241VW Q24W5
EIZO FlexScan S2110W ColorEdge CE210W S2110W
Samsung 215TW DP21\*\*
TCO '03
ANNEX VI
(Owner: Quan Huynh-Thu)
Method for Post-Experiment Screening of Subjects
**Method**
The rejection criterion verifies the level of consistency of the raw
scores of one viewer according to the corresponding average raw scores
over all viewers. Decision is made using correlation coefficient.
Analysis per PVS and per HRC is performed for decision.
Linear Pearson correlation coefficient per PVS for one viewer vs. all
viewers:
$$r1(x,y) = \frac{\sum_{i = 1}^{n}{x_{i}y_{i} - \frac{\left( \sum_{i = 1}^{n}x_{i} \right)\left( \sum_{i = 1}^{n}y_{i} \right)}{n}}}{\sqrt{\left( \sum_{i = 1}^{n}{x_{i}^{2} - \frac{\left( \sum_{i = 1}^{n}x_{i} \right)^{2}}{n}} \right)\left( \sum_{i = 1}^{n}{y_{i}^{2} - \frac{\left( \sum_{i = 1}^{n}y_{i} \right)^{2}}{n}} \right)}}$$
Where
xi = MOS of all viewers per PVS
yi = individual score of one viewer for the corresponding PVS
n = number of PVSs
i = PVS index.
Linear Pearson correlation coefficient per HRC for one viewer vs. all
viewers:
$$r2(x,y) = \frac{\sum_{i = 1}^{n}{x_{i}y_{i} - \frac{\left( \sum_{i = 1}^{n}x_{i} \right)\left( \sum_{i = 1}^{n}y_{i} \right)}{n}}}{\sqrt{\left( \sum_{i = 1}^{n}{x_{i}^{2} - \frac{\left( \sum_{i = 1}^{n}x_{i} \right)^{2}}{n}} \right)\left( \sum_{i = 1}^{n}{y_{i}^{2} - \frac{\left( \sum_{i = 1}^{n}y_{i} \right)^{2}}{n}} \right)}}$$
Where
xi = condition MOS of all viewers per HRC, i.e. condition MOS is the
average value across all PVSs from the same HRC
yi = individual condition MOS of one viewer for the corresponding HRC
n = number of HRCs
i = HRC index
Rejection criteria
1\. Calculate r1 and r2 for each viewer
2\. Exclude a viewer if (r1\<0.75 AND r2 \<0.8) for that subject
Note: The reason for using analysis per HRC (r2) is that a subject can
have an individual content preference that is different from other
viewers, making r1 to decrease, although this subject may have voted
consistently. Analysis per HRC averages out individual's content
preference and check consistency across error conditions.
xi = mean score of all observers for the PVS
yi = individual score of one observer for the corresponding PVS
n = number of PVSs
i = PVS index
R(xi or yi) is the ranking order
Final rejection criteria for discarding an observer of a test
The Spearman rank and Pearson correlations are carried out to discard
observer(s) according to the following conditions:ANNEX VII
Encrypted Source Code Submitted to VQEG
Proponents are entitled to submit a file with encrypted source code
along with their model's object code. This submission is not required
but is offered in case there is a bug in the software that can be fixed
without changing the algorithm. Normally, there would be no software
updates possible after the submission of the object code.
In order for this option to be exercised the proponent must encrypt the
source code with a readily available encryption program (see below for a
freeware example) and send the password protected file to two ILG labs
(CRC and Acreo). If it is determined by the proponent that a bug is
present in the software, then the proponent must discuss the situation
with the ILG Co-Chairs. If the Co-Chairs agree that a bug fix should be
tried, then a procedure must be agreed to in order for the proponent to
make the change to the code in the presence of the ILG member. This
could be done in person or perhaps by telephone.
The proponent would make the change and the ILG member would verify that
it was not an algorithm change. The code would be recompiled and tested
in the presence of the ILG member. The revised code should be
re-encrypted with a different password.
The encrypted file can be transported electronically or physically. It
needs to be sent to both ILG contacts below:
ILG contacts:
+----------------------------------+-----------------------------------+
| Kjell Brunnstrom | Filippo Speranza |
| | |
| Acreo | CRC |
| | |
| Stockholm, Sweden | Ottawa, Canada |
| | |
| +4686327732 | +1 613-998-7822 |
| | |
| Kjell.Brunnstrom@acreo.se | filippo.speranza@crc.ca |
+----------------------------------+-----------------------------------+
A good freeware encryption program:
Blowfish Advanced CS 2.57
http://www.hotpixel.net/software.html (click on Blowfish Advanced CS --
Installer)
This software offers several encryption algorithms. The one that allows
the largest key (448 bits) is Blowfish. It is also in German and
English.
Source files should be zipped and then encrypted.
Other encryption programs can be used but if they are not free then the
proponent is responsible for purchasing the program for the ILG if
necessary.
ANNEX VIII
Approved Conversion Tools
## Transformation of source test sequences to UYVY AVI files {#transformation-of-source-test-sequences-to-uyvy-avi-files .unnumbered}
Transformation of the source test sequences as described in chapter 6.1
(e.g., from Rec. 601 525-line to QCIF) shall be performed using the
following tools:
--------------------- -------------------------------------------------
**Tool** **Web Resources**
Avisynth 2.5.5 <http://www.avisynth.org/>
AviSynth Filters\ <http://www.avisynth.org/warpenterprises/>
(RawSource,
KernelDeint)
VirtualDub 1.6.11 <http://www.virtualdub.org/>
ffdshow 20050303 <http://ffdshow.sourceforge.net/>
--------------------- -------------------------------------------------
For loading a sequence in raw uncompressed UYVY 4:2:2 format (as the
VQEG format, see FRTV\
Phase I video file examples at
<ftp://vqeg.its.bldrdoc.gov/SDTV/VQEG_PhaseI/TestSequences/>) the
"RawSource" plugin for AviSynth is used. The sequences are opened with
the \"UYVY\" mode.
De-interlacing will be performed according chapter 6.1.4 using the
de-interlacing AviSynth plugin "KernelDeint". If the de-interlacing
using KernelDeint results in source sequence that has serious artifacts,
the Blendfield or Autodeint may be used as alternative methods for
de-interlacing.
Cropping and Rescaling is done according chapter 6.1.5, using AviSynth
build-in "LanczosResize" function.
The following script can be used as a template for the the
transformations. See the Avisynth documentation for detailed information
on what each command does.
\# This function limits the memory space (in MB) used by the script
(should be used)
SetMemoryMax(100)
\# The RawSource plugin loads raw YUV 4:2:2, 4:2:0, etc. videos
RawSource(\"c:\\calmob.yuv\",720,486,\"UYVY\")
\# AssumeFPS() forces the framerate of the video.
AssumeFPS(30)
\# Deinterlacing
KernelDeint(order=0)
\# Cropping
crop(36,3,-38,-3)
\# Resizing
LanczosResize(176,144)
The scripts are saved using the extension ".avs" and then loaded into
VirtualDub (File-\>OpenVideoFile).
Within VirtualDub, video sequences will be saved to AVI files using
Video Compression option (Video\
-\>Compressor) \"ffdshow Video Codec\", configured with the
\"Uncompressed\" decoder and the UYVY color space. For the Color Depth
(Video-\>Color Depth), the setting "4:2:2 YCbCr (UYUV)" is used as
output format. The processing mode (Video-\>) is set to "Full processing
mode".
The tools and scripts may be downloaded at:\
Tools/Approved/ directory on <ftp://mmpretest@132.163.64.167/>
## AviSynth Scripts for the common transformations {#avisynth-scripts-for-the-common-transformations .unnumbered}
**PAL to QCIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,576,\"UYVY\")
AssumeFPS(25)
KernelDeint(order=1)
crop(38,0,644,576)
LanczosResize(176,144)
**PAL to CIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,576,\"UYVY\")
AssumeFPS(25)
KernelDeint(order=1)
crop(8,0,702,576)
LanczosResize(352,288)
**PAL to VGA**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,576,\"UYVY\")
AssumeFPS(25)
KernelDeint(order=1)
crop(38,0,644,576)
LanczosResize(640,480)
**NTSC to QCIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,486,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=0)
crop(36,3,-38,-3)
LanczosResize(176,144)
**NTSC to CIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,486,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=0)
crop(36,3,-38,-3)
LanczosResize(352,288)
**NTSC to VGA**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",720,486,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=0)
crop(8,3,704,480)
LanczosResize(640,480)
**HD720 to QCIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1280,720,\"UYVY\")
AssumeFPS(30)
crop(200,0,880,720)
LanczosResize(176,144)
**HD720 to CIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1280,720,\"UYVY\")
AssumeFPS(30)
crop(200,0,880,720)
LanczosResize(352,288)
**HD720 to VGA**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1280,720,\"UYVY\")
AssumeFPS(30)
crop(160,0,960,720)
LanczosResize(640,480)
**HD1080 to QCIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1920,1080,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=1)
crop(300,0,1320,1080)
LanczosResize(176,144)
**HD1080 to CIF**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1920,1080,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=1)
crop(300,0,1320,1080)
LanczosResize(352,288)
**HD1080 to VGA**
SetMemoryMax(100)
RawSource(\"c:\\calmob.yuv\",1920,1080,\"UYVY\")
AssumeFPS(30)
KernelDeint(order=1)
crop(240,0,1440,1080)
LanczosResize(640,480)
## UYVY Raw to UYVY AVI {#uyvy-raw-to-uyvy-avi .unnumbered}
These tools convert raw uncompressed UYVY 4:2:2 files to uncompressed
UYVY AVI files. The following tools are available:
**AviSynth,VirtualDub, ffdshow**
Use the procedure described in "Transformation of source test sequences
to UYVY AVI files" without performing the cropping and resizing step
within the AviSynth script.
*The following tools are not approved in the MM test plan:*
**SwissQual**
Tools/SwissQual/Conversion_Tools/UYVYIntoAVI/ directory on
<ftp://mmpretest@132.163.64.167/>
**NTIA**
The "Laboratory VQM" tool available from NTIA has this capability. The
UYVY AVI output file is limited to 2GB (AVI Version 1.0). This tool may
be obtained at:
<http://www.its.bldrdoc.gov/n3/video/vqmsoftware.htm>
## UYVY Raw to RGB AVI {#uyvy-raw-to-rgb-avi .unnumbered}
These tools convert raw uncompressed UYVY files to uncompressed RGB AVI
files. The following tools are available:
**AviSynth,VirtualDub**
Use the procedure described in "Transformation of source test sequences
to UYVY AVI files" without performing the cropping and resizing step
within the AviSynth script and save the file as described next.
Within VirtualDub, video sequences will be saved to AVI files using
Video Compression option (Video\
-\>Compressor) \"Uncompressed RGB/YCbCr\". For the Color Depth
(Video-\>Color Depth), the setting "24 bit RGB (888)" is used as output
format. The processing mode (Video-\>) is set to "Full processing mode".
*The following tool is not approved in the MM test plan:*
**SwissQual**
Tools/SwissQual/Conversion_Tools/UYVYToAVI/ directory on
<ftp://mmpretest@132.163.64.167/>
## RGB AVI to UYVY AVI {#rgb-avi-to-uyvy-avi .unnumbered}
These tools convert uncompressed RGB AVI files to uncompressed UYVY AVI
files using the agreed color space conversion in section 6.1.3. The
following tools are available:
**VirtualDub, ffdshow**
The RGB Avi file will be loaded into VirtualDub (File-\>OpenVideoFile)
and then saved according the following steps.
Within VirtualDub, video sequences will be saved to AVI files using
Video Compression option (Video\
-\>Compressor) \"ffdshow Video Codec\", configured with the
\"Uncompressed\" decoder and the UYVY color space. For the Color Depth
(Video-\>Color Depth), the setting "4:2:2 YCbCr (UYUV)" is used as
output format. The processing mode (Video-\>) is set to "Full processing
mode".
*The following tool is not approved in the MM test plan:*
**SwissQual**
Tools/SwissQual/Conversion_Tools/RGBtoYUV/ directory on
<ftp://mmpretest@132.163.64.167/>
## Processing and Editing Sequences {#processing-and-editing-sequences-1 .unnumbered}
Two capture methods have been approved and descried in chapter 6.3.9.
The tools will intercept RGB video being sent to a computer monitor and
saves this video to an uncompressed AVI file.
**SwissQual**
Free demonstration system for capturing streaming media (the full
version can be bought from SwissQual):
Tools/SwissQual/Capturing/ directory on on
<ftp://mmpretest@132.163.64.167/>
The full system is capable of capturing QuickTime, Real Media, and
Windows Media streams and includes a Media Server. The tool captures the
image shown on the monitor, or more precisely from the memory (space)
that Windows sends to the graphics card. A frame is captured only if new
data is available. That is why there is a file created that contains the
variable frame rate information. Please see:
Tools/SwissQual/VQEG_SQ_Capturing_Sequences_V2.pdf on
<ftp://mmpretest@132.163.64.167/>
To meet the desired VQEG file format definitions, the captured video
data must be converted to constant frame rate and from RGB to YUV. These
conversions are already implemented in the full version of the capturing
tools.
Please contact Pero Juric (<pero.juric@swissqual.com>) for any further
information.
**NTT**
PIFREC 1.0 (Lossless PC Video & Voice Recorder). The PC capture system
uses a capture board to receive the signals passed from a PC to its
monitor, without adding any processing load to the PC, and stores them
while retaining high video quality.
More Information about PIFREC can be found at:
<http://www.ntt-at.com/products_e/pifrec/index.html>
Please contact Mr. Takawo Adachi (<at-hama@ntt-at.co.jp>) for any
further information.
*The following tool is not approved in the MM test plan:*
**Linux**
These capture tools consist of a set of Linux system libraries that
hijack the output of various players. The captured video data as well as
a file with time stamps is saved to the disk. The tools developed by
Marcus Barkowski from the University of Erlangen are available at this
location:
Tools/playout_capure.tgz on <ftp://mmpretest@132.163.64.167/>
## Calibration {#calibration .unnumbered}
These tools verify that the processed video sequences meet the
calibration limits (e.g., temporal shifts, spatial shifts, spatial
scaling, gain and level offset) specified by the test plan.
*The following tool is not approved in the MM test plan:*
**NTIA**
The "Laboratory VQM" tool available from NTIA has the ability to
estimate spatial registration, temporal registration, and gain/level
offset. This tool may be obtained at:
<http://www.its.bldrdoc.gov/n3/video/vqmsoftware.htm>
## UYVY Decoder to UYVY Raw / UYVY AVI {#uyvy-decoder-to-uyvy-raw-uyvy-avi .unnumbered}
This tool intercepts UYVY video from a video decoder (before being
converted to RGB for monitor display) and saves this video to a UYVY Raw
or UYVY AVI file.
*The following tools are not approved in the MM test plan:*
The following video decoders output some form of uncompressed YUV video
and hence RGB color space conversions can be avoided:
------------------------- ---------------------------------------------------- ---------------------------
**Tool** **Web Resources** **Output Format**
MPEG-2 Reference Codec [www.mpeg.org](http://www.mpeg.org/) Outputs YUV 4:2:2 and YUV
4:2:0
MainConcept MPEG-2 Codec [www.mainconcept.com](http://www.mainconcept.com/) Since the MainConcept
decoder is a DirectShow
filter, its output can be
an AVI file. DirectShow
filter outputs a range of
YUV formats in addition to
RGB.
H.264 (AVC) Joint Video Outputs YUV 4:2:0
Team (JVT) Reference
Codec
MainConcept H.264 codec [www.mainconcept.com](http://www.mainconcept.com/) Outputs a range of YUV
formats
------------------------- ---------------------------------------------------- ---------------------------
## Notes {#notes .unnumbered}
VirtualDub is also capable of saving UYVY AVI files without using
ffdshow. The following settings are used to get correct results.
*The following procedure is not approved in the MM test plan:*
Within VirtualDub, video sequences will be saved to AVI files using
Video Compression option (Video-\>Compressor) \"Uncompressed
RGB/YCbCr\". For the Color Depth (Video-\>Color Depth), the setting
"4:2:2 YcbCr (UYUV)" is used as output format. The processing mode
(Video-\>) is set to "Full processing mode".
ANNEX IX
Definition and Calculating Gain and Offset in PVSs
Before computing luma (Y) gain and level offset, the original and
processed video sequences should be temporally aligned. One delay for
the entire video sequence may be sufficient for these purposes. Once the
video sequences have been temporally aligned, perform the following
steps.
Horizontally and vertically cropped pixels should be discarded from both
the original and processed video sequences.
The Y planes will be spatially sub-sampled both vertically and
horizontally by the following factors: 16 for VGA, 8 for CIF and 4 for
QCIF. This spatial sub-sampling is computed by averaging the Y samples
for each block of video (e.g., for VGA one Y sample is computed for each
16 x 16 block of video). Spatial sub-sampling should minimize the impact
of distortions and small spatial shifts (e.g., 1 pixel) on the Y gain
and level offset calculations.
The gain (*g*) and level offset (*l*) are computed according to the
following model:
$\underline{P} = g\underline{O} + l$ (1)
where *[O]{.underline}* is a column vector containing values from the
sub-sampled original Y video sequence, *[P]{.underline}* is a column
vector containing values from the sub-sampled processed Y video
sequence, and equation (1) may either be solved simultaneously using all
frames, or individually for each frame using least squares estimation.
If the latter case is chosen, the individual frame results should be
sorted and the median values will be used as the final estimates of gain
and level offset.
Least square fitting is calculated according the following formula:
*g* = ( *R~OP~* -- *R~O~R~P~* )/( *R~OO~* -- *R~O~R~O~* ), and (2)
*l* = *R~P~* - *g* *R~O~* (3)
where *R~OP,\ ~*R~OO,~ R~O~ and R~P~ are:
*R~OP~* = (1/*N*) Σ *O*(*i*) *P*(*i*) (4)
*R~OO~* = (1/*N*) Σ \[*O*(*i*)\]^2^ (5)
*R~O~* = (1/*N*) Σ*O*(*i*) (6)
*R~P~* = (1/*N*) Σ *P*(*i*) (7)
[^1]: Test laboratories can keep data from invalid viewers if they
consider this to be of valuable information to them but they must
not include them in the VQEG data.
[^2]: This will allow conducting an ACR experiment within 1 hour,
including practice clips and a comfortable break during the
experiment.
[^3]: Note that the term 'block' does not refer to a visual degradation
such as blocking errors (or blockiness) but refers to errors in the
transport stream (transport blocks).
| en |
all-txt-docs | 200515 | ST MEETING 23 June, Forecast for 24 June - DOY 175
ST meeting 0623 Monday
Meteo outlook
DAY N+1, N+2
For the next two days no changes are expected. In the upper levels continues the weak
flow over the area, and in the lower, the anticyclone with 1028 Hpa is centered over
Azores, dominating the ACE-2 area. This results in winds around 15 kts from the N in
the North part of the area, and around 17 kts from the NE in the southern part.
Clouds range from small scattered cumuli SE of Sagres, broken cumulus in the middle
of the area to broken layers of stratocumulus North of Tenerife. Clear sky over Sagres
and probability of drizzle over North of Tenerife. Clean and subsiding flow over the
whole area. The top of the clouds can raises lightly.
DAY N+3, N+4
Although a new low is over England and the anticyclone center is between Island and
Azores, it doesn't affect the ACE-2 area, and the weather expected is similar to the last
days. Clear sky over Sagres, small scattered cumuli SE of Sagres, broken cumulus in
the middle of the area and broken layers of stratocumulus North of Tenerife. Probability
of drizzle over North of Tenerife. Clean and subsiding flow over the whole area. NE
winds around 15 kts.
Operations
Today
1. Pelican to performed CLEARCOLUMN (Task 1.3). Now have performed
sufficient clear air profiles including
- nepholometry-size distribution closure studies
- observations of nucleation
- optical depth measuremnets
2. C130 on the ground. MRF presented qualitative observations S of
Islands.
Compared to N. of Islands there were equal PCASP readings, higher total
particle conc., higher
cloud droplet conc. More quantitative analysis follows.
3. Ship steamed from mid race track to 200 km S of Sagres. Has
encountered transition
clean to polluted air mass
Tuesday
4. C130 has engine problem which will be repaired only in the afternoon.
5. ST proposes to proceed with clear LAGRANGIAN between SO5 and ship,
without C130
and WITHOUT releasing the tetroon. Ship at 35N00' 9W00' (best according
to forecasted traj.)
until 12.00 UTC. Then go back on racetrack to characterize the
anthropogenic plume.
6. Pelican on the ground
7. Merlin to do FSSP intercomp. with MRF,Citation and Merlin FSSP's.
Wednesday
7. Start for full LAGRANGIAN will depend on how polluted and how
homogeneous the plume
is found to be by the ship | en |
converted_docs | 023275 | **A**
**acceleration**
> the rate at which an object's velocity changes with time
**active vibration isolation**
> see **vibration isolation - active**
**aliasing**
> a computational artifact inherent in all digital signal processing
> which has been preceded by an analog-to-digital conversion; it occurs
> when sampling an analog signal at points further apart than 1/(2B),
> where B is the bandwidth (in Hertz) of the signal being sampled,
> resulting in high frequency data content manifesting itself as errors
> at low frequencies; the only practical way to avoid aliasing errors in
> digital signal processing is by removing (e.g. by filtering) data with
> spectral content above the highest frequency of interest prior to the
> analog-to-digital conversion
**analog signal**
> a signal defined over all time with infinite precision; a
> continuous-time, continuous-amplitude signal
**anti-alias filtering**
> lowpass filtering of an analog signal to reduce the effects of
> aliasing
**ARIS**
Active Rack Isolation System for the International Space Station
**ASTRE**
> Accelerometre Spatiale Triaxiale Electrostatique sensor of the
> Microgravity Measurement Assembly
**atmospheric drag**
> deceleration of a vehicle caused by friction (drag) with the
> atmosphere
**attenuation**
> a measure of motion transmitted between two systems defined as the
> ratio of the isolated system motion to the support structure motion
**attitude maintenance**
> a condition of an orbital vehicle in which attitude control is
> maintained
**B**
**body coordinate system**
> a right-handed, orthogonal coordinate system with the +Xb axis
> extending forward (through the Orbiter nose) and the +Zb axis
> extending downward through the Orbiter belly; the +Yb axis extends to
> starboard
# C
**center of gravity**
> the balance point of an object in a steady gravitational (or
> acceleration) field
**center of mass**
> the centroid of the distributed mass of an article (e.g., a
> spacecraft)
**Control Unit (CU)**
> the central component of the SAMS-II instrument on the ISS
**cumulative RMS acceleration vs. frequency**
> a plot of the cumulative root-mean-square acceleration versus
> frequency quantifies the contributions of spectral components at and
> below a given frequency to the overall root-mean-square acceleration
> level for the time frame of interest
**cutoff frequency (f**c**)**
> frequency above which filtering is performed; highest frequency of
> interest
## D
**DC**
> electrical acronym for Direct Current that has been generalized to
> mean average or steady value
**deadband**
> allowable angular displacement from the desired flight mode, usually
> between 0.5 and 3 degrees; thruster firings are required for attitude
> control when the carrier exceeds the deadband
**digital signal**
> a signal defined only at sampling times with finite precision; a
> discrete-time, discrete-amplitude signal
**discrete Fourier transform (DFT)**
> discrete-time implementation of Fourier transform (see **Fourier
> transform**)
**dither**
> vibration employed in some mechanical systems to avoid stiction and to
> ensure smooth motion
**drop facility**
> research facility that creates a microgravity environment by
> permitting experiments to freefall through an enclosed vertical tube
> or shaft
## E
**encoding**
> assigning unique (binary) codes to quantized samples
**ergometer**
> a bicycle-type device used by crew members to maintain their physical
> fitness during a mission by means of pedaling
## F
**fast Fourier transform (FFT)**
> discrete-time implementation of Fourier transform that speeds
> computation when an integer power of two number of points is used (see
> **Fourier transform**)
**flight mode**
> attitude of the carrier with respect to the earth; expressed in terms
> of the Orbiter body axes, local vertical and velocity vector, e.g.,
> -ZLV,+YVV
**Fourier transform**
> a mathematical transform which resolves a time series into the sum of
> a DC (average) component and a series of sinusoids of different
> amplitude and frequency
**free drift**
> a condition of an orbital vehicle in which attitude control is
> disabled
**free-flyer**
> an unmanned orbiting spacecraft
**frequency resolution (**∆**f)**
> spacing in frequency between consecutive data points; limits ability
> to resolve adjacent spectral peaks (note dF=∆f)
**fundamental frequency**
> the lowest (base) frequency of a signal
## G
**g**
> an acceleration equal to Earth's gravitational acceleration at sea
> level (nominally 9.8 m/sec2)
**g-jitter**
see **microgravity environment**
**g-LIMIT**
> GLovebox Integrated Microgravity Isolation Technology microgravity
> vibration isolation system for the Microgravity Science Glovebox;
> developed by McDAC and NASA MSFC
**g vs. time plot**
> a two-dimensional graph, which shows acceleration magnitude versus
> time
**gravity gradient effects**
> the residual acceleration imposed by an off-center of mass location on
> an orbiting vehicle
## H
**harmonic**
> a frequency which is an integer multiple of the fundamental frequency
**HiRAP**
> High Resolution Accelerometer Package, an accelerometer managed by
> NASA JSC for use on the International Space Station as a component of
> MAMS
## I
**Interim Control Unit (ICU)**
> an initial central component of the SAMS-II instrument on the ISS
**International Space Station (ISS) Program**
> a cooperative venture between international partners to build a large
> orbiting laboratory in space
**interval average**
> a calculation method which averages a time interval of data points and
> produces one average value for the time interval
## J
**Japanese Experiment Module (JEM)**
> a module to be provided by NASDA for the ISS
##
## K
**Ku band antenna**
a communication antenna attached to the forward wall of the Shuttle
cargo bay; this antenna typically operates with a 17 Hz dither vibration
### L
**life support systems**
> collection of pumps, valves, fans, etc. to provide circulation of
> vital materials (e.g. air, water) to the crew and other living
> organisms in an orbital spacecraft
**LV / LH / VV**
> local vertical, local horizontal, velocity vector; these may be used
> in specifying the attitude of an orbital vehicle
## M
**MAMS**
> Microgravity Acceleration Measurement System, an accelerometer managed
> by NASA JSC for use on the International Space Station
**mg (milli-g)**
> an acceleration equal to one-thousandth of Earth's gravitational
> acceleration at sea level
**µg (micro-g)**
> an acceleration equal to one-millionth of Earth's gravitational
> acceleration at sea level
**microgravity environment**
> an environment in which the effects of gravity are small compared to
> those experienced on Earth; a complex combination of accelerations
> typically present on an orbiting spacecraft or ground-based carrier
> (such as drop facility, parabolic flight aircraft, or sounding
> rocket); comprised of quasi-steady, oscillatory, and transient
> accelerations; historically referred to as g-jitter and residual
> acceleration; also not zero-gravity
**middeck**
> center deck of the Shuttle crew compartment which provides crew
> accommodations and contains three avionics equipment bays; small
> payloads may be accommodated in the middeck
**MIM**
> Microgravity Isolation Mount vibration isolation system developed by
> the Canadian Space Agency
**Mir Space Station**
> Russia's space station launched February 20, 1986; its name means
> peace or world in Russian; it is a manned, modular, permanent, and
> multi-mission station
**mission elapsed time (MET)**
> time basis for Shuttle missions; MET begins at zero days, zero hours,
> zero minutes, zero seconds at the time of Shuttle lift-off at launch
**MMA**
> Microgravity Measurement Assembly, an accelerometer managed by
> ESTEC/ESA for use on the Shuttle
**MMD**
> Microgravity Measuring Device, an accelerometer managed by NASA JSC
> for use on the Shuttle
**MPESS**
> Mission Peculiar Equipment Support Structure; experiment carrier
> mounted in the Shuttle cargo bay
## N
**NASDA**
> National Space Development Agency of Japan; Japan's space agency
**Nyquist criteria**
> sampling rate must be at least twice that of the highest frequency
> contained in the signal of interest
**Nyquist frequency (f**N**)**
> highest resolvable frequency; half the sampling rate (fN = fs/2)
## O
**OARE**
> Orbital Acceleration Research Experiment, a low-frequency
> accelerometer managed by NASA Glenn for use on Shuttle
**one third octave band RMS acceleration vs. frequency**
> a plot of one third octave band root-mean-square acceleration versus
> frequency that quantifies the spectral content in proportional
> bandwidth frequency bands for a given time interval of interest (100
> seconds for ISS vibratory requirements)
**Orbital Acceleration Research Experiment (OARE)**
> an accelerometer managed by NASA Glenn for use on Shuttle; measures
> acceleration in the quasi-steady regime
**Orbital Maneuvering System (OMS)**
> provides the thrust for orbit insertion, orbit circularization, orbit
> transfer, rendezvous, de-orbit, launch abort to orbit and launch abort
> once around
**Orbiter**
> a component of the National Space Transportation System (NSTS);
> individual vehicles are known by their Orbiter Vehicle (OV) numbers
> (e.g. OV-105); commonly referred to as the Shuttle (see **Space
> Shuttle**)
**oscillatory**
> a signal that varies above and below a mean value; acceleration
> components which are periodic in nature; for microgravity
> applications, accelerations with a frequency greater than 0.01 Hz;
> sources of oscillatory accelerations include: structural resonance,
> machinery operation, and crew activity
## P
**parabolic flight aircraft**
> research aircraft which creates microgravity conditions by flying a
> parabolic trajectory; about 40 periods of 15 to 20 seconds of
> microgravity can be flown during a single flight
**Parseval's theorem**
> equivalence between the root-mean-square value computed from the time
> domain signal to that computed from the frequency domain by taking the
> square root of the integral of the power spectral density
**passive vibration isolation**
> see **vibration isolation - passive**
**performance**
> a measure of how well a system achieves specified goals
**power spectral density (PSD)**
> a function that quantifies the distribution of power in a signal with
> respect to frequency
**Primary Reaction Control System (PRCS)**
> the RCS normally used for Shuttle maneuvers; PRCS jets provide 870
> pounds of vacuum thrust each
**Principal Component Spectral Analysis (PCSA)**
> a variation of spectral averaging and spectrogram analyses, which
> employs a peak detection algorithm to accumulate magnitude and
> frequency values of dominant or persistent spectral contributors and
> display them via a 2-D histogram
**Principal Investigator Microgravity Services (PIMS)**
> a project at NASA Glenn which analyzes microgravity environment data
> to support Principal Investigators and to characterize the
> microgravity environment of microgravity carriers
## Q
**QSAM**
> Quasi-Steady Acceleration Measurement, an accelerometer managed by DLR
> for use on the Shuttle and FOTON free flyer
**quantization**
> digitization; converting discrete-time, continuous-amplitude signal to
> discrete-time, discrete-amplitude signal
**quasi-steady**
> acceleration components which are unchanging or change very slowly;
> for microgravity applications, typical variations occurs on the order
> of an orbital period or more (approximately 90 minutes); sources of
> quasi-steady accelerations include aerodynamic drag, gravity gradient
> effects, and rotational effects
**Quasi-steady Three-dimensional Histogram (QTH)**
> a histogram technique which shows the variation of three dimensional
> accelerations in three two-dimensional plots
## R
**rack level isolation**
> the application of isolation to an entire rack structure; this is the
> standard design approach for the International Space Station
**Reaction Control System (RCS)**
> provides the thrust for Shuttle attitude (rotational) maneuvers
> (pitch, yaw and roll) and for small velocity changes along the orbiter
> axis (translation maneuvers)
**reference frame**
> a location against which an object\'s changes in position are
> observed; a set of lines or surfaces used for defining coordinates
> that define positions, directions, velocities, etc.
**residual acceleration**
> see **microgravity environment**
**RTS-EE**
> remote triaxial sensor head - electronics enclosure (SAMS-II)
**RTS-SE**
> remote triaxial sensor head - sensor enclosure (SAMS-II)
## S
**sample rate (f**s**)**
> rate at which analog signal is sampled (samples per second)
**sampling**
> discretization; converting an analog signal to a discrete-time,
> continuous-amplitude signal
**SAMS**
> Space Acceleration Measurement System, an accelerometer managed by
> NASA Glenn for use on Shuttle, Mir, and KC-135
**SAMS-FF**
> SAMS for Free Flyers, an accelerometer managed by NASA Glenn for use
> on sounding rockets, Shuttle, and KC-135
**SAMS-II**
> a second generation SAMS, an accelerometer managed by NASA Glenn for
> use on the ISS
**SIMO water dump**
> an action taken by the Shuttle when waste water and supply water are
> simultaneously vented out the port side of the fuselage
**smearing**
> an obscuring of the exact nature of frequency domain data, that
> results from the spectral averaging of non-stationary data
**sounding rocket**
> rocket which follows suborbital, parabolic path; used by microgravity
> researchers to achieve several minutes of reduced gravity conditions
**Space Shuttle**
> also known as the National Space Transportation System (NSTS) and
> Space Transportation System (STS); this system is composed of the
> Orbiter vehicles, the external tank, and the solid rocket boosters
**SPACEHAB module**
> a commercial pressurized laboratory module carried in the Shuttle
> cargo bay with shirt-sleeve working conditions for the crew
**Spacelab module**
> pressurized laboratory module carried in the Shuttle cargo bay with
> shirt-sleeve working conditions for the crew
**spectral averaging**
> averaging of power spectral densities (Welch\'s method) as a means of
> noise suppression
**spectral leakage**
> a by-product of convolution that limits ability to resolve
> closely-spaced spectral peaks
**spectrogram plot**
> a two-dimensional graph, which shows power spectral density magnitude
> (as color) versus frequency versus time; In other words, it displays
> how the power spectrum varies with time
**stability margin**
> a measure of how much uncertainty or variation can be tolerated with
> system stability maintained
**STABLE**
> Suppression of Transient Accelerations By LEvitation microgravity
> vibration isolation system developed by McDAC
**station keeping**
> see **attitude maintenance**
**structural coordinate system**
> a right-handed, orthogonal coordinate system with the +X0,axis
> extending aft (through the Orbiter tail) and the +Z0 axis extending
> upward out of the Orbiter payload bay; the +Y0 axis extends to
> starboard
**structural (natural) frequency**
> the lowest resonant frequency of a mechanical system
**sub-rack level isolation**
> the application of isolation to a specific payload within a rack or
> some other configuration
**supply water dump**
> an action taken by the Shuttle when supply water is vented out the
> port side of the fuselage
**T**
**Telescience Support Center (TSC)**
> a user's operation center remote from but connected to a primary
> operations center; full voice communication and mission video and data
> are available in a TSC
**temporal resolution (dT)**
> spacing in time between consecutive PSDs on a spectrogram; limits
> ability to resolve temporal changes (note dT does not equal ∆t)
**tolerance criterion**
> least stringent environment specification which will allow a
> successful experiment to take place; in this context, it is given in
> terms of the level of acceleration, including its maximum and/or
> minimum magnitude, orientation, frequency, duration, etc.
**transient**
> acceleration disturbances which are impulsive (short duration, high
> amplitude) in nature; sources of transient accelerations include:
> thruster firings, crew activity, and docking
**transmissibility function**
> the transfer function that relates the magnitude of the acceleration
> (or position) response of a system to the acceleration (or position)
> of the support structure
**treadmill**
> an exercise device used by crew members to maintain their physical
> fitness during a mission by means of walking and running
**trim mean filter (a.k.a. trimmean filter, trimmed mean filter)**
> a filtering technique typically applied to low frequency data which is
> intended to mitigate the effects of higher amplitude, higher frequency
> accelerations
## U
**Utilization Flight (UF)**
> a Shuttle mission to the ISS which carries re-supply material and/or
> experiment apparatus
## V
**Vernier Reaction Control System (VRCS)**
> the RCS are normally used for finite maneuvers and station keeping
> (long-time attitude hold); VRCS jets provide 24 pounds of vacuum
> thrust each
**vibration isolation**
> the reduction of vibration transmitted to/from an object from/to the
> surrounding structure
**vibration isolation - active**
> the use of active mechanical devices such as motors, actuators, and
> sensors, to reduce the transmission of vibrations by applying forces
> to cancel the measured motion
**vibration isolation - passive**
> the use of passive mechanical devices such as springs and dampers to
> reduce the transmission of vibrations
## W
**waste water dump**
> an action taken by the Shuttle when waste water is vented out the port
> side of the fuselage
## X
**X**b**, Y**b**, Z**b
> components of the Orbiter body coordinate system (see **body
> coordinate system**)
**X**0**, Y**0**, Z**0
> components of the Orbiter structural coordinate system (see
> **structural coordinate system**)
## Y
### Z
**zero-gravity or zero-g**
> term historically used to describe the effect of the severely reduced
> gravity environment in a microgravity carrier, such as an orbiting
> spacecraft or a drop tower (see **microgravity environment**)
>
> ***NUMERIC***
**3-DMA**
> Three Dimensional Microgravity Accelerometer, an accelerometer managed
> by the University of Alabama in Huntsville for use on the Shuttle and
> sounding rockets
| en |
all-txt-docs | 237899 | 236 Of /* NATIVES of
more that of the *Tungufi9 thank the Kamtfchadales. Though
they are o little regardful of uniformity in their own country
cloathing, they are very proud to acquire fuch as are made of
cloth, ferge, or filk, particularly tfaofe of a fcarlet colour; but
fo little care do they take of them when they have got them,
that they will wear them when employed about the dirtieft
work.
Their huts are much the fame as thofe of the Kamtfchadales,
only they keep them a little cleaner, covering generally the floor
and walls with mats made of grafs. They feed for the moft part,
upon lea animals, and very little upon fih.
They are as ignorant of a deity as the Kamtfchadaks. In
their huts they have idols made of chips or fhavlngs curioufly
curled. Thele idols they call Ingool, and are faid to venerate
them in fbme degree, but whether as good or evil fpirits I
never could learn. They facrifice to them the firft animal
whic|i they catch, eating the flefli themfelves, they hang up the
Hun before the image % and when they change their huts they leave
the ilyn and the idol there. If they make any dangerous voyage
they take their idol along with them> which, in cafe of imminent
danger, they throw into the fea, expecting by this method toi
pacify the ftorm $ and with this prote&or they think themfelves*
jafe in all their excurfions.
They travel in the fummer time in boats, in the winter in
fiiow hoes. The men are employed in catching of fea animals^
the women in fewing, during the winter $ but in the fummer
they go out with their hufbands to hunt.
They are more civilized than the neighbouring people,
being fteady honeft, and peaceable j their way of ipeaking is
feft and modefts they have a relpedt for old people, aad an
aflc<3ion for each other, particularly their relations. It is a
pleafore to fee with what hofpitality they receive fuch as
come to vifit them from other iflands: thofe that come in
boats, | en |
markdown | 564860 | # Presentation: 564860
## ENVIRONMENTAL MONITORING AT EDWARDS AFB Environmental Management
- Dr. Danny C. Reinke
- TYBRIN, Corporation
## The Natural Edwards AFB
**The Natural Edwards AFB**
## Types of Monitoring
- Compliance: Has the contract for restoration work been completed as agreed?
- Efficacy: Has the work produced the intended change in particular conditions?
- Validation: Has restoration achieved the overarching goals of reversing the decline in DT numbers/increasing DT abundance?
## Monitoring - Not Just an Academic Exercise
- Helps us learn which management practices work and which do not
- Will provide evidence of the benefits of restoration work
- Will provide information reflecting increase, decrease, or no change
- Insures compliance with BOs
- Is an essential aspect of adaptive management
## True Monitoring Requires A Sound Scientific Base
- Monitoring is not the same as mere data collection
- Must be based on scientifically valid methodologies
- Must serve objectives of sound quantitative plan
## Area of Influence Map
**Lancaster**
**Palmdale**
**Tehachapi**
**California City**
**Inyokern**
**Bakersfield**
**Santa Clarita**
**Mojave**
**Barstow**
**Adelanto**
**Victorville**
**San Bernardino**
**Rosamond**
**75 miles**
**CALIFORNIA**
**NEVADA**
**Los Angeles**
**North Edwards**
**Ridgecrest**
## Edwards AFB,
- Figure 2-1
**Edwards AFB,**
**California**
**Vicinity Map**
**KEY MAP**
**Lancaster**
**Palmdale**
**Rosamond**
**California City**
**Boron**
**Adelanto**
**Mojave**
**North**
**Edwards**
**58**
**395**
**Tehachapi**
**Santa Clarita**
**Barstow**
**Apple**
**Valley**
**Victorville**
**Lake**
**Los Angeles**
**120th St E**
## EDWARDS TODAY. . .
**BASE**
**WEST RANGE**
**PB-6 RANGE**
**MAIN**
**FAMILY**
**HOUSING**
**NASA**
**ROSAMOND**
**DRY LAKEBED**
**ROGERS**
**DRY**
**LAKEBED**
**PHILLIPS**
**LAB**
**NORTH**
**BASE**
**SOUTH**
**BASE**
**EAST RANGE**
**D.C.**
**DULLES INTL.**
**AIRPORT**
**HERNDON**
**FAIRFAX**
**FALLS**
**CHURCH**
**PARK**
**ANDREWS**
**AIR FORCE**
**BASE**
**GREENBELT**
**MILES**
**0**
**5**
**10**
**MOJAVE**
**LANCASTER**
**PALMDALE**
***EDWARDS TODAY. . .***
*** ****** ******Relative Size***
***ROSAMOND***
**Notes:**
Emphasize the vast land mass
remoteness is good from a security perspective
Emphasize remoteness from life's essentials
40 minutes form major population centers
As military presence diminishes we must protect the quality of life for our members who live on the installation
## Even in the Desert!
***Even in the Desert!***
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
**Edwards AFB Approach****Monitoring Data – Adaptive Management Info**
- MODIFY DATA
- GATHERING
- PREDICTIVE MODELS,
- MAPS, RESTORAION
- EFFORTS,
- EVALUATION OF
- TECHNIQUES,
- ETC
- DEVELOP TOOLS
- BASED ON
- HISTORIC LAND
- USE, VEGETATION
- CHANGES, ETC
- MONITORING OF VITAL SIGN
- KEY INDICATIORS
- IDENTIFY VITAL
- SIGN INDICATORS
- REMOTE SENSING
- FIELD METHODS
- ADAPTIVE MANAGEMENT
- DECISION SUPPORT
- STEP 2
- STEP 3
- STEP 4
- STEP 5
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
## ITAM - GIS Core Layers By Type
**General**
- Installation Boundary
- Political Boundary
- County Boundary
- City Boundary
- Zoning Boundary
- Recreation Areas
- Roads
- Roads by Type
- Roads with bridge class
- Culverts with classification
- Railroads
- Number of Rail Spurs
- Number of Cars per Spur
- Firebreaks
- Firebreaks surface Type
- Firebreak widths
- Firebreak Maintenance
- Aerial Photography
- Horizontal Control Points
- Grid Scale
- UTM Grid
- Contours
- Digital Elevation Model
**Environmental**
- Ag-Leasing
- Soils
- Surface Hydrology
- Surface Streams/Rivers
- Surface Lakes
- Surface Wetlands
- Vegetation Cover
- Endangered Species Sites
- Endangered Species Type
- Erosion Control Structures
- LRAM Projects
- LRAM Type
- Archeological Sites
- Cultural Sites
- Cemeteries
- LCTA Plot Sites
- LCTA Plot Type
- LCTA Monitoring Plots
## ITAM - GIS Core Layers By Type
- DZ/LZ/PZ
- OP Lines of Visibility
- OP Linked to Fire Points
- Air Corridors
- No Overflight Areas
- MOAs
**Public Works**
- Towers/Antennas
- Towers/Antennas Heights
- Utility/Powerlines
- Utility/Powerline Heights
- Utility/Powerline Depth
**EXAMPLES -FOLLOW**
**Training Examples**
- Range/Training Facilities
- Facility Category Group (FCG) Description
- Category Code
- Category Code Description
- Number of Lanes
- Left/Right Firing Limits
- Safety Fans/SDZ
- Artillery/Mortar Positions
- FP Munitions Acceptable
- FP Survey Points
- Training Area Boundaries
- Land Navigation Courses
- Hardened Training Sites
- Prepared Field POL Sites
- Dudded Impact Areas
- Non-Dudded Impact Areas
- Non-Dudded Buffer Zones
- Stream Crossings (STC) /Fords
- STC Unimproved
**ITAM - GIS Core Layers By Type**
## Air Quality Districts
- Hwy 14
- Hwy 58
- Hwy 395
- Air Quality Districts
## Desert Tortoise Critical Habitat
- Hwy 14
- Hwy 58
- Hwy 395
- Int-5
- Rt. 62
- Rt. 95
- Rt. 10
- Rt. 15
- California
**Nevada**
- California
- Arizona
- Arizona
**Nevada**
## Regional Desert Tortoise Critical Habitat
## Regional Vegetation Types
**13**
**13**
**13**
**12**
**12**
**12**
**3**
**3**
**3**
**3**
**13**
**13**
**13**
**13**
**4**
**2**
**11**
**1**
**3**
**4**
**5**
**6**
**7**
**8**
**9**
**10**
**12**
**13**
**14**
**15**
**16**
**17**
**18**
## Edwards AFB Detailed Vegetation Map
**Edwards AFB Detailed Vegetation Map**
## Plant Species of Concern
## Rare and Sensitive Habitats
- Rosamond Blvd
- Lancaster Blvd
- Rich Rd
- Mercury Blvd
- Hwy 14
- Hwy 58
- Hwy 395
## Floodprone Areas
- Rosamond Blvd
- Mercury Blvd
- Mojave Blvd
- Rich Rd
- Lancaster Blvd
- Hwy 395
- Hwy 58
- Hwy 14
## Surface Water Drainage Basins (Watersheds)
**S**
**A**
**J**
**N**
**Q**
**I**
**F**
**P**
**G**
**C**
**B**
**O**
**H**
**D**
**E**
**K**
**L**
**M**
**R**
- A Mojave-Soledad Mountain H Buckhorn Lake Sink O El Mirage-Leuhman Ridge
- B Tropico Hills-Rosamond Hills I Big Rock Wash N Boron P Kramer Junction
- C Rosamond Hills-Bissell Hills J Rogers Lake Sink Q Haystack Buttes
- D Oak Creek-Cottonwood Creek K Castle Butte R Red Buttes-Shadow Mountain
- E Fairmont L Peerless Valley S Muroc Junction
- F Rosamond Lake Sink M Randsburg T Portal Ridge-Amargosa
- G Little Rock Creek N Boron Creek-Palmdale Ditch
**T**
- Lancaster Blvd
- Rosamond
- Blvd
- Mercury Blvd
- Rich Rd
**Watersheds**
- Hwy 395
- Hwy 58
- Hwy 14
- Drainage Divide
## 20-foot Contour Interval
**20-foot Contour Interval**
**ROSAMOND BLVD**
**LANCASTER BLVD**
**RICH RD**
**MERCURY BLVD**
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
## Desert Tortoise Corrected Sign Density
- Hwy 395
- Hwy 14
- Hwy 58
- Rosamond Blvd
- Lancaster Blvd
- Mercury Blvd
- Rich Rd
## Aerial Photographs of Edwards AFB
- Aerial Photographs of Edwards AFB
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
- FIELD METHODS
- Extensive use of GIS
- Many inventories and surveys
- Lots of raw data
- Analysis – actively working
## Long-term Monitoring Plots (60)
- Rosamond Blvd
- Lancaster Blvd
- Mercury Blvd
- Rich Rd
- Hwy 395
- Hwy 58
- Hwy 14
**12**
**19**
**27**
**20**
**28**
**32**
**33**
**34**
**39**
**7**
**8**
**21**
**13**
**51**
**57**
**58**
**55**
**60**
**59**
**56**
**52**
**53**
**54**
**48**
**45**
**43**
**42**
**40**
**35**
**29**
**23**
**22**
**16**
**14**
**9**
**1**
**2**
**11**
**10**
**17**
**25**
**36**
**37**
**41**
**24**
**4**
**3**
**15**
**18**
**5**
**6**
**26**
**30**
**31**
**38**
**Long-term Monitoring Plots (60)**
**49**
**46**
**47**
**50**
**44**
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
- Changing where and what we
- look at
- Provides rational basis for decisions
- Helps support funding requests
- Helps define projects
## Slop Analysis
- Hwy 395
- Hwy 14
- Hwy 58
- Rosamond Blvd
- Lancaster Blvd
- Mercury Blvd
- Rich Rd
**SLOPE ANALYSIS**
** ****< 1%**
** ****1-5%**
** ****6-10%**
** ****11-20%**
** ****21+%**
- Figure 4-1. Slop Analysis for Edwards AFB showing the broad flat to gently sloping plains with few sharply raising features.
## Viable Population Areas
- Figure 3-10. Extrapolated Desert Tortoise Total Corrected Sign Showing Viable Populations
## Management Areas
**A**
**A**
**E**
**E**
**E**
**D**
**F**
**B**
**C**
- Rosamond Blvd
- Lancaster Blvd
- Mercury Blvd
- Rich Rd
- Hwy 58
- Hwy 395
- Hwy 14
**G**
- Figure 12-1. Management Areas Delineated on Edwards AFB.
## Edwards AFB Approach Monitoring Data – Adaptive Management Info
**Edwards AFB Approach****Monitoring Data – Adaptive Management Info**
- MODIFY DATA
- COLLECTION
- PROTOCOLS
- PREDICTIVE MODELS,
- MAPS, RESTORAION
- EFFORTS,
- EVALUATION OF
- TECHNIQUES,
- ETC
- DEVELOP TOOLS
- BASED ON
- HISTORIC LAND
- USE, VEGETATION
- CHANGES, ETC
- MONITORING OF VITAL SIGN
- KEY INDICATIORS
- IDENTIFY VITAL
- SIGN INDICATORS
- REMOTE SENSING
- FIELD METHODS
- ADAPTIVE MANAGEMENT
- DECISION SUPPORT
- STEP 2
- STEP 3
- STEP 4
- STEP 5
## Army ITAM Program - Edwards AFB counterpart
**Land Condition Trend Analysis (LCTA)**
**Training Requirements Integration (TRI)**
**Land Rehabilitation & Maintenance (LRAM)**
**Environmental Awareness (EA)**
- Long-term plots (60)
- Project driven monitoring
- Restoration/exotic species
- removal program
- Newcomers/contractor
- briefing required for all
**Army ITAM Program** - **Edwards AFB counterpart** | en |
markdown | 412024 | # Presentation: 412024
## Veterans Health Administration MD-715 Workforce Data for FY 2008 Part I Plan
**EQUAL EMPLOYMENT OPPORTUNITY**
- A program office within VA’s
- Office of Human Resources and Administration
- Veterans Health Administration MD-715 Workforce Data for FY 2008 Part I Plan
- <date/time>
- <footer>
## Labeling Conventions
**MD-715** refers to EEOC Management Directive 715.
**Onboard** workforce data is from the end of FY 2006.
**RCLF **refers to the Relevant Civilian Labor Force from the 2000 Census, which is limited to VBA occupations in VBA proportions.
**RNO** = Race and National Origin, and is abbreviated:
**WM** = White Male; **WW** = White women;
**BM** = Black or African American men; **BW **= Black or African American women;
**HM** = Hispanic or Latino men; **WH** = Hispanic or Latino women;
**AM** = Asian American or Pacific Islander men;
**AW **= Asian American or Pacific Islander women
**IM or Indian **= American Indian or Alaska Native men;** **
**IW or Indian** = American Indian or Alaska Native women
## Barrier 1: Underrepresentation
**%**
- FY 2007 permanent and temporary onboard for VHA, through July. National RCLF for VHA occupations as of July, from 2000 Census.
**Notes:**
Data source: VSSC, UREP Change Report under Workforce Planning
Step 1, 2005, Sep, VHA/VISN, VISN 3
Step 2, 2006, Sep
Step 3, VHA
Step 7, Permanent and Temporary
Note: The UPEP Change Report currently only provides national RCLF data. For regional or local data, use the VSSC RCLF Change Report, select the appropriate level in Step one and be sure to select VHA in Step 3 or you get National RCLF data regardless of your selection in Step 1.
## Barrier 1: Underrepresentation Triggers
**Notes:**
Data source: VSSC, RCLF Change Report under workforce planning.
Step 1, 2005 SEP, Station, 526, 561, 620, 630, and 632
Step 2, 2007 July, VHA
Step 3, Group selection for graph
Step 4, VBA
Step 8, Permanent and temporary
## Barrier 1: Underrepresentation Triggers
**Notes:**
Data source: VSSC, RCLF Change Report under workforce planning.
Step 1, 2005 SEP, Station, 526, 561, 620, 630, and 632
Step 2, 2007 July, VHA
Step 3, Group selection for graph
Step 4, VBA
Step 8, Permanent and temporary
## Barrier 1: Underrepresentation Triggers
**Notes:**
Data source: VSSC, RCLF Change Report under workforce planning.
Step 1, 2005 SEP, Station, 526, 561, 620, 630, and 632
Step 2, 2007 July, VHA
Step 3, Group selection for graph
Step 4, VBA
Step 8, Permanent and temporary
## Hires v. RCLF
**%**
- FY 2007 permanent and temporary hires for VHA, through July. National RCLF for VHA occupations as of July, from 2000 Census.
**Notes:**
Data source: VSSC Nature of Action, Nature of Action Breakout Report
Step 1, 2006, SEP, National
Step 2, Special Hiring Authorities
Step 3, VHA
Step 7, Permanent and Temporary
## Special Hiring Authorities
**%**
- FY 2007 permanent and temporary hires for VHA, through July. National RCLF for VHA occupations as of July, from 2000 Census.
**Notes:**
Data source: VSSC Nature of Action, Nature of Action Breakout Report
Step 1, 2006, SEP, National
Step 2, Special Hiring Authorities
Step 3, VHA
Step 7, Permanent and Temporary
## Barrier 1 EEO Plans
- Specify the groups with triggers, including any unique to your location.
- Identify any specific occupation triggers for these groups.
- Identify *specific* targeted recruitment plans for these groups in addition to current practice, showing how outreach and Special Hiring Authorities will be increased for underrepresented groups.
## Barrier 2: Promotion Rate
- FY 2007 Permanent and temporary **GS/GM 13-15** promotions for VHA through July.
- %
**Notes:**
Data source VSSC, MD-715 (Federal Agency Annual EEO Program Status Report).
Step 1, 2007,July, VHA, VISN3
Step 2, VHA
Step 3, Permanent and Temporary
Step 5, GS/GM 13-15 (also: all occupations except doctors and nurses)
## Promotion Rate
**%**
- FY 2007 permanent and temporary promotions for **RNs grade 2-5** through July.
**Notes:**
Data source: VSSC, MD-715 (Federal Agency Annual EEO Program Status Report).
Step 1, 2007, July, VHA, VISN 3
Step 2, VHA
Step 3, Permanent and Temporary
Step 5, title 38 nurse grade 2-5
## Promotion Rate Trigger
- No Disability Targeted Disability
- FY 2006 permanent and temporary promotion grade comparison and targeted disability profile for **GS/GM** grades for VHA. *= one grade interval series, **= two grade interval series
- %
- %
**Notes:**
Data source: VSSC, MD-715 (Federal Agency Annual EEO Program Status Report).
Step 1, 2006, SEP, VHA/VISN, VISN 3
Step 2, VHA
Step 3, Permanent and Temporary
Step 5, GS/GM 13-15, 3-12 single, and 7-12 double grade intervals
## Leadership
- Pool: VHA GS grade 14-15 + Nurse 4-5. Total: Supervisory level 1-4, permanent only.
**Notes:**
Data source: VSSC, Workforce Planning, Leadership Report
Step 1, 2007, July, National,
Step 2, VHA
Step 6, Permanent and Temporary
## Career Improvement
**%**
- Pool: VHA GS grades 1-9, permanent only. Improved: Those who moved to occupation with higher average grade
**Notes:**
Data source: VSSC, Workforce Planning, Career Improvement Report
Step 1, 2006, Sept, National
Step 2, 2007, July
Step 3, VHA
Step 5, Permanent and Temporary
## Anticipated Change in Leadership
- Likely to retire within 10 years.
- FY 2007 GS 12-15 permanent and temporary for VHA, through August.
## Barrier 2 EEO Plans
- Identify positive correlation between promotions and availability.
- Identify RNO/gender groups by occupation group that have a trigger, and describe the plan to investigate mitigating circumstances.
- Identify trigger for employees with targeted disabilities, the plan to investigate, and the plan to resolve.
## VHA FY 2006 Targeted Disabilities Availability and Promotion Rate
- Promotions rate should track availability rate. Note that in VISNs where representation is low, promotion rate tends to be much lower.
**%**
**Notes:**
DATA SOURCE: VHA MD-715 Issues.bbk data cube – report 26a
Rows: Organization – VHACO, all VISNs
Columns: Handicap – No Handicap, Targeted Disability, Non-targeted Disability
Background:
Appointment - Permanent
Citizen - US
Handicap – Targeted Disability
Measures – Monthly Action
Medical Resident: Non-Medical Resident
Pay Status - Pay
Also: report 26b, similar but showing promotions
## Disability Hiring Authorities
| VHA Regional Groups | 30% Service Connected Disability | Disabled Veteran, Chap. 31 Training | Mental or Physical Disability | VA Schl. A BVA or Readjust. | WKFCE RCMT Program (WRP) |
| --- | --- | --- | --- | --- | --- |
| Southern | 16 | 1 | 12 | 33 | 0 |
| Western | 15 | 0 | 5 | 5 | 0 |
| Eastern | 7 | 0 | 14 | 0 | 0 |
| Central | 6 | 0 | 2 | 6 | 0 |
| VHA/CANTEEN | 44 | 1 | 35 | 44 | 0 |
- Out of 27,721 total hires in permanent and temporary positions as of July 2007.
**Notes:**
DATA SOURCE: VSSC, Nature of Action, Nature of Action Breakout Report
Step 1, 2006, SEP, VHA VISN, Southern (VISN 6,7,8,9,16,17), Western (18,19,20,21,22), Eastern (1,2,3,4,5), Central (10,11,12,15,23), and All VISNs
Step 2, Special Hiring Authorities
Step 3, VHA + CANTEEN
Step 7, Permanent and Temporary
## Barrier 3 EEO Plans
- Specify plans to train and use Selective Placement Coordinators, and metrics for their effectiveness.
- Specify plans to increase recruitment through disability affinity groups.
- Specify plans to increase use of Special Hiring Authorities.
- Detailed plans to increase representation in stations with low representation.
- Numeric goals are appropriate here.
## Barrier 4: Disabled Veterans
- VA discovered that many veterans had not self-identified and so did not show up in our data base. The Beneficiary Identification Relocator System (BIRLS) data from DoD corrected that starting in December FY 2007.
- This means that FY1996-2006 trend data does not include BIRLS data.
- Important: For valid results, FY 2007 trend data should start with December FY 2007, not September FY 2006.
- The addition of BIRLS data does not affect the direction of the trends.
## VISNs % Disabled Veterans
**%**
- VISNs 1, 2, 3, 4, 5, 10, 11, and 12 are below 6% disabled veterans
- July 2007 VHA permanent and temporary
**Notes:**
DATA SOURCE: VSSC, Workforce Planning, Veteran Report
Step 1, 2006, SEP, VHA/VISN, Select each VISN separately and all VISNs
Step 2, VHA/Canteen
Step 6, Permanent and Temporary
## Age and Veteran Status
- VHA FY 2007 permanent, through July.
- Likely to retire within 10 years
**Notes:**
Data source: VBA MD-715 Issues.bbk data cube – report 32
Rows: Veterans Preference – Non-Veteran, Veteran Disabled, Veteran Not Disabled
Columns: AES age: 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59, 60-64, 65-70, 70+
Background: FY - 2006
Appointment - Permanent
Citizen - US
Measures - Onboard employee
Organization - VBA
Medical Resident - Non-Medical Resident
Pay Status - Pay
## Age of Hires by Veteran Status
- VHA FY 2007 permanent hires, through August
- Likely to retire within 10 years
**Notes:**
Data source: VBA MD-715 Issues.bbk data cube – report 32
Rows: Veterans Preference – Non-Veteran, Veteran Disabled, Veteran Not Disabled
Columns: AES age: 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59, 60-64, 65-70, 70+
Background: FY - 2006
Appointment - Permanent
Citizen - US
Measures – Monthly Action
Noa - GAIN
Organization - VBA
Medical Resident - Non-Medical Resident
Pay Status - Pay
## Barrier 4 EEO Plans
- Ensure that the Selective Placement Coordinators are fully trained to answer questions from veterans applying for jobs and advocate on their behalf.
- Coordinate with near-by veterans’ affinity groups.
- Reach out to near-by areas that may have concentrations of veterans, such as Indian Reservations.
- Expand use of relevant Special Hiring Authorities.
## Barrier 5: Training
- Specific plans to train EEO staff in anticipation of turnover in EEO managers.
- Specific plans to gain competency in barrier analysis and targeted recruitment.
- Specific plans to train younger managers to move up in anticipation of spike in retirement. | en |
markdown | 835997 | # Presentation: 835997
## Laws & Policies Applicable to Procurement of Launch Services February 15, 2005
## Laws & Policy Considerations
**42 USC 2459c – Contracts Regarding Expendable Launch Vehicles**
- NASA may enter into contracts for ELV launch services that are for periods in excess of the period for which funds are otherwise available for obligation, with certain limitations
**42 USC 14731 – Commercial Space Act of 1998 (P.L. 105-303)**
- USG shall acquire space transportation services from United States commercial providers
- U.S. commercial provider defined as U.S. company more than 50% owned by U.S. nationals, or a U.S. subsidiary of a foreign company with past evidence of substantial investment in U.S. and the foreign country offers reciprocal opportunity for domestic subsidiaries of a U.S. companies to participate in similar procurements by the foreign government
**Cross-Waivers of Liability**
**ELV Cross-Waiver (14 CFR § 1266.104)** – waives liability between NASA and the launch service contractor for damages resulting from Protected Space Operations
**ISS Cross-Waiver (14 CFR § 1266.102)** – waives liability between an ISS Partner State/Entity and other Partner States/Entities for damages resulting from Protected Space Operations
## Laws & Policy Considerations (Continued)
**50 USC 1701 – Iran Nonproliferation Act of 2000 (P.L. 106-178)**
- No USG agency may make extraordinary payments in connection with the International Space Station to certain Russian entities without a Presidential determination
- Extraordinary payments means payments in cash or in kind made for work on the ISS or for the purchase of any goods or services relating to human space flight
**2004 National Space Transportation Policy**
- EELV shall be used for launch of intermediate & large payloads to maximum extent possible
- USG departments and agencies shall purchase commercially available U.S. space transportation products and services to maximum extent possible
- USG payloads shall be launched on space launch vehicles manufactured in the U.S., unless exempted by Director, OSTP
## Technical Considerations Launch Vehicle Certification
** ****NPD 8610.7 “Launch Services Risk Mitigation Policy for NASA-Owned or NASA-Sponsored Payloads **
** ****Launch vehicle certification requirements dependant on Mission**** value/criticality/complexity**
** ****Category 1: Low cost, Non-mission critical payload, relatively simple**
** ****Category 2: Med cost, Mission critical payload, medium complexity**
** ****Category 3: High cost, Mission critical payload, high complexity**
** ****Required demonstrated flight history varies by Mission Category**
** ****Category 1: No previous flight required (High Launch Risk)**
** ****Category 2: At least 1 successful flight required (Med Launch Risk)**
** ****Category 3: Seek 14* consecutive successful flights or evolved systems can**** employ additional technical penetration to offset lower flight rate (Low **** Launch Risk) ****(* 95% probability of success with 50% confidence level)**** ** | en |
log-files | 849471 | # Date 2008-01-16 Time 04:36:27 PST -0800 (1200486987.30 s)
#phil __OFF__
Command line arguments: "../383.param" "main.number_of_macro_cycles=5" "--overwrite"
HOST = firebird.lbl.gov
HOSTTYPE = x86_64-linux
USER = phzwart
PID = 27140
JOB_ID = 5159
SGE_ARCH = lx24-amd64
SGE_TASK_FIRST = 1
SGE_TASK_LAST = 1330
SGE_TASK_ID = 383
-------------------------------------------------------------------------------
PHENIX: Python-based Hierarchical ENvironment for Integrated Xtallography
User: phzwart
-------------------------------------------------------------------------------
phenix.refine: Macromolecular Structure Refinement
-------------------------------------------------------------------------------
Phenix developers include:
Paul Adams, Pavel Afonine, Vicent Chen, Ian Davis, Kreshna Gopal,
Ralf Grosse-Kunstleve, Li-Wei Hung, Robert Immormino, Tom Ioerger,
Airlie McCoy, Erik McKee, Nigel Moriarty, Reetal Pai, Randy Read,
Jane Richardson, David Richardson, Tod Romo, Jim Sacchettini,
Nicholas Sauter, Jacob Smith, Laurent Storoni, Tom Terwilliger,
Peter Zwart
Phenix home page:
http://www.phenix-online.org/
-------------------------------------------------------------------------------
-------------------------------------------------------------------------------
Phenix components are copyrighted by:
- Lawrence Berkeley National Laboratory
- Los Alamos National Laboratory
- University of Cambridge
- Duke University
- Texas Agricultural Experiment Station &
Texas Engineering Experiment Station
-------------------------------------------------------------------------------
-------------------------------------------------------------------------------
Major third-party components of Phenix include:
Python, wxwidgets, wxPython, Boost, SCons, Clipper,
CCP4 Monomer Library, CCP4 I/O libraries, PyCifRW, FFTPACK, L-BFGS
Enter phenix.acknowledgments for details.
-------------------------------------------------------------------------------
Processing inputs. This may take a minute or two.
Command line parameter definitions:
refinement.main.number_of_macro_cycles = 5
Working crystal symmetry after inspecting all inputs:
Unit cell: (69.5475, 45.9914, 88.1178, 90, 90, 90)
Space group: P 21 21 21 (No. 19)
/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/model.pdb
Monomer Library directory:
"/net/rosie/scratch3/phzwart/CCTBX/Sources/mon_lib"
Total number of atoms: 2823
Number of models: 1
Model: 0
Number of conformers: 2
Conformer: "A"
Number of atoms: 2769
Number of chains: 2
Number of residues, atoms: 302, 2333
Classifications: {'peptide': 302}
Modifications used: {'COO': 1}
Link IDs: {'PTRANS': 7, 'CIS': 1, 'TRANS': 293}
Number of residues, atoms: 436, 436
Classifications: {'water': 436}
Link IDs: {None: 435}
Conformer: "B"
Number of atoms: 2771
Common with "A": 2717
Number of chains: 2
Number of residues, atoms: 302, 2333
Classifications: {'peptide': 302}
Modifications used: {'COO': 1}
Link IDs: {'PTRANS': 7, 'CIS': 1, 'TRANS': 293}
bond proxies already assigned to first conformer: 2332
Number of residues, atoms: 438, 438
Classifications: {'water': 438}
Link IDs: {None: 437}
Time building chain proxies: 3.27, per 1000 atoms: 1.16
================================== X-ray data =================================
F-obs:
/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns:FOBS,SIGMA
R-free flags:
/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns:TEST
Miller array info: /net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns:FOBS,SIGMA
Observation type: xray.amplitude
Type of data: double, size=19589
Type of sigmas: double, size=19589
Number of Miller indices: 19589
Anomalous flag: False
Unit cell: (69.5475, 45.9914, 88.1178, 90, 90, 90)
Space group: P 21 21 21 (No. 19)
Systematic absences: 0
Centric reflections: 2427
Resolution range: 14.962 1.96268
Completeness in resolution range: 0.941598
Completeness with d_max=infinity: 0.938755
Number of F-obs in resolution range: 19589
Number of F-obs <= 0: 0
Refinement resolution range: d_max = 14.9620
d_min = 1.9627
Miller array info: /net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns:TEST
Observation type: None
Type of data: int, size=19589
Type of sigmas: None
Number of Miller indices: 19589
Anomalous flag: False
Unit cell: (69.5475, 45.9914, 88.1178, 90, 90, 90)
Space group: P 21 21 21 (No. 19)
Systematic absences: 0
Centric reflections: 2427
Resolution range: 14.962 1.96268
Completeness in resolution range: 0.941598
Completeness with d_max=infinity: 0.938755
Test (R-free flags) flag value: 1
Number of work/free reflections by resolution:
work free %free
bin 1: 14.9625 - 4.2002 [2183/2207] 1962 221 10.1%
bin 2: 4.2002 - 3.3461 [2107/2127] 1900 207 9.8%
bin 3: 3.3461 - 2.9267 [2075/2094] 1866 209 10.1%
bin 4: 2.9267 - 2.6608 [2034/2064] 1825 209 10.3%
bin 5: 2.6608 - 2.4710 [2057/2076] 1856 201 9.8%
bin 6: 2.4710 - 2.3259 [2025/2050] 1820 205 10.1%
bin 7: 2.3259 - 2.2098 [2024/2052] 1824 200 9.9%
bin 8: 2.2098 - 2.1138 [1996/2032] 1796 200 10.0%
bin 9: 2.1138 - 2.0327 [2000/2049] 1807 193 9.7%
bin 10: 2.0327 - 1.9627 [1088/2053] 974 114 10.5%
overall 17630 1959 10.0%
Writing MTZ file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_data.mtz
========================== Anomalous scatterer groups =========================
All atoms refined with f_prime=0 and f_double_prime=0.
========================== Set up restraints manager ==========================
Number of disulfides: simple=3, symmetry=0
Simple disulfide: " SG CYS A 168 " - " SG ACYS A 201 " distance=2.08
Simple disulfide: " SG CYS A 168 " - " SG BCYS A 201 " distance=1.98
Simple disulfide: " SG CYS A 254 " - " SG CYS A 260 " distance=2.05
Time building geometry restraints manager: 0.14 seconds
Histogram of bond lengths:
1.21 - 1.38: 943
1.38 - 1.56: 1465
1.56 - 1.73: 7
1.73 - 1.90: 21
1.90 - 2.08: 3
Bond restraints sorted by residual:
atom i - atom j ideal model delta weight residual
" SG CYS A 168 " - " SG BCYS A 201 " 2.031 1.983 0.048 2.50e+03 5.87e+00
" C GLN A 88 " - " N GLN A 89 " 1.329 1.360 -0.031 5.10e+03 4.97e+00
" SG CYS A 168 " - " SG ACYS A 201 " 2.031 2.075 -0.044 2.50e+03 4.89e+00
" CB CYS A 201 " - " SG ACYS A 201 " 1.808 1.738 0.070 9.18e+02 4.46e+00
" C PRO A 198 " - " N ILE A 199 " 1.329 1.301 0.028 5.10e+03 4.10e+00
... (remaining 2434 not shown)
Histogram of nonbonded interaction distances:
1.23 - 1.97: 12
1.97 - 2.70: 163
2.70 - 3.43: 4582
3.43 - 4.17: 9440
4.17 - 4.90: 14312
Nonbonded interactions sorted by model distance:
atom i - atom j model vdw sym.op. j
" OE1 GLN A 55 " - " O HOH Z 403 " 1.233 3.040 -x+1,y-1/2,-z+1/2
" O HOH Z 41 " - " O HOH Z 182 " 1.712 3.040 -x+1,y+1/2,-z+1/2
" O HOH Z 42 " - " O HOH Z 183 " 1.763 3.040 -x+1,y+1/2,-z+1/2
" O HOH Z 53 " - " O HOH Z 102 " 1.767 3.040 -x+1,y+1/2,-z+1/2
" O HOH Z 70 " - " O HOH Z 302 " 1.781 3.040 -x+1/2,-y+1,z+1/2
... (remaining 28504 not shown)
Histogram of dihedral angle deviations from ideal:
0.01 - 17.19: 754
17.19 - 34.36: 62
34.36 - 51.54: 27
51.54 - 68.71: 23
68.71 - 85.89: 4
Dihedral angle restraints sorted by residual:
" CA PHE A 192 "
" CB PHE A 192 "
" CG PHE A 192 "
" CD1 PHE A 192 "
ideal model delta periodicty weight residual
90.00 7.91 82.09 2 2.50e-03 1.68e+01
" N PRO A 54 "
" CG PRO A 54 "
" CD PRO A 54 "
" CB PRO A 54 "
ideal model delta periodicty weight residual
30.00 -27.17 57.17 3 4.44e-03 1.45e+01
" N PRO A 280 "
" CA PRO A 280 "
" CB PRO A 280 "
" CG PRO A 280 "
ideal model delta periodicty weight residual
-25.00 38.44 56.56 3 4.44e-03 1.42e+01
... (remaining 867 not shown)
==================== Fixing bad ADP in input model (if any) ===================
============================== Scattering factors =============================
----------X-ray scattering dictionary----------
Number of scattering types: 4
Type Number sf(0) Gaussians
S 13 15.96 2
O 902 7.97 2
N 437 6.97 2
C 1471 5.97 2
sf(0) = scattering factor at diffraction angle 0.
====================== Modifying start model if requested =====================
==================== Fixing bad ADP in input model (if any) ===================
================== Extract refinement strategy and selections =================
individual_sites = True
rigid_body = False
individual_adp = True
group_adp = False
tls = False
individual_occupancies = True
group_occupancies = False
group_anomalous = False
size = 2823
n_use = 2823
n_use_u_iso = 2823
n_use_u_aniso = 0
n_grad_site = 0
n_grad_u_iso = 0
n_grad_u_aniso = 0
n_grad_occupancy = 0
n_grad_fp = 0
n_grad_fdp = 0
n_anisotropic_flag = 0
total number of scatterers = 2823
==================== Process input NCS or/and find new NCS ====================
Using existing and finding new NCS is disabled.
Use refinement.main.ncs=true to activate it.
Look at refinement.ncs for more NCS related parameters.
=================== Write initial parameters into .eff file ===================
Writing effective parameters to file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001.eff
Writing geometry restraints to file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001.geo
CPU time processing inputs: 9.12
============================ Non-default parameters ===========================
A complete record of all parameters was written to the .eff file above.
Below are only the non-defaults.
#phil __ON__
refinement {
crystal_symmetry {
unit_cell = 69.5475 45.9914 88.1178 90 90 90
space_group = "P 21 21 21"
}
input {
pdb {
file_name = "/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/model.pdb"
}
xray_data {
file_name = "/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns"
labels = "FOBS,SIGMA"
r_free_flags {
file_name = "/net/cci-filer1/vol1/tmp/phzwart/tassos/trial/1e0w.cns"
label = "TEST"
test_flag_value = 1
}
}
}
output {
prefix = "model_refine"
serial = 1
}
main {
number_of_macro_cycles = 5
}
}
#phil __OFF__
============================= ml refinement start =============================
----------structure factors based statistics (before refinement)----------
----------X-ray data----------
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.4602 r_free= 0.4624 ksol= 0.00 Bsol= 0.00 scale= 0.900 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (0.00,0.00,0.00,0.00,0.00,0.00); trace/3= 0.00 |
| |
| maximum likelihood estimate for coordinate error: 0.69 A |
| x-ray target function (ml) for work reflections: 6.271489 |
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
| Bin Resolution Compl. No. Refl. R-factors Targets |
|number range work test work test work test|
| 1: 14.9625 - 4.6850 0.99 1418 156 0.3637 0.3470 6.5581 6.5034|
| 2: 4.6850 - 3.7377 0.99 1369 153 0.3890 0.4112 6.7738 6.7625|
| 3: 3.7377 - 3.2708 0.99 1338 149 0.4270 0.4003 6.6616 6.6601|
| 4: 3.2708 - 2.9743 0.99 1325 149 0.4573 0.4809 6.5229 6.544|
| 5: 2.9743 - 2.7626 0.99 1313 146 0.4915 0.4498 6.3476 6.3593|
| 6: 2.7626 - 2.6006 0.99 1325 146 0.4928 0.5112 6.264 6.1775|
| 7: 2.6006 - 2.4710 0.99 1321 148 0.4957 0.5019 6.2158 6.1616|
| 8: 2.4710 - 2.3638 0.98 1303 142 0.5195 0.5243 6.1835 6.1759|
| 9: 2.3638 - 2.2732 0.98 1289 144 0.4994 0.5336 6.1031 6.1666|
| 10: 2.2732 - 2.1950 1.00 1296 146 0.5168 0.5212 6.0921 6.091|
| 11: 2.1950 - 2.1265 0.98 1301 142 0.5106 0.5029 6.0157 6.0354|
| 12: 2.1265 - 2.0659 0.98 1292 142 0.5149 0.4767 5.966 5.9498|
| 13: 2.0659 - 2.0117 0.93 1223 138 0.5023 0.5100 5.8788 5.8281|
| 14: 2.0117 - 1.9627 0.40 517 58 0.5296 0.4958 5.897 5.8036|
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
|R-free likelihood based estimates for figures of merit, absolute phase error,|
|and distribution parameters alpha and beta (Acta Cryst. (1995). A51, 880-887)|
| |
| Bin Resolution No. Refl. FOM Phase Scale Alpha Beta |
| # range work test error factor |
| 1: 14.9625 - 4.6850 1418 156 0.73 31.38 0.82 0.79 63657.87|
| 2: 4.6850 - 3.7377 1369 153 0.71 34.11 0.91 0.83 102168.11|
| 3: 3.7377 - 3.2708 1338 149 0.60 43.70 0.93 0.79 111350.23|
| 4: 3.2708 - 2.9743 1325 149 0.51 51.28 0.91 0.69 104004.90|
| 5: 2.9743 - 2.7626 1313 146 0.44 56.40 0.89 0.63 76839.73|
| 6: 2.7626 - 2.6006 1325 146 0.42 57.95 0.90 0.59 66901.88|
| 7: 2.6006 - 2.4710 1321 148 0.40 59.53 0.91 0.56 60646.03|
| 8: 2.4710 - 2.3638 1303 142 0.37 61.90 0.90 0.54 57149.79|
| 9: 2.3638 - 2.2732 1289 144 0.37 62.26 0.93 0.53 52799.12|
| 10: 2.2732 - 2.1950 1296 146 0.38 61.91 0.93 0.54 46877.01|
| 11: 2.1950 - 2.1265 1301 142 0.36 63.34 0.94 0.56 47224.38|
| 12: 2.1265 - 2.0659 1292 142 0.35 63.77 0.95 0.56 42638.85|
| 13: 2.0659 - 2.0117 1223 138 0.34 64.79 0.94 0.55 37120.36|
| 14: 2.0117 - 1.9627 517 58 0.40 60.35 1.01 0.55 27621.34|
|alpha: min = 0.53 max = 0.83 mean = 0.63|
|beta: min = 27621.34 max = 111350.23 mean = 66140.71|
|figures of merit: min = 0.00 max = 1.00 mean = 0.46|
|phase err.(work): min = 0.00 max = 89.99 mean = 54.65|
|phase err.(test): min = 0.00 max = 89.88 mean = 55.11|
|-----------------------------------------------------------------------------|
============================== Outliers rejection =============================
basic_wilson_outliers = 0
extreme_wilson_outliers = 0
beamstop_shadow_outliers = 0
total = 0
====================== Target weights (before refinement) =====================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 11.072246 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 89.802 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 2.457977 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 89.619 (deg) |
|-----------------------------------------------------------------------------|
----------Initial model statistics (before refinement)----------
|-Geometry statistics: start--------------------------------------------------|
| Histogram of deviations from ideal values for |
| Bonds | Angles | Nonbonded contacts |
| 0.000 - 0.007: 1367 | 0.001 - 0.989: 1519 | 1.233 - 1.599: 1 |
| 0.007 - 0.014: 729 | 0.989 - 1.976: 994 | 1.599 - 1.966: 11 |
| 0.014 - 0.021: 262 | 1.976 - 2.963: 470 | 1.966 - 2.333: 24 |
| 0.021 - 0.028: 63 | 2.963 - 3.950: 196 | 2.333 - 2.700: 139 |
| 0.028 - 0.035: 15 | 3.950 - 4.938: 66 | 2.700 - 3.066: 2251 |
| 0.035 - 0.042: 0 | 4.938 - 5.925: 29 | 3.066 - 3.433: 2331 |
| 0.042 - 0.049: 2 | 5.925 - 6.912: 16 | 3.433 - 3.800: 4111 |
| 0.049 - 0.056: 0 | 6.912 - 7.899: 2 | 3.800 - 4.167: 5329 |
| 0.056 - 0.063: 0 | 7.899 - 8.887: 3 | 4.167 - 4.533: 6409 |
| 0.063 - 0.070: 1 | 8.887 - 9.874: 4 | 4.533 - 4.900: 7903 |
|-----------------------------------------------------------------------------|
|-Geometry statistics: start--------------------------------------------------|
| Type | Count | Deviation from ideal | Targets | Target (sum) |
| | | rmsd max min | | |
| bond | 2439 | 0.010 0.070 0.000 | 0.254 | |
| angle | 3299 | 1.822 9.874 0.001 | 1.000 | |
| chirality | 348 | 0.101 0.314 0.000 | 0.257 | 0.186 |
| planarity | 436 | 0.009 0.055 0.000 | 0.973 | |
| dihedral | 870 | 15.968 85.889 0.013 | 1.071 | |
| nonbonded | 2439 | 4.108 4.900 1.233 | 0.539 | |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 5.09 63.06 16.02 None None None |
| all(noH): 2823 0 5.09 63.06 16.02 None None None |
| Sol. : 438 0 6.19 63.06 36.87 None None None |
| Mac. : 2385 0 5.09 49.51 12.19 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 5.090 - 10.887: 1254 | 5: 34.075 - 39.872: 81 |
| 1: 10.887 - 16.684: 844 | 6: 39.872 - 45.669: 78 |
| 2: 16.684 - 22.481: 225 | 7: 45.669 - 51.466: 64 |
| 3: 22.481 - 28.278: 122 | 8: 51.466 - 57.263: 37 |
| 4: 28.278 - 34.075: 94 | 9: 57.263 - 63.060: 24 |
| =>continue=> |
|-----------------------------------------------------------------------------|
|-Occupancies statistics------------------------------------------------------|
| occupancies: max = 1.00 min = 0.30 number of occupancies < 0.1 = 0 |
|-----------------------------------------------------------------------------|
*********************** REFINEMENT MACRO_CYCLE 1 OF 5 *************************
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.4602 r_free= 0.4624 ksol= 0.00 Bsol= 0.00 scale= 0.900 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (0.00,0.00,0.00,0.00,0.00,0.00); trace/3= 0.00 |
| |
| maximum likelihood estimate for coordinate error: 0.69 A |
| x-ray target function (ml) for work reflections: 6.271489 |
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.4497 r_free= 0.4521 ksol= 0.33 Bsol= 26.68 scale= 0.943 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.71,1.88,2.95,0.00,0.00,0.00); trace/3= 0.71 |
| |
| maximum likelihood estimate for coordinate error: 0.68 A |
| x-ray target function (ml) for work reflections: 6.263859 |
|-----------------------------------------------------------------------------|
========================== Target weights: x-ray data =========================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 8.636148 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 89.718 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 1.162332 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 89.363 (deg) |
|-----------------------------------------------------------------------------|
================================ xyz refinement ===============================
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.4497 final r-factor (work) = 0.3489 |
| start r-factor (free) = 0.4521 final r-factor (free) = 0.3862 |
|-----------------------------------------------------------------------------|
| T_start = wxc * wxc_scale * Exray + wc * Echem |
| 27.2099 = 8.64 * 0.50 * 6.2583 + 1.00 * 0.1860 |
| |
| T_final = wxc * wxc_scale * Exray + wc * Echem |
| 26.6511 = 8.64 * 0.50 * 6.1427 + 1.00 * 0.1265 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 27 |
|-----------------------------------------------------------------------------|
================================ ADP refinement ===============================
----------Individual ADP refinement----------
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.3489 final r-factor (work) = 0.3162 |
| start r-factor (free) = 0.3862 final r-factor (free) = 0.4014 |
|-----------------------------------------------------------------------------|
| T_start = wxu * wxu_scale * Exray + wu * Eadp |
| 7.1460 = 1.16 * 1.00 * 6.1427 + 1.00 * 0.0061 |
| |
| T_final = wxu * wxu_scale * Exray + wu * Eadp |
| 7.0375 = 1.16 * 1.00 * 6.0383 + 1.00 * 0.0189 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 28 |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.00 107.06 18.65 None None None |
| all(noH): 2823 0 0.00 107.06 18.65 None None None |
| Sol. : 438 0 0.00 107.06 37.00 None None None |
| Mac. : 2385 0 0.00 80.86 15.28 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.000 - 10.706: 958 | 5: 53.528 - 64.233: 61 |
| 1: 10.706 - 21.411: 970 | 6: 64.233 - 74.939: 20 |
| 2: 21.411 - 32.117: 464 | 7: 74.939 - 85.644: 10 |
| 3: 32.117 - 42.822: 217 | 8: 85.644 - 96.350: 2 |
| 4: 42.822 - 53.528: 120 | 9: 96.350 - 107.055: 1 |
| =>continue=> |
|-----------------------------------------------------------------------------|
======================= Individual occupancy refinement =======================
|-individual occupancy refinement: start--------------------------------------|
| r_work = 0.3162 r_free = 0.4014 target_work(ml) = 6.050 |
| occupancies: max = 1.00 min = 0.30 number of occupancies < 0.1: 0 |
|-----------------------------------------------------------------------------|
|-individual occupancy refinement: end----------------------------------------|
| r_work = 0.3160 r_free = 0.4023 target_work(ml) = 6.050 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 1 |
|-----------------------------------------------------------------------------|
*********************** REFINEMENT MACRO_CYCLE 2 OF 5 *************************
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.3160 r_free= 0.4023 ksol= 0.33 Bsol= 26.68 scale= 1.026 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.71,1.88,2.95,0.00,0.00,0.00); trace/3= 0.71 |
| |
| maximum likelihood estimate for coordinate error: 0.53 A |
| x-ray target function (ml) for work reflections: 6.050015 |
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.3152 r_free= 0.4002 ksol= 0.34 Bsol= 60.56 scale= 1.009 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-1.89,0.18,1.38,0.00,0.00,0.00); trace/3= -0.11 |
| |
| maximum likelihood estimate for coordinate error: 0.53 A |
| x-ray target function (ml) for work reflections: 6.050453 |
|-----------------------------------------------------------------------------|
========================== Target weights: x-ray data =========================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 8.841496 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 98.174 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 0.466007 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 113.974 (deg) |
|-----------------------------------------------------------------------------|
================================ xyz refinement ===============================
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.3152 final r-factor (work) = 0.2413 |
| start r-factor (free) = 0.4002 final r-factor (free) = 0.3114 |
|-----------------------------------------------------------------------------|
| T_start = wxc * wxc_scale * Exray + wc * Echem |
| 26.8226 = 8.84 * 0.50 * 6.0389 + 1.00 * 0.1261 |
| |
| T_final = wxc * wxc_scale * Exray + wc * Echem |
| 26.4380 = 8.84 * 0.50 * 5.9593 + 1.00 * 0.0936 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 28 |
|-----------------------------------------------------------------------------|
================================ ADP refinement ===============================
----------Individual ADP refinement----------
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.2413 final r-factor (work) = 0.2205 |
| start r-factor (free) = 0.3114 final r-factor (free) = 0.2846 |
|-----------------------------------------------------------------------------|
| T_start = wxu * wxu_scale * Exray + wu * Eadp |
| 2.7957 = 0.47 * 1.00 * 5.9593 + 1.00 * 0.0187 |
| |
| T_final = wxu * wxu_scale * Exray + wu * Eadp |
| 2.7072 = 0.47 * 1.00 * 5.7838 + 1.00 * 0.0119 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 26 |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.00 105.08 18.07 None None None |
| all(noH): 2823 0 0.00 105.08 18.07 None None None |
| Sol. : 438 0 2.81 105.08 39.81 None None None |
| Mac. : 2385 0 0.00 76.40 14.08 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.000 - 10.508: 1037 | 5: 52.541 - 63.049: 62 |
| 1: 10.508 - 21.016: 1003 | 6: 63.049 - 73.557: 25 |
| 2: 21.016 - 31.525: 343 | 7: 73.557 - 84.065: 9 |
| 3: 31.525 - 42.033: 191 | 8: 84.065 - 94.573: 1 |
| 4: 42.033 - 52.541: 151 | 9: 94.573 - 105.082: 1 |
| =>continue=> |
|-----------------------------------------------------------------------------|
======================= Individual occupancy refinement =======================
|-individual occupancy refinement: start--------------------------------------|
| r_work = 0.2205 r_free = 0.2846 target_work(ml) = 5.744 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 1 |
|-----------------------------------------------------------------------------|
|-individual occupancy refinement: end----------------------------------------|
| r_work = 0.2204 r_free = 0.2839 target_work(ml) = 5.743 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 2 |
|-----------------------------------------------------------------------------|
*********************** REFINEMENT MACRO_CYCLE 3 OF 5 *************************
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.2204 r_free= 0.2839 ksol= 0.34 Bsol= 60.56 scale= 1.040 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-1.89,0.18,1.38,0.00,0.00,0.00); trace/3= -0.11 |
| |
| maximum likelihood estimate for coordinate error: 0.31 A |
| x-ray target function (ml) for work reflections: 5.742736 |
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.2202 r_free= 0.2831 ksol= 0.33 Bsol= 60.56 scale= 1.019 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.09,-1.06,0.48,-0.00,0.00,0.00); trace/3= -0.89 |
| |
| maximum likelihood estimate for coordinate error: 0.31 A |
| x-ray target function (ml) for work reflections: 5.740548 |
|-----------------------------------------------------------------------------|
========================== Target weights: x-ray data =========================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 5.932237 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 100.439 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 1.132121 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 122.448 (deg) |
|-----------------------------------------------------------------------------|
================================ xyz refinement ===============================
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.2202 final r-factor (work) = 0.1632 |
| start r-factor (free) = 0.2831 final r-factor (free) = 0.2168 |
|-----------------------------------------------------------------------------|
| T_start = wxc * wxc_scale * Exray + wc * Echem |
| 17.2515 = 5.93 * 0.50 * 5.7846 + 1.00 * 0.0936 |
| |
| T_final = wxc * wxc_scale * Exray + wc * Echem |
| 16.7473 = 5.93 * 0.50 * 5.6217 + 1.00 * 0.0727 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 28 |
|-----------------------------------------------------------------------------|
================================ ADP refinement ===============================
----------Individual ADP refinement----------
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.1632 final r-factor (work) = 0.1458 |
| start r-factor (free) = 0.2168 final r-factor (free) = 0.1996 |
|-----------------------------------------------------------------------------|
| T_start = wxu * wxu_scale * Exray + wu * Eadp |
| 6.3757 = 1.13 * 1.00 * 5.6217 + 1.00 * 0.0113 |
| |
| T_final = wxu * wxu_scale * Exray + wu * Eadp |
| 6.1445 = 1.13 * 1.00 * 5.4169 + 1.00 * 0.0120 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 28 |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.00 104.40 17.98 None None None |
| all(noH): 2823 0 0.00 104.40 17.98 None None None |
| Sol. : 438 0 5.83 104.40 44.60 None None None |
| Mac. : 2385 0 0.00 83.61 13.09 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.000 - 10.440: 1157 | 5: 52.199 - 62.639: 107 |
| 1: 10.440 - 20.880: 996 | 6: 62.639 - 73.079: 63 |
| 2: 20.880 - 31.320: 240 | 7: 73.079 - 83.519: 16 |
| 3: 31.320 - 41.759: 117 | 8: 83.519 - 93.958: 4 |
| 4: 41.759 - 52.199: 122 | 9: 93.958 - 104.398: 1 |
| =>continue=> |
|-----------------------------------------------------------------------------|
======================= Individual occupancy refinement =======================
|-individual occupancy refinement: start--------------------------------------|
| r_work = 0.1458 r_free = 0.1996 target_work(ml) = 5.377 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 2 |
|-----------------------------------------------------------------------------|
|-individual occupancy refinement: end----------------------------------------|
| r_work = 0.1457 r_free = 0.1995 target_work(ml) = 5.376 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 5 |
|-----------------------------------------------------------------------------|
*********************** REFINEMENT MACRO_CYCLE 4 OF 5 *************************
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1457 r_free= 0.1995 ksol= 0.33 Bsol= 60.56 scale= 1.028 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.09,-1.06,0.48,-0.00,0.00,0.00); trace/3= -0.89 |
| |
| maximum likelihood estimate for coordinate error: 0.20 A |
| x-ray target function (ml) for work reflections: 5.376122 |
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1455 r_free= 0.1989 ksol= 0.32 Bsol= 60.56 scale= 1.011 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.45,-1.95,-0.08,-0.00,-0.00,-0.00); trace/3= -1.49 |
| |
| maximum likelihood estimate for coordinate error: 0.20 A |
| x-ray target function (ml) for work reflections: 5.371968 |
|-----------------------------------------------------------------------------|
========================== Target weights: x-ray data =========================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 2.526132 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 114.255 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 0.483194 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 115.762 (deg) |
|-----------------------------------------------------------------------------|
================================ xyz refinement ===============================
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.1455 final r-factor (work) = 0.1285 |
| start r-factor (free) = 0.1989 final r-factor (free) = 0.1782 |
|-----------------------------------------------------------------------------|
| T_start = wxc * wxc_scale * Exray + wc * Echem |
| 6.9180 = 2.53 * 0.50 * 5.4195 + 1.00 * 0.0727 |
| |
| T_final = wxc * wxc_scale * Exray + wc * Echem |
| 6.7865 = 2.53 * 0.50 * 5.3276 + 1.00 * 0.0573 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 27 |
|-----------------------------------------------------------------------------|
================================ ADP refinement ===============================
----------Individual ADP refinement----------
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.1285 final r-factor (work) = 0.1245 |
| start r-factor (free) = 0.1782 final r-factor (free) = 0.1729 |
|-----------------------------------------------------------------------------|
| T_start = wxu * wxu_scale * Exray + wu * Eadp |
| 2.5861 = 0.48 * 1.00 * 5.3276 + 1.00 * 0.0118 |
| |
| T_final = wxu * wxu_scale * Exray + wu * Eadp |
| 2.5481 = 0.48 * 1.00 * 5.2516 + 1.00 * 0.0106 |
|-----------------------------------------------------------------------------|
| number of iterations = 24 | number of function evaluations = 25 |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.24 101.83 17.56 None None None |
| all(noH): 2823 0 0.24 101.83 17.56 None None None |
| Sol. : 438 0 4.36 101.83 43.61 None None None |
| Mac. : 2385 0 0.24 90.75 12.77 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.238 - 10.398: 1207 | 5: 51.034 - 61.193: 93 |
| 1: 10.398 - 20.557: 980 | 6: 61.193 - 71.353: 64 |
| 2: 20.557 - 30.716: 220 | 7: 71.353 - 81.512: 23 |
| 3: 30.716 - 40.875: 113 | 8: 81.512 - 91.671: 9 |
| 4: 40.875 - 51.034: 113 | 9: 91.671 - 101.830: 1 |
| =>continue=> |
|-----------------------------------------------------------------------------|
======================= Individual occupancy refinement =======================
|-individual occupancy refinement: start--------------------------------------|
| r_work = 0.1245 r_free = 0.1729 target_work(ml) = 5.234 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 5 |
|-----------------------------------------------------------------------------|
|-individual occupancy refinement: end----------------------------------------|
| r_work = 0.1244 r_free = 0.1728 target_work(ml) = 5.234 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 5 |
|-----------------------------------------------------------------------------|
*********************** REFINEMENT MACRO_CYCLE 5 OF 5 *************************
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1244 r_free= 0.1728 ksol= 0.32 Bsol= 60.56 scale= 1.010 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.45,-1.95,-0.08,-0.00,-0.00,-0.00); trace/3= -1.49 |
| |
| maximum likelihood estimate for coordinate error: 0.16 A |
| x-ray target function (ml) for work reflections: 5.233972 |
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1244 r_free= 0.1728 ksol= 0.32 Bsol= 57.44 scale= 1.010 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.45,-1.95,-0.08,-0.00,-0.00,-0.00); trace/3= -1.49 |
| |
| maximum likelihood estimate for coordinate error: 0.16 A |
| x-ray target function (ml) for work reflections: 5.233973 |
|-----------------------------------------------------------------------------|
========================== Target weights: x-ray data =========================
|-----------------------------------------------------------------------------|
| XYZ refinement: T = Eexperimental * wxc * wxc_scale + Echem * wc |
| wxc = 3.295981 wxc_scale = 0.500 wc = 1.000 |
| angle between x-ray and geometry gradient vectors: 111.199 (deg) |
| |
| ADP refinement: T = Eexperimental * wxu * wxu_scale + Eadp * wu |
| wxc = 0.399967 wxc_scale = 1.000 wc = 1.000 |
| angle between Xray and ADP gradient vectors: 141.238 (deg) |
|-----------------------------------------------------------------------------|
================================ xyz refinement ===============================
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.1244 final r-factor (work) = 0.1154 |
| start r-factor (free) = 0.1728 final r-factor (free) = 0.1647 |
|-----------------------------------------------------------------------------|
| T_start = wxc * wxc_scale * Exray + wc * Echem |
| 8.7113 = 3.30 * 0.50 * 5.2512 + 1.00 * 0.0573 |
| |
| T_final = wxc * wxc_scale * Exray + wc * Echem |
| 8.6419 = 3.30 * 0.50 * 5.2030 + 1.00 * 0.0674 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 30 |
|-----------------------------------------------------------------------------|
================================ ADP refinement ===============================
----------Individual ADP refinement----------
|-LBFGS minimization----------------------------------------------------------|
| start r-factor (work) = 0.1154 final r-factor (work) = 0.1141 |
| start r-factor (free) = 0.1647 final r-factor (free) = 0.1627 |
|-----------------------------------------------------------------------------|
| T_start = wxu * wxu_scale * Exray + wu * Eadp |
| 2.0916 = 0.40 * 1.00 * 5.2030 + 1.00 * 0.0105 |
| |
| T_final = wxu * wxu_scale * Exray + wu * Eadp |
| 2.0783 = 0.40 * 1.00 * 5.1719 + 1.00 * 0.0097 |
|-----------------------------------------------------------------------------|
| number of iterations = 25 | number of function evaluations = 27 |
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.38 98.55 17.11 None None None |
| all(noH): 2823 0 0.38 98.55 17.11 None None None |
| Sol. : 438 0 5.58 98.55 41.91 None None None |
| Mac. : 2385 0 0.38 93.67 12.55 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.376 - 10.193: 1174 | 5: 49.462 - 59.279: 75 |
| 1: 10.193 - 20.010: 1023 | 6: 59.279 - 69.097: 71 |
| 2: 20.010 - 29.828: 203 | 7: 69.097 - 78.914: 24 |
| 3: 29.828 - 39.645: 136 | 8: 78.914 - 88.731: 7 |
| 4: 39.645 - 49.462: 107 | 9: 88.731 - 98.548: 3 |
| =>continue=> |
|-----------------------------------------------------------------------------|
======================= Individual occupancy refinement =======================
|-individual occupancy refinement: start--------------------------------------|
| r_work = 0.1141 r_free = 0.1627 target_work(ml) = 5.167 |
| occupancies: max = 1.00 min = 0.00 number of occupancies < 0.1: 5 |
|-----------------------------------------------------------------------------|
|-individual occupancy refinement: end----------------------------------------|
| r_work = 0.1140 r_free = 0.1627 target_work(ml) = 5.166 |
| occupancies: max = 1.00 min = 0.01 number of occupancies < 0.1: 3 |
|-----------------------------------------------------------------------------|
----------X-ray data----------
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1140 r_free= 0.1627 ksol= 0.32 Bsol= 57.44 scale= 1.007 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.45,-1.95,-0.08,-0.00,-0.00,-0.00); trace/3= -1.49 |
| |
| maximum likelihood estimate for coordinate error: 0.16 A |
| x-ray target function (ml) for work reflections: 5.166378 |
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
| Bin Resolution Compl. No. Refl. R-factors Targets |
|number range work test work test work test|
| 1: 14.9625 - 4.6850 0.99 1418 156 0.0972 0.1293 5.3895 5.584|
| 2: 4.6850 - 3.7377 0.99 1369 153 0.0834 0.1158 5.4368 5.6468|
| 3: 3.7377 - 3.2708 0.99 1338 149 0.1097 0.1532 5.4973 5.8505|
| 4: 3.2708 - 2.9743 0.99 1325 149 0.1274 0.1772 5.483 5.6457|
| 5: 2.9743 - 2.7626 0.99 1313 146 0.1373 0.1718 5.3616 5.5717|
| 6: 2.7626 - 2.6006 0.99 1325 146 0.1265 0.2097 5.2367 5.5169|
| 7: 2.6006 - 2.4710 0.99 1321 148 0.1352 0.1656 5.2159 5.351|
| 8: 2.4710 - 2.3638 0.98 1303 142 0.1231 0.1683 5.1091 5.3641|
| 9: 2.3638 - 2.2732 0.98 1289 144 0.1203 0.1820 5.04 5.3296|
| 10: 2.2732 - 2.1950 1.00 1296 146 0.1124 0.1778 4.9494 5.2059|
| 11: 2.1950 - 2.1265 0.98 1301 142 0.1124 0.1831 4.9321 5.2834|
| 12: 2.1265 - 2.0659 0.98 1292 142 0.1206 0.1808 4.9203 5.2166|
| 13: 2.0659 - 2.0117 0.93 1223 138 0.1051 0.1716 4.747 4.9817|
| 14: 2.0117 - 1.9627 0.40 517 58 0.0864 0.1572 4.5677 4.859|
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
|R-free likelihood based estimates for figures of merit, absolute phase error,|
|and distribution parameters alpha and beta (Acta Cryst. (1995). A51, 880-887)|
| |
| Bin Resolution No. Refl. FOM Phase Scale Alpha Beta |
| # range work test error factor |
| 1: 14.9625 - 4.6850 1418 156 0.93 9.78 0.98 0.95 7877.11|
| 2: 4.6850 - 3.7377 1369 153 0.95 8.21 1.02 1.01 9557.52|
| 3: 3.7377 - 3.2708 1338 149 0.93 11.90 1.04 1.03 10946.60|
| 4: 3.2708 - 2.9743 1325 149 0.91 14.62 1.02 1.00 11080.50|
| 5: 2.9743 - 2.7626 1313 146 0.90 16.49 1.01 0.99 8967.14|
| 6: 2.7626 - 2.6006 1325 146 0.89 16.92 0.98 0.96 7491.16|
| 7: 2.6006 - 2.4710 1321 148 0.90 16.69 1.00 0.96 6794.17|
| 8: 2.4710 - 2.3638 1303 142 0.90 16.30 1.00 0.97 5777.46|
| 9: 2.3638 - 2.2732 1289 144 0.91 15.65 1.00 0.96 5047.03|
| 10: 2.2732 - 2.1950 1296 146 0.90 15.80 1.01 0.98 4377.10|
| 11: 2.1950 - 2.1265 1301 142 0.90 16.49 0.99 0.95 4417.89|
| 12: 2.1265 - 2.0659 1292 142 0.89 17.02 1.02 1.02 4333.15|
| 13: 2.0659 - 2.0117 1223 138 0.90 16.05 1.00 0.99 3201.43|
| 14: 2.0117 - 1.9627 517 58 0.95 10.97 1.00 0.97 2099.20|
|alpha: min = 0.95 max = 1.03 mean = 0.98|
|beta: min = 2099.20 max = 11080.50 mean = 6824.17|
|figures of merit: min = 0.00 max = 1.00 mean = 0.91|
|phase err.(work): min = 0.00 max = 89.96 mean = 14.59|
|phase err.(test): min = 0.00 max = 89.17 mean = 14.06|
|-----------------------------------------------------------------------------|
====================== bulk solvent modeling and scaling ======================
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1142 r_free= 0.1621 ksol= 0.32 Bsol= 55.35 scale= 1.006 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.39,-2.12,-0.07,-0.00,-0.00,-0.00); trace/3= -1.53 |
| |
| maximum likelihood estimate for coordinate error: 0.15 A |
| x-ray target function (ml) for work reflections: 5.163657 |
|-----------------------------------------------------------------------------|
----------X-ray data----------
|--(resolution: 1.96 - 14.96 A; n_refl. = 19589)------------------------------|
| |
| r_work= 0.1142 r_free= 0.1621 ksol= 0.32 Bsol= 55.35 scale= 1.006 |
| |
| overall anisotropic scale matrix (Cartesian basis; B11,B22,B33,B12,B13,B23):|
| (-2.39,-2.12,-0.07,-0.00,-0.00,-0.00); trace/3= -1.53 |
| |
| maximum likelihood estimate for coordinate error: 0.15 A |
| x-ray target function (ml) for work reflections: 5.163657 |
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
| Bin Resolution Compl. No. Refl. R-factors Targets |
|number range work test work test work test|
| 1: 14.9625 - 4.6850 0.99 1418 156 0.0977 0.1273 5.3688 5.5504|
| 2: 4.6850 - 3.7377 0.99 1369 153 0.0839 0.1141 5.4326 5.6416|
| 3: 3.7377 - 3.2708 0.99 1338 149 0.1105 0.1506 5.4975 5.8389|
| 4: 3.2708 - 2.9743 0.99 1325 149 0.1276 0.1790 5.4832 5.6499|
| 5: 2.9743 - 2.7626 0.99 1313 146 0.1373 0.1712 5.3609 5.5708|
| 6: 2.7626 - 2.6006 0.99 1325 146 0.1264 0.2081 5.235 5.5122|
| 7: 2.6006 - 2.4710 0.99 1321 148 0.1353 0.1665 5.2153 5.3526|
| 8: 2.4710 - 2.3638 0.98 1303 142 0.1229 0.1681 5.1083 5.3614|
| 9: 2.3638 - 2.2732 0.98 1289 144 0.1201 0.1811 5.039 5.3288|
| 10: 2.2732 - 2.1950 1.00 1296 146 0.1122 0.1782 4.9487 5.2084|
| 11: 2.1950 - 2.1265 0.98 1301 142 0.1122 0.1829 4.9314 5.2831|
| 12: 2.1265 - 2.0659 0.98 1292 142 0.1204 0.1805 4.9202 5.2158|
| 13: 2.0659 - 2.0117 0.93 1223 138 0.1048 0.1712 4.7441 4.9788|
| 14: 2.0117 - 1.9627 0.40 517 58 0.0864 0.1558 4.5644 4.8539|
|-----------------------------------------------------------------------------|
|-----------------------------------------------------------------------------|
|R-free likelihood based estimates for figures of merit, absolute phase error,|
|and distribution parameters alpha and beta (Acta Cryst. (1995). A51, 880-887)|
| |
| Bin Resolution No. Refl. FOM Phase Scale Alpha Beta |
| # range work test error factor |
| 1: 14.9625 - 4.6850 1418 156 0.94 9.48 0.98 0.95 7400.36|
| 2: 4.6850 - 3.7377 1369 153 0.95 8.03 1.02 1.01 9210.20|
| 3: 3.7377 - 3.2708 1338 149 0.93 11.80 1.04 1.03 10832.94|
| 4: 3.2708 - 2.9743 1325 149 0.91 14.60 1.02 1.00 11045.21|
| 5: 2.9743 - 2.7626 1313 146 0.90 16.43 1.01 0.99 8924.98|
| 6: 2.7626 - 2.6006 1325 146 0.89 16.86 0.98 0.96 7452.16|
| 7: 2.6006 - 2.4710 1321 148 0.90 16.66 1.00 0.96 6767.40|
| 8: 2.4710 - 2.3638 1303 142 0.90 16.30 1.00 0.97 5773.13|
| 9: 2.3638 - 2.2732 1289 144 0.91 15.64 1.00 0.96 5045.85|
| 10: 2.2732 - 2.1950 1296 146 0.90 15.80 1.01 0.97 4381.09|
| 11: 2.1950 - 2.1265 1301 142 0.90 16.49 0.99 0.95 4421.81|
| 12: 2.1265 - 2.0659 1292 142 0.89 17.02 1.01 1.02 4333.56|
| 13: 2.0659 - 2.0117 1223 138 0.90 16.00 1.00 0.98 3180.00|
| 14: 2.0117 - 1.9627 517 58 0.95 10.88 0.99 0.97 2076.62|
|alpha: min = 0.95 max = 1.03 mean = 0.98|
|beta: min = 2076.62 max = 11045.21 mean = 6737.55|
|figures of merit: min = 0.00 max = 1.00 mean = 0.91|
|phase err.(work): min = 0.00 max = 89.99 mean = 14.52|
|phase err.(test): min = 0.00 max = 89.80 mean = 14.01|
|-----------------------------------------------------------------------------|
|-ADP statistics (Wilson B = 11.668)------------------------------------------|
| Atom | Number of | Isotropic or equivalent| Anisotropy lmin/max |
| type |iso aniso | min max mean | min max mean |
| - - - - |- - - - - - -| - - - - - - - - - - - -| - - - - - - - - - - |
| all : 2823 0 0.36 98.54 17.09 None None None |
| all(noH): 2823 0 0.36 98.54 17.09 None None None |
| Sol. : 438 0 5.57 98.54 41.90 None None None |
| Mac. : 2385 0 0.36 93.65 12.54 None None None |
| Hyd. : 0 0 None None None None None None |
| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - |
| Distribution of isotropic (or equivalent) ADP for non-H atoms: |
| Bin# value range #atoms | Bin# value range #atoms |
| 0: 0.365 - 10.182: 1174 | 5: 49.451 - 59.268: 75 |
| 1: 10.182 - 19.999: 1023 | 6: 59.268 - 69.085: 71 |
| 2: 19.999 - 29.817: 203 | 7: 69.085 - 78.903: 24 |
| 3: 29.817 - 39.634: 136 | 8: 78.903 - 88.720: 7 |
| 4: 39.634 - 49.451: 107 | 9: 88.720 - 98.537: 3 |
| =>continue=> |
|-----------------------------------------------------------------------------|
========== residual map mFobs-DFmodel: highest peaks and deepst holes =========
----------peaks----------
Number of peaks found at mFobs-DFmodel map (map cutoff=3.00 sigma)= 299
Filter by distance & map next to the model:
mapped sites are within: 0.497 - 4.541
number of sites selected in [dist_min= 0.70, dist_max= 6.00]: 296 from: 299
mapped sites are within: 0.776 - 4.541
peak= 6.204 closest distance to " NE2 GLN A 11 " = 1.277
peak= 5.687 closest distance to " O HOH Z 142 " = 1.890
peak= 5.604 closest distance to " O HOH Z 63 " = 1.791
peak= 5.504 closest distance to " O HOH Z 287 " = 2.112
peak= 5.434 closest distance to " CG PRO A 54 " = 1.352
peak= 5.417 closest distance to " O HOH Z 126 " = 2.163
peak= 5.378 closest distance to " O HOH Z 49 " = 1.211
peak= 5.241 closest distance to " O HOH Z 371 " = 1.956
peak= 5.138 closest distance to " O HOH Z 69 " = 1.310
peak= 5.129 closest distance to " O HOH Z 417 " = 2.541
peak= 5.065 closest distance to " O HOH Z 423 " = 1.722
peak= 5.064 closest distance to " O HOH Z 403 " = 1.644
peak= 4.921 closest distance to " O HOH Z 9 " = 1.991
peak= 4.907 closest distance to " O HOH Z 7 " = 1.467
peak= 4.858 closest distance to " O HOH Z 427 " = 2.445
peak= 4.742 closest distance to " NH2 ARG A 56 " = 2.080
peak= 4.731 closest distance to " O HOH Z 380 " = 1.872
peak= 4.681 closest distance to " O HOH Z 232 " = 2.185
peak= 4.656 closest distance to " O HOH Z 419 " = 2.411
peak= 4.656 closest distance to " O HOH Z 298 " = 1.820
peak= 4.594 closest distance to " CB PRO A 54 " = 1.034
peak= 4.565 closest distance to " O HOH Z 425 " = 1.455
peak= 4.536 closest distance to " CB ARG A 275 " = 0.993
peak= 4.497 closest distance to " O HOH Z 78 " = 1.520
peak= 4.496 closest distance to " CB GLN A 223 " = 1.543
peak= 4.434 closest distance to " CB SER A 63 " = 1.215
peak= 4.408 closest distance to " O HOH Z 65 " = 1.089
peak= 4.401 closest distance to " CB GLU A 277 " = 3.541
peak= 4.398 closest distance to " O HOH Z 1 " = 1.877
peak= 4.367 closest distance to " CB ASN A 148 " = 1.490
peak= 4.322 closest distance to " ND2 ASN A 187 " = 1.668
peak= 4.252 closest distance to " CG PRO A 213 " = 1.213
peak= 4.218 closest distance to " O SER A 87 " = 2.308
peak= 4.215 closest distance to " O HOH Z 422 " = 0.966
peak= 4.205 closest distance to " CG TRP A 179 " = 2.122
peak= 4.174 closest distance to " CE LYS A 119 " = 1.246
peak= 4.174 closest distance to " CB ARG A 190 " = 1.551
peak= 4.163 closest distance to " CB ARG A 79 " = 1.367
peak= 4.152 closest distance to " O HOH Z 327 " = 1.652
peak= 4.113 closest distance to " O HOH Z 368 " = 3.607
peak= 4.086 closest distance to " O HOH Z 405 " = 1.422
peak= 4.085 closest distance to " CG2 VAL A 257 " = 0.812
peak= 4.084 closest distance to " O HOH Z 61 " = 1.606
peak= 4.067 closest distance to " CA TYR A 30 " = 0.990
peak= 4.057 closest distance to " O HOH Z 406 " = 1.622
peak= 4.041 closest distance to " O HOH Z 362 " = 2.081
peak= 4.039 closest distance to " O HOH Z 272 " = 1.765
peak= 4.036 closest distance to " NH2AARG A 190 " = 1.877
peak= 4.034 closest distance to " O HOH Z 30 " = 1.812
peak= 4.031 closest distance to " CD2 TRP A 179 " = 1.259
peak= 4.025 closest distance to " O HOH Z 39 " = 1.004
peak= 4.024 closest distance to " O HOH Z 236 " = 1.517
peak= 4.005 closest distance to " CB ASN A 39 " = 0.969
peak= 4.004 closest distance to " NZ LYS A 119 " = 2.484
peak= 3.991 closest distance to " CD ARG A 159 " = 0.787
peak= 3.986 closest distance to " CZ3 TRP A 266 " = 1.161
peak= 3.974 closest distance to " CB GLN A 183 " = 1.171
peak= 3.974 closest distance to " O HOH Z 215 " = 1.452
peak= 3.970 closest distance to " O HOH Z 40 " = 2.123
peak= 3.969 closest distance to " CA ARG A 195 " = 1.220
peak= 3.960 closest distance to " CB VAL A 265 " = 1.361
peak= 3.956 closest distance to " CB GLN A 88 " = 1.272
peak= 3.949 closest distance to " O HOH Z 359 " = 1.472
peak= 3.948 closest distance to " CB ASN A 142 " = 0.967
peak= 3.946 closest distance to " O HOH Z 112 " = 1.068
peak= 3.944 closest distance to " CG GLN A 58 " = 0.959
peak= 3.920 closest distance to " CB ARG A 79 " = 0.912
peak= 3.915 closest distance to " O HOH Z 346 " = 1.604
peak= 3.908 closest distance to " O HOH Z 222 " = 1.150
peak= 3.906 closest distance to " NH1AARG A 145 " = 1.231
peak= 3.896 closest distance to " O HOH Z 365 " = 2.675
peak= 3.893 closest distance to " O HOH Z 59 " = 1.741
peak= 3.867 closest distance to " O HOH Z 286 " = 2.245
peak= 3.862 closest distance to " CG PRO A 90 " = 1.434
peak= 3.855 closest distance to " OG ASER A 258 " = 3.069
peak= 3.851 closest distance to " O HOH Z 145 " = 1.131
peak= 3.851 closest distance to " CG1BVAL A 72 " = 1.216
peak= 3.840 closest distance to " O HOH Z 61 " = 1.681
peak= 3.813 closest distance to " CD ARG A 66 " = 2.394
peak= 3.809 closest distance to " CA VAL A 125 " = 1.160
peak= 3.804 closest distance to " O HOH Z 203 " = 1.715
peak= 3.802 closest distance to " O HOH Z 357 " = 2.002
peak= 3.792 closest distance to " O HOH Z 214 " = 2.472
peak= 3.789 closest distance to " CB LYS A 117 " = 1.197
peak= 3.788 closest distance to " O HOH Z 1 " = 1.723
peak= 3.777 closest distance to " O HOH Z 422 " = 2.382
peak= 3.769 closest distance to " N GLN A 278 " = 1.443
peak= 3.765 closest distance to " CB ASP A 191 " = 1.188
peak= 3.756 closest distance to " O PRO A 198 " = 1.595
peak= 3.753 closest distance to " NZ LYS A 117 " = 2.747
peak= 3.751 closest distance to " O HOH Z 218 " = 1.722
peak= 3.744 closest distance to " O HOH Z 258 " = 2.130
peak= 3.742 closest distance to " CB GLU A 128 " = 0.987
peak= 3.739 closest distance to " CG AARG A 275 " = 1.141
peak= 3.736 closest distance to " O HOH Z 116 " = 2.889
peak= 3.733 closest distance to " CB SER A 212 " = 1.201
peak= 3.732 closest distance to " OG SER A 62 " = 2.925
peak= 3.730 closest distance to " CB ALA A 160 " = 1.454
peak= 3.728 closest distance to " O HOH Z 402 " = 1.478
peak= 3.728 closest distance to " O HOH Z 193 " = 1.607
peak= 3.727 closest distance to " O HOH Z 437 " = 1.674
peak= 3.723 closest distance to " CB THR A 31 " = 1.653
peak= 3.721 closest distance to " O HOH Z 2 " = 1.636
peak= 3.715 closest distance to " CB VAL A 202 " = 1.643
peak= 3.705 closest distance to " O HOH Z 3 " = 2.075
peak= 3.698 closest distance to " CE LYS A 76 " = 0.865
peak= 3.696 closest distance to " CG LYS A 76 " = 1.578
peak= 3.695 closest distance to " OD1 ASN A 69 " = 2.539
peak= 3.695 closest distance to " CB TRP A 179 " = 1.402
peak= 3.684 closest distance to " O HOH Z 188 " = 2.808
peak= 3.676 closest distance to " CB ALA A 114 " = 1.382
peak= 3.676 closest distance to " O HOH Z 145 " = 2.162
peak= 3.664 closest distance to " O HOH Z 44 " = 1.711
peak= 3.658 closest distance to " O HOH Z 394 " = 1.773
peak= 3.657 closest distance to " CB GLU A 152 " = 1.253
peak= 3.654 closest distance to " CB TRP A 266 " = 1.103
peak= 3.645 closest distance to " CB SER A 3 " = 1.381
peak= 3.643 closest distance to " O HOH Z 394 " = 3.832
peak= 3.643 closest distance to " CA ASN A 127 " = 1.095
peak= 3.635 closest distance to " O HOH Z 180 " = 2.196
peak= 3.626 closest distance to " ND2 ASN A 249 " = 0.857
peak= 3.626 closest distance to " CA SER A 87 " = 1.002
peak= 3.626 closest distance to " CB GLU A 46 " = 1.077
peak= 3.621 closest distance to " O HOH Z 68 " = 2.038
peak= 3.619 closest distance to " OG BSER A 164 " = 2.150
peak= 3.613 closest distance to " CZ PHE A 218 " = 1.062
peak= 3.594 closest distance to " O HOH Z 10 " = 1.672
peak= 3.590 closest distance to " O HOH Z 419 " = 1.569
peak= 3.586 closest distance to " CE3 TRP A 150 " = 1.076
peak= 3.582 closest distance to " CG PRO A 198 " = 1.255
peak= 3.577 closest distance to " CB SER A 216 " = 0.924
peak= 3.568 closest distance to " ND1 HIS A 86 " = 1.726
peak= 3.566 closest distance to " O HOH Z 371 " = 1.806
peak= 3.565 closest distance to " CB PHE A 130 " = 0.945
peak= 3.557 closest distance to " CB LEU A 300 " = 0.925
peak= 3.555 closest distance to " O HOH Z 88 " = 3.716
peak= 3.554 closest distance to " O HOH Z 71 " = 1.261
peak= 3.550 closest distance to " CG1 ILE A 120 " = 1.410
peak= 3.547 closest distance to " O HOH Z 158 " = 3.134
peak= 3.545 closest distance to " OE2 GLU A 53 " = 1.956
peak= 3.541 closest distance to " O HOH Z 378 " = 0.932
peak= 3.536 closest distance to " CG LEU A 167 " = 1.273
peak= 3.535 closest distance to " O HOH Z 225 " = 1.491
peak= 3.535 closest distance to " O HOH Z 132 " = 2.340
peak= 3.528 closest distance to " O HOH Z 28 " = 1.809
peak= 3.524 closest distance to " O HOH Z 250 " = 1.292
peak= 3.523 closest distance to " O HOH Z 368 " = 1.776
peak= 3.522 closest distance to " O HOH Z 234 " = 3.649
peak= 3.517 closest distance to " CA TYR A 116 " = 1.343
peak= 3.516 closest distance to " O HOH Z 97 " = 2.055
peak= 3.510 closest distance to " O HOH Z 305 " = 3.549
peak= 3.508 closest distance to " O HOH Z 345 " = 1.973
peak= 3.508 closest distance to " O HOH Z 26 " = 1.290
peak= 3.507 closest distance to " O HOH Z 193 " = 1.664
peak= 3.495 closest distance to " NZ LYS A 119 " = 1.355
peak= 3.492 closest distance to " O HOH Z 126 " = 1.461
peak= 3.481 closest distance to " CG2 ILE A 20 " = 1.508
peak= 3.477 closest distance to " N TYR A 116 " = 1.387
peak= 3.475 closest distance to " CG2 THR A 221 " = 1.139
peak= 3.466 closest distance to " O PRO A 198 " = 1.315
peak= 3.463 closest distance to " NZ LYS A 48 " = 1.156
peak= 3.453 closest distance to " CD ARG A 259 " = 1.783
peak= 3.451 closest distance to " O HOH Z 411 " = 3.751
peak= 3.444 closest distance to " NH1BARG A 145 " = 1.380
peak= 3.443 closest distance to " O HOH Z 272 " = 2.112
peak= 3.441 closest distance to " CG2 VAL A 197 " = 1.041
peak= 3.440 closest distance to " O HOH Z 128 " = 2.113
peak= 3.438 closest distance to " CD PRO A 243 " = 1.699
peak= 3.433 closest distance to " O HOH Z 425 " = 1.919
peak= 3.429 closest distance to " O ASN A 74 " = 1.413
peak= 3.426 closest distance to " O HOH Z 344 " = 3.131
peak= 3.425 closest distance to " CB SER A 62 " = 1.010
peak= 3.416 closest distance to " CB ASN A 110 " = 0.995
peak= 3.411 closest distance to " CB ASN A 215 " = 1.059
peak= 3.410 closest distance to " O HOH Z 368 " = 4.195
peak= 3.408 closest distance to " O HOH Z 188 " = 1.478
peak= 3.406 closest distance to " CB ALA A 1 " = 4.541
peak= 3.403 closest distance to " O HOH Z 188 " = 2.006
peak= 3.402 closest distance to " CA ALA A 233 " = 0.981
peak= 3.401 closest distance to " O HOH Z 283 " = 2.186
peak= 3.400 closest distance to " CD ARG A 79 " = 2.178
peak= 3.389 closest distance to " O HOH Z 119 " = 4.223
peak= 3.388 closest distance to " CG PRO A 243 " = 1.076
peak= 3.385 closest distance to " CB ASP A 124 " = 0.816
peak= 3.385 closest distance to " O HOH Z 194 " = 2.297
peak= 3.383 closest distance to " O HOH Z 153 " = 3.609
peak= 3.378 closest distance to " OG BSER A 99 " = 2.433
peak= 3.376 closest distance to " CA PHE A 283 " = 1.280
peak= 3.371 closest distance to " O HOH Z 216 " = 3.889
peak= 3.371 closest distance to " O HOH Z 130 " = 2.465
peak= 3.371 closest distance to " CB SER A 276 " = 1.206
peak= 3.368 closest distance to " O HOH Z 117 " = 1.285
peak= 3.364 closest distance to " O THR A 220 " = 1.307
peak= 3.362 closest distance to " O HOH Z 421 " = 2.100
peak= 3.357 closest distance to " O HOH Z 48 " = 1.606
peak= 3.351 closest distance to " CA ALA A 158 " = 1.198
peak= 3.349 closest distance to " CG2 ILE A 120 " = 1.380
peak= 3.346 closest distance to " O HOH Z 172 " = 2.312
peak= 3.343 closest distance to " CB SER A 26 " = 1.721
peak= 3.341 closest distance to " NE2 HIS A 207 " = 1.140
peak= 3.338 closest distance to " O HOH Z 323 " = 1.657
peak= 3.336 closest distance to " O HOH Z 175 " = 2.153
peak= 3.335 closest distance to " O HOH Z 128 " = 1.970
peak= 3.335 closest distance to " CA ALA A 291 " = 0.843
peak= 3.325 closest distance to " CB THR A 157 " = 1.094
peak= 3.324 closest distance to " O HOH Z 393 " = 1.326
peak= 3.324 closest distance to " NZ LYS A 166 " = 1.035
peak= 3.314 closest distance to " O HOH Z 352 " = 1.363
peak= 3.313 closest distance to " N CYS A 260 " = 0.887
peak= 3.311 closest distance to " O HOH Z 245 " = 1.306
peak= 3.309 closest distance to " O HOH Z 392 " = 1.157
peak= 3.308 closest distance to " O HOH Z 261 " = 1.670
peak= 3.307 closest distance to " N SER A 97 " = 0.824
peak= 3.307 closest distance to " O HOH Z 434 " = 1.342
peak= 3.306 closest distance to " CB ASN A 187 " = 1.019
peak= 3.305 closest distance to " CD LYS A 193 " = 1.999
peak= 3.304 closest distance to " CB ARG A 139 " = 1.357
peak= 3.304 closest distance to " CB PRO A 90 " = 1.096
peak= 3.303 closest distance to " O BHOH Z 338 " = 2.388
peak= 3.298 closest distance to " ND2BASN A 224 " = 0.813
peak= 3.294 closest distance to " OG BSER A 134 " = 3.048
peak= 3.293 closest distance to " O HOH Z 40 " = 2.080
peak= 3.288 closest distance to " CB ARG A 219 " = 0.936
peak= 3.280 closest distance to " O HOH Z 128 " = 1.859
peak= 3.278 closest distance to " CA ILE A 234 " = 1.029
peak= 3.278 closest distance to " O HOH Z 181 " = 2.154
peak= 3.277 closest distance to " NZ LYS A 117 " = 1.469
peak= 3.274 closest distance to " O HOH Z 285 " = 2.501
peak= 3.273 closest distance to " CA ALA A 51 " = 0.970
peak= 3.267 closest distance to " O ALA A 165 " = 1.401
peak= 3.267 closest distance to " O HOH Z 435 " = 1.935
peak= 3.265 closest distance to " O HOH Z 414 " = 1.273
peak= 3.264 closest distance to " O HOH Z 119 " = 1.668
peak= 3.263 closest distance to " CA ASP A 162 " = 1.033
peak= 3.262 closest distance to " CA ASP A 140 " = 1.666
peak= 3.262 closest distance to " O HOH Z 244 " = 1.752
peak= 3.261 closest distance to " O HOH Z 148 " = 3.379
peak= 3.260 closest distance to " O HOH Z 193 " = 1.926
peak= 3.255 closest distance to " CA ALA A 129 " = 1.235
peak= 3.251 closest distance to " CB TYR A 30 " = 1.414
peak= 3.243 closest distance to " N ASN A 39 " = 1.244
peak= 3.241 closest distance to " O HOH Z 44 " = 2.866
peak= 3.241 closest distance to " O HOH Z 148 " = 2.114
peak= 3.239 closest distance to " CA ASN A 217 " = 1.247
peak= 3.238 closest distance to " O HOH Z 386 " = 2.914
peak= 3.236 closest distance to " CD2 LEU A 297 " = 1.049
peak= 3.231 closest distance to " CB ASP A 140 " = 0.967
peak= 3.230 closest distance to " CB TRP A 150 " = 1.140
peak= 3.228 closest distance to " CD1 ILE A 199 " = 1.225
peak= 3.226 closest distance to " OE1 GLN A 77 " = 1.244
peak= 3.225 closest distance to " NH2BARG A 145 " = 1.870
peak= 3.217 closest distance to " O HOH Z 156 " = 2.615
peak= 3.216 closest distance to " O HOH Z 213 " = 2.286
peak= 3.216 closest distance to " O GLY A 302 " = 2.192
peak= 3.200 closest distance to " O HOH Z 124 " = 1.282
peak= 3.196 closest distance to " CD2 LEU A 5 " = 1.363
peak= 3.196 closest distance to " O HOH Z 365 " = 1.439
peak= 3.194 closest distance to " CB TYR A 169 " = 0.909
peak= 3.193 closest distance to " O HOH Z 285 " = 2.092
peak= 3.191 closest distance to " O HOH Z 21 " = 1.725
peak= 3.189 closest distance to " CB LEU A 83 " = 0.836
peak= 3.187 closest distance to " O HOH Z 213 " = 2.152
peak= 3.181 closest distance to " O TYR A 116 " = 1.306
peak= 3.180 closest distance to " N TYR A 15 " = 1.112
peak= 3.177 closest distance to " CB LEU A 228 " = 1.081
peak= 3.177 closest distance to " CA ARG A 102 " = 1.181
peak= 3.172 closest distance to " CA THR A 264 " = 0.874
peak= 3.171 closest distance to " CB ALA A 114 " = 0.833
peak= 3.168 closest distance to " O HOH Z 248 " = 1.542
peak= 3.168 closest distance to " CA ARG A 156 " = 1.044
peak= 3.156 closest distance to " CG LYS A 119 " = 1.075
peak= 3.148 closest distance to " O HOH Z 143 " = 1.335
peak= 3.143 closest distance to " O HOH Z 222 " = 2.324
peak= 3.139 closest distance to " N GLU A 2 " = 1.489
peak= 3.134 closest distance to " O HOH Z 357 " = 2.376
peak= 3.128 closest distance to " O HOH Z 294 " = 1.428
peak= 3.127 closest distance to " O HOH Z 375 " = 1.024
peak= 3.123 closest distance to " CB ARG A 138 " = 0.906
peak= 3.119 closest distance to " O HOH Z 153 " = 4.188
peak= 3.117 closest distance to " O BHOH Z 74 " = 1.289
peak= 3.115 closest distance to " O HOH Z 388 " = 2.177
peak= 3.114 closest distance to " O HOH Z 171 " = 2.911
peak= 3.114 closest distance to " O HOH Z 128 " = 2.925
peak= 3.097 closest distance to " O HOH Z 198 " = 1.546
peak= 3.088 closest distance to " CB PHE A 204 " = 0.776
peak= 3.074 closest distance to " CB ALA A 248 " = 0.978
peak= 3.069 closest distance to " O HOH Z 109 " = 2.309
peak= 3.066 closest distance to " O HOH Z 51 " = 1.463
peak= 3.062 closest distance to " NH1 ARG A 138 " = 1.124
peak= 3.061 closest distance to " CA ALA A 299 " = 0.858
peak= 3.060 closest distance to " O HOH Z 153 " = 1.537
peak= 3.057 closest distance to " O HOH Z 158 " = 3.279
peak= 3.055 closest distance to " O HOH Z 42 " = 1.471
peak= 3.047 closest distance to " O HOH Z 371 " = 3.111
peak= 3.003 closest distance to " O HOH Z 375 " = 2.488
peak= 2.977 closest distance to " O HOH Z 188 " = 2.443
----------holes----------
Number of peaks found at mFobs-DFmodel map (map cutoff=3.00 sigma)= 200
Filter by distance & map next to the model:
mapped sites are within: 0.693 - 5.614
number of sites selected in [dist_min= 0.70, dist_max= 6.00]: 198 from: 200
mapped sites are within: 0.792 - 5.614
peak= -4.572 closest distance to " CD ARG A 14 " = 3.216
peak= -4.374 closest distance to " O HOH Z 377 " = 2.065
peak= -4.317 closest distance to " O HOH Z 69 " = 1.627
peak= -4.294 closest distance to " CB ALA A 43 " = 2.420
peak= -4.290 closest distance to " OG BSER A 134 " = 1.374
peak= -4.267 closest distance to " O PRO A 198 " = 1.230
peak= -4.260 closest distance to " CB PRO A 243 " = 2.640
peak= -4.240 closest distance to " O HOH Z 131 " = 3.953
peak= -4.153 closest distance to " C HIS A 108 " = 1.235
peak= -4.115 closest distance to " CD ARG A 156 " = 2.045
peak= -4.079 closest distance to " O VAL A 67 " = 2.609
peak= -3.994 closest distance to " O SER A 22 " = 2.630
peak= -3.980 closest distance to " O HOH Z 290 " = 1.017
peak= -3.978 closest distance to " O HOH Z 211 " = 1.211
peak= -3.973 closest distance to " O HOH Z 351 " = 1.595
peak= -3.933 closest distance to " CB ALA A 291 " = 2.237
peak= -3.911 closest distance to " O HOH Z 60 " = 1.753
peak= -3.910 closest distance to " O PRO A 198 " = 1.401
peak= -3.907 closest distance to " CG2 ILE A 49 " = 2.837
peak= -3.905 closest distance to " CE BMET A 47 " = 1.193
peak= -3.897 closest distance to " CD1 LEU A 101 " = 2.200
peak= -3.895 closest distance to " CA GLY A 98 " = 1.769
peak= -3.889 closest distance to " O GLU A 152 " = 1.376
peak= -3.859 closest distance to " O ALA A 10 " = 1.617
peak= -3.848 closest distance to " O HOH Z 185 " = 2.165
peak= -3.808 closest distance to " CD2 TYR A 293 " = 1.853
peak= -3.807 closest distance to " O HOH Z 298 " = 2.587
peak= -3.781 closest distance to " CE2 PHE A 218 " = 2.455
peak= -3.778 closest distance to " OD1 ASP A 191 " = 1.874
peak= -3.773 closest distance to " O PRO A 243 " = 2.474
peak= -3.768 closest distance to " ND2 ASN A 249 " = 2.142
peak= -3.765 closest distance to " N THR A 157 " = 1.542
peak= -3.759 closest distance to " CG GLN A 58 " = 1.041
peak= -3.746 closest distance to " O HOH Z 266 " = 5.082
peak= -3.745 closest distance to " CA GLY A 241 " = 2.253
peak= -3.735 closest distance to " O HOH Z 385 " = 1.893
peak= -3.718 closest distance to " CD1 LEU A 255 " = 2.809
peak= -3.697 closest distance to " O HOH Z 231 " = 2.145
peak= -3.687 closest distance to " O HOH Z 286 " = 1.553
peak= -3.677 closest distance to " CG GLN A 223 " = 2.208
peak= -3.658 closest distance to " O HOH Z 429 " = 1.907
peak= -3.613 closest distance to " NH2 ARG A 79 " = 2.240
peak= -3.604 closest distance to " O SER A 135 " = 1.454
peak= -3.601 closest distance to " CB ALA A 158 " = 1.688
peak= -3.596 closest distance to " NE2 GLN A 278 " = 1.481
peak= -3.595 closest distance to " O HOH Z 15 " = 1.537
peak= -3.592 closest distance to " O HOH Z 372 " = 2.416
peak= -3.590 closest distance to " CG2 ILE A 20 " = 2.868
peak= -3.589 closest distance to " CB ASP A 27 " = 2.350
peak= -3.586 closest distance to " CZ2 TRP A 274 " = 0.970
peak= -3.578 closest distance to " O HOH Z 24 " = 1.081
peak= -3.575 closest distance to " OD1 ASP A 171 " = 1.643
peak= -3.564 closest distance to " O PHE A 218 " = 1.441
peak= -3.561 closest distance to " O HOH Z 359 " = 3.182
peak= -3.557 closest distance to " CB ASP A 132 " = 2.375
peak= -3.554 closest distance to " CG2 THR A 18 " = 2.799
peak= -3.550 closest distance to " CG1 VAL A 112 " = 2.613
peak= -3.550 closest distance to " CB ALA A 114 " = 2.513
peak= -3.545 closest distance to " O HOH Z 140 " = 1.207
peak= -3.544 closest distance to " N GLN A 58 " = 1.741
peak= -3.523 closest distance to " OXT GLY A 302 " = 3.161
peak= -3.523 closest distance to " O HOH Z 105 " = 1.008
peak= -3.521 closest distance to " O HOH Z 313 " = 1.711
peak= -3.516 closest distance to " OD2 ASP A 191 " = 1.325
peak= -3.514 closest distance to " CB ASN A 39 " = 2.381
peak= -3.514 closest distance to " O HOH Z 198 " = 1.335
peak= -3.510 closest distance to " O HOH Z 412 " = 3.866
peak= -3.509 closest distance to " O GLN A 240 " = 2.064
peak= -3.506 closest distance to " O HOH Z 348 " = 2.075
peak= -3.505 closest distance to " CG2 THR A 178 " = 2.118
peak= -3.504 closest distance to " O HOH Z 389 " = 1.387
peak= -3.500 closest distance to " CB ALA A 291 " = 2.032
peak= -3.496 closest distance to " C ALA A 114 " = 2.221
peak= -3.493 closest distance to " ND2 ASN A 285 " = 2.113
peak= -3.489 closest distance to " CE MET A 105 " = 2.492
peak= -3.481 closest distance to " O HOH Z 65 " = 1.263
peak= -3.479 closest distance to " CA GLY A 133 " = 1.977
peak= -3.476 closest distance to " O PRO A 163 " = 1.956
peak= -3.475 closest distance to " CZ3 TRP A 179 " = 1.258
peak= -3.475 closest distance to " CB PHE A 192 " = 1.935
peak= -3.474 closest distance to " O HOH Z 100 " = 1.085
peak= -3.469 closest distance to " CD GLU A 277 " = 1.240
peak= -3.468 closest distance to " O HOH Z 49 " = 1.156
peak= -3.467 closest distance to " CD2 LEU A 237 " = 2.781
peak= -3.465 closest distance to " OE1 GLN A 183 " = 1.567
peak= -3.463 closest distance to " O HOH Z 111 " = 2.044
peak= -3.461 closest distance to " O HOH Z 39 " = 1.122
peak= -3.454 closest distance to " CA ASP A 298 " = 1.131
peak= -3.452 closest distance to " O HOH Z 231 " = 1.113
peak= -3.447 closest distance to " O HOH Z 407 " = 2.965
peak= -3.432 closest distance to " OG SER A 97 " = 2.143
peak= -3.431 closest distance to " O ALA A 161 " = 1.658
peak= -3.411 closest distance to " CB GLN A 11 " = 1.781
peak= -3.406 closest distance to " O HOH Z 219 " = 4.640
peak= -3.404 closest distance to " O ALA A 180 " = 1.105
peak= -3.403 closest distance to " CB ASN A 45 " = 2.028
peak= -3.403 closest distance to " CB TRP A 85 " = 2.418
peak= -3.392 closest distance to " CG2 ILE A 263 " = 2.244
peak= -3.392 closest distance to " O HOH Z 276 " = 1.448
peak= -3.391 closest distance to " N PRO A 163 " = 1.538
peak= -3.388 closest distance to " O HOH Z 174 " = 2.604
peak= -3.386 closest distance to " O SER A 210 " = 1.893
peak= -3.376 closest distance to " N ALA A 43 " = 2.595
peak= -3.370 closest distance to " CG1 VAL A 230 " = 2.042
peak= -3.358 closest distance to " OG BSER A 134 " = 1.749
peak= -3.358 closest distance to " O ALA A 1 " = 1.568
peak= -3.357 closest distance to " CB ALA A 291 " = 2.511
peak= -3.357 closest distance to " ND2 ASN A 45 " = 2.239
peak= -3.352 closest distance to " CD2 PHE A 61 " = 1.965
peak= -3.350 closest distance to " O HOH Z 9 " = 2.612
peak= -3.349 closest distance to " CG LEU A 83 " = 2.170
peak= -3.345 closest distance to " O HOH Z 11 " = 1.674
peak= -3.344 closest distance to " SG BCYS A 201 " = 1.909
peak= -3.340 closest distance to " OE2 GLU A 152 " = 1.211
peak= -3.337 closest distance to " CG1 VAL A 112 " = 3.074
peak= -3.335 closest distance to " O ILE A 49 " = 1.600
peak= -3.334 closest distance to " ND2 ASN A 187 " = 1.413
peak= -3.331 closest distance to " CE3 TRP A 274 " = 2.299
peak= -3.327 closest distance to " CA GLY A 57 " = 2.134
peak= -3.325 closest distance to " O HOH Z 389 " = 2.208
peak= -3.314 closest distance to " O HOH Z 357 " = 2.156
peak= -3.310 closest distance to " CG2 ILE A 151 " = 2.519
peak= -3.300 closest distance to " NZ LYS A 166 " = 1.303
peak= -3.298 closest distance to " CB ALA A 10 " = 2.319
peak= -3.294 closest distance to " O HOH Z 421 " = 2.766
peak= -3.291 closest distance to " CE2 TYR A 30 " = 2.584
peak= -3.291 closest distance to " O HOH Z 90 " = 2.476
peak= -3.289 closest distance to " CG PHE A 283 " = 2.594
peak= -3.288 closest distance to " O HOH Z 26 " = 0.989
peak= -3.283 closest distance to " O HOH Z 216 " = 1.425
peak= -3.279 closest distance to " N LYS A 166 " = 1.774
peak= -3.275 closest distance to " O HOH Z 292 " = 1.487
peak= -3.274 closest distance to " CG ASN A 39 " = 1.643
peak= -3.274 closest distance to " CG GLN A 88 " = 0.851
peak= -3.271 closest distance to " CZ PHE A 38 " = 2.551
peak= -3.269 closest distance to " O HOH Z 275 " = 1.676
peak= -3.268 closest distance to " O HOH Z 102 " = 1.566
peak= -3.267 closest distance to " CB ASP A 171 " = 2.229
peak= -3.266 closest distance to " O HOH Z 5 " = 1.018
peak= -3.264 closest distance to " O HOH Z 318 " = 1.770
peak= -3.264 closest distance to " O HOH Z 152 " = 4.731
peak= -3.262 closest distance to " CG2 THR A 42 " = 1.887
peak= -3.253 closest distance to " O HOH Z 191 " = 5.614
peak= -3.251 closest distance to " O HOH Z 134 " = 3.838
peak= -3.247 closest distance to " OG1 THR A 82 " = 2.012
peak= -3.244 closest distance to " O HOH Z 166 " = 1.804
peak= -3.243 closest distance to " OE1 GLN A 88 " = 1.112
peak= -3.242 closest distance to " O HOH Z 364 " = 1.577
peak= -3.236 closest distance to " CE1 TYR A 247 " = 2.727
peak= -3.234 closest distance to " CD2 PHE A 225 " = 1.141
peak= -3.230 closest distance to " O HOH Z 265 " = 2.758
peak= -3.230 closest distance to " O HOH Z 52 " = 1.310
peak= -3.228 closest distance to " O LYS A 76 " = 1.812
peak= -3.223 closest distance to " CZ TYR A 169 " = 1.877
peak= -3.220 closest distance to " O HOH Z 152 " = 0.839
peak= -3.215 closest distance to " N PHE A 59 " = 2.000
peak= -3.210 closest distance to " O HOH Z 278 " = 1.183
peak= -3.208 closest distance to " ND2BASN A 224 " = 1.751
peak= -3.206 closest distance to " O HOH Z 193 " = 1.214
peak= -3.204 closest distance to " O HOH Z 253 " = 3.823
peak= -3.204 closest distance to " O HOH Z 68 " = 1.404
peak= -3.202 closest distance to " OH TYR A 172 " = 1.772
peak= -3.202 closest distance to " O VAL A 189 " = 2.570
peak= -3.190 closest distance to " O HOH Z 383 " = 1.132
peak= -3.180 closest distance to " CB SER A 245 " = 2.174
peak= -3.179 closest distance to " N VAL A 232 " = 2.024
peak= -3.178 closest distance to " CD GLN A 77 " = 1.298
peak= -3.177 closest distance to " O HOH Z 414 " = 1.320
peak= -3.176 closest distance to " O HOH Z 428 " = 2.544
peak= -3.175 closest distance to " O ARG A 145 " = 1.176
peak= -3.175 closest distance to " O HOH Z 1 " = 1.338
peak= -3.162 closest distance to " N SER A 141 " = 1.805
peak= -3.161 closest distance to " O HOH Z 281 " = 2.676
peak= -3.161 closest distance to " CE LYS A 76 " = 2.785
peak= -3.159 closest distance to " OG SER A 245 " = 1.455
peak= -3.158 closest distance to " CB GLN A 55 " = 1.293
peak= -3.158 closest distance to " OG SER A 87 " = 1.397
peak= -3.150 closest distance to " CB TYR A 15 " = 2.185
peak= -3.146 closest distance to " CD LYS A 166 " = 2.507
peak= -3.146 closest distance to " CB PRO A 213 " = 2.216
peak= -3.145 closest distance to " O HOH Z 427 " = 1.543
peak= -3.140 closest distance to " O HOH Z 137 " = 1.558
peak= -3.138 closest distance to " OG BSER A 210 " = 2.362
peak= -3.134 closest distance to " O HOH Z 438 " = 1.210
peak= -3.133 closest distance to " O HOH Z 384 " = 3.043
peak= -3.133 closest distance to " O HOH Z 73 " = 2.402
peak= -3.129 closest distance to " C LEU A 222 " = 0.822
peak= -3.125 closest distance to " NE2 GLN A 194 " = 1.826
peak= -3.099 closest distance to " CB SER A 210 " = 1.164
peak= -3.096 closest distance to " O HOH Z 28 " = 1.815
peak= -3.093 closest distance to " OE1 GLU A 277 " = 2.279
peak= -3.091 closest distance to " O HOH Z 37 " = 1.659
peak= -3.083 closest distance to " CB PHE A 59 " = 1.953
peak= -3.077 closest distance to " O HOH Z 51 " = 0.792
peak= -3.066 closest distance to " NH2 ARG A 219 " = 1.814
peak= -3.056 closest distance to " O HOH Z 346 " = 1.722
peak= -3.046 closest distance to " NE2 GLN A 278 " = 1.490
peak= -3.010 closest distance to " OD2 ASP A 132 " = 2.227
================= overall refinement statistics: step by step =================
****************** REFINEMENT STATISTICS STEP BY STEP ******************
leading digit, like 1_, means number of macro-cycle
0 : statistics at the very beginning when nothing is done yet
1_bss: bulk solvent correction and/or (anisotropic) scaling
1_xyz: refinement of coordinates
1_adp: refinement of ADPs (Atomic Displacement Parameters)
1_occ: refinement of individual occupancies
------------------------------------------------------------------------
R-factors, x-ray target values and norm of gradient of x-ray target
stage r-work r-free xray_target_w xray_target_t
0 : 0.4602 0.4624 6.271489e+00 6.256223e+00
1_bss: 0.4497 0.4521 6.263859e+00 6.244977e+00
1_xyz: 0.3489 0.3862 6.090561e+00 6.149324e+00
1_adp: 0.3162 0.4014 6.049629e+00 6.170986e+00
1_occ: 0.3160 0.4023 6.050015e+00 6.171918e+00
2_bss: 0.3152 0.4002 6.050453e+00 6.172558e+00
2_xyz: 0.2413 0.3114 5.819225e+00 5.995006e+00
2_adp: 0.2205 0.2846 5.743793e+00 5.924509e+00
2_occ: 0.2204 0.2839 5.742736e+00 5.922833e+00
3_bss: 0.2202 0.2831 5.740548e+00 5.920962e+00
3_xyz: 0.1632 0.2168 5.469698e+00 5.683658e+00
3_adp: 0.1458 0.1996 5.376897e+00 5.608774e+00
3_occ: 0.1457 0.1995 5.376122e+00 5.607803e+00
4_bss: 0.1455 0.1989 5.371968e+00 5.604392e+00
4_xyz: 0.1285 0.1782 5.264832e+00 5.500435e+00
4_adp: 0.1245 0.1729 5.234442e+00 5.469677e+00
4_occ: 0.1244 0.1728 5.233972e+00 5.469072e+00
5_bss: 0.1244 0.1728 5.233973e+00 5.469068e+00
5_xyz: 0.1154 0.1647 5.175539e+00 5.424804e+00
5_adp: 0.1141 0.1627 5.166863e+00 5.415722e+00
5_occ: 0.1140 0.1627 5.166378e+00 5.415206e+00
5_bss: 0.1142 0.1621 5.163657e+00 5.410781e+00
------------------------------------------------------------------------
stage k_sol b_sol b11 b22 b33 b12 b13 b23
0 : 0.000 0.000 0.000 0.000 0.000 0.000 0.000 0.000
1_bss: 0.328 26.679 -2.707 1.881 2.949 0.000 0.000 0.000
1_xyz: 0.328 26.679 -2.707 1.881 2.949 0.000 0.000 0.000
1_adp: 0.328 26.679 -2.707 1.881 2.949 0.000 0.000 0.000
1_occ: 0.328 26.679 -2.707 1.881 2.949 0.000 0.000 0.000
2_bss: 0.344 60.562 -1.886 0.179 1.380 0.000 0.000 0.000
2_xyz: 0.344 60.562 -1.886 0.179 1.380 0.000 0.000 0.000
2_adp: 0.344 60.562 -1.886 0.179 1.380 0.000 0.000 0.000
2_occ: 0.344 60.562 -1.886 0.179 1.380 0.000 0.000 0.000
3_bss: 0.333 60.562 -2.089 -1.060 0.479 -0.000 0.000 0.000
3_xyz: 0.333 60.562 -2.089 -1.060 0.479 -0.000 0.000 0.000
3_adp: 0.333 60.562 -2.089 -1.060 0.479 -0.000 0.000 0.000
3_occ: 0.333 60.562 -2.089 -1.060 0.479 -0.000 0.000 0.000
4_bss: 0.324 60.562 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
4_xyz: 0.324 60.562 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
4_adp: 0.324 60.562 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
4_occ: 0.324 60.562 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
5_bss: 0.320 57.440 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
5_xyz: 0.320 57.440 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
5_adp: 0.320 57.440 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
5_occ: 0.320 57.440 -2.454 -1.947 -0.079 -0.000 -0.000 -0.000
5_bss: 0.319 55.347 -2.395 -2.115 -0.073 -0.000 -0.000 -0.000
------------------------------------------------------------------------
stage <pher> fom alpha beta
0 : 54.696 0.4620 0.6284 66145.308
1_bss: 53.461 0.4763 0.6662 62984.977
1_xyz: 42.654 0.6107 0.8300 43213.741
1_adp: 44.572 0.5863 0.8078 46717.377
1_occ: 44.706 0.5847 0.8050 46914.706
2_bss: 44.380 0.5887 0.7898 46484.211
2_xyz: 32.752 0.7254 0.9436 26064.587
2_adp: 28.956 0.7691 0.9683 21675.164
2_occ: 28.905 0.7696 0.9685 21571.059
3_bss: 28.753 0.7711 0.9433 21369.170
3_xyz: 21.235 0.8489 0.9956 12125.468
3_adp: 19.253 0.8685 0.9930 10384.605
3_occ: 19.227 0.8687 0.9929 10359.117
4_bss: 19.103 0.8696 0.9722 10229.952
4_xyz: 16.526 0.8933 0.9850 8099.882
4_adp: 15.738 0.9006 0.9817 7678.949
4_occ: 15.730 0.9007 0.9816 7660.781
5_bss: 15.733 0.9006 0.9815 7661.051
5_xyz: 14.790 0.9083 0.9858 6939.951
5_adp: 14.541 0.9107 0.9814 6834.454
5_occ: 14.533 0.9107 0.9814 6824.448
5_bss: 14.470 0.9111 0.9803 6737.850
------------------------------------------------------------------------
stage angl bond chir dihe plan repu geom_target
0 : 1.822 0.010 0.101 15.968 0.009 4.108 1.8599e-01
1_bss: 1.822 0.010 0.101 15.968 0.009 4.108 1.8599e-01
1_xyz: 1.548 0.011 0.102 15.837 0.007 4.102 1.2645e-01
1_adp: 1.548 0.011 0.102 15.837 0.007 4.102 1.2645e-01
1_occ: 1.548 0.011 0.102 15.837 0.007 4.102 1.2645e-01
2_bss: 1.548 0.011 0.102 15.837 0.007 4.102 1.2645e-01
2_xyz: 1.312 0.010 0.095 15.549 0.004 4.112 9.3615e-02
2_adp: 1.312 0.010 0.095 15.549 0.004 4.112 9.3615e-02
2_occ: 1.312 0.010 0.095 15.549 0.004 4.112 9.3615e-02
3_bss: 1.312 0.010 0.095 15.549 0.004 4.112 9.3615e-02
3_xyz: 1.117 0.009 0.079 15.133 0.004 4.112 7.2718e-02
3_adp: 1.117 0.009 0.079 15.133 0.004 4.112 7.2718e-02
3_occ: 1.117 0.009 0.079 15.133 0.004 4.112 7.2718e-02
4_bss: 1.117 0.009 0.079 15.133 0.004 4.112 7.2718e-02
4_xyz: 0.968 0.006 0.072 14.740 0.004 4.119 5.7331e-02
4_adp: 0.968 0.006 0.072 14.740 0.004 4.119 5.7331e-02
4_occ: 0.968 0.006 0.072 14.740 0.004 4.119 5.7331e-02
5_bss: 0.968 0.006 0.072 14.740 0.004 4.119 5.7331e-02
5_xyz: 1.065 0.008 0.078 14.857 0.004 4.109 6.7404e-02
5_adp: 1.065 0.008 0.078 14.857 0.004 4.109 6.7404e-02
5_occ: 1.065 0.008 0.078 14.857 0.004 4.109 6.7404e-02
5_bss: 1.065 0.008 0.078 14.857 0.004 4.109 6.7404e-02
------------------------------------------------------------------------
Maximal deviations:
stage angl bond chir dihe plan repu |grad|
0 : 9.874 0.070 0.314 85.889 0.055 1.233 2.4075e-01
1_bss: 9.874 0.070 0.314 85.889 0.055 1.233 2.4075e-01
1_xyz: 9.663 0.071 0.329 83.543 0.048 1.958 1.0045e-01
1_adp: 9.663 0.071 0.329 83.543 0.048 1.958 1.0045e-01
1_occ: 9.663 0.071 0.329 83.543 0.048 1.958 1.0045e-01
2_bss: 9.663 0.071 0.329 83.543 0.048 1.958 1.0045e-01
2_xyz: 8.241 0.094 0.342 86.846 0.022 2.115 9.5879e-02
2_adp: 8.241 0.094 0.342 86.846 0.022 2.115 9.5879e-02
2_occ: 8.241 0.094 0.342 86.846 0.022 2.115 9.5879e-02
3_bss: 8.241 0.094 0.342 86.846 0.022 2.115 9.5879e-02
3_xyz: 6.080 0.062 0.253 83.756 0.033 2.314 6.1821e-02
3_adp: 6.080 0.062 0.253 83.756 0.033 2.314 6.1821e-02
3_occ: 6.080 0.062 0.253 83.756 0.033 2.314 6.1821e-02
4_bss: 6.080 0.062 0.253 83.756 0.033 2.314 6.1821e-02
4_xyz: 6.729 0.048 0.229 81.921 0.035 2.340 7.5135e-02
4_adp: 6.729 0.048 0.229 81.921 0.035 2.340 7.5135e-02
4_occ: 6.729 0.048 0.229 81.921 0.035 2.340 7.5135e-02
5_bss: 6.729 0.048 0.229 81.921 0.035 2.340 7.5135e-02
5_xyz: 6.724 0.047 0.275 83.161 0.038 2.266 5.4585e-02
5_adp: 6.724 0.047 0.275 83.161 0.038 2.266 5.4585e-02
5_occ: 6.724 0.047 0.275 83.161 0.038 2.266 5.4585e-02
5_bss: 6.724 0.047 0.275 83.161 0.038 2.266 5.4585e-02
------------------------------------------------------------------------
|-----overall-----|---macromolecule----|------solvent-------|
stage b_max b_min b_ave b_max b_min b_ave b_max b_min b_ave
0 : 63.06 5.09 16.02 49.51 5.09 12.19 63.06 6.19 36.87
1_bss: 63.06 5.09 16.02 49.51 5.09 12.19 63.06 6.19 36.87
1_xyz: 63.06 5.09 16.02 49.51 5.09 12.19 63.06 6.19 36.87
1_adp: 107.06 0.00 18.65 80.86 0.00 15.28 107.06 0.00 37.00
1_occ: 107.06 0.00 18.65 80.86 0.00 15.28 107.06 0.00 37.00
2_bss: 107.06 0.00 18.65 80.86 0.00 15.28 107.06 0.00 37.00
2_xyz: 107.06 0.00 18.65 80.86 0.00 15.28 107.06 0.00 37.00
2_adp: 105.08 0.00 18.07 76.40 0.00 14.08 105.08 2.81 39.81
2_occ: 105.08 0.00 18.07 76.40 0.00 14.08 105.08 2.81 39.81
3_bss: 105.08 0.00 18.07 76.40 0.00 14.08 105.08 2.81 39.81
3_xyz: 105.08 0.00 18.07 76.40 0.00 14.08 105.08 2.81 39.81
3_adp: 104.40 0.00 17.98 83.61 0.00 13.09 104.40 5.83 44.60
3_occ: 104.40 0.00 17.98 83.61 0.00 13.09 104.40 5.83 44.60
4_bss: 104.40 0.00 17.98 83.61 0.00 13.09 104.40 5.83 44.60
4_xyz: 104.40 0.00 17.98 83.61 0.00 13.09 104.40 5.83 44.60
4_adp: 101.83 0.24 17.56 90.75 0.24 12.77 101.83 4.36 43.61
4_occ: 101.83 0.24 17.56 90.75 0.24 12.77 101.83 4.36 43.61
5_bss: 101.83 0.24 17.56 90.75 0.24 12.77 101.83 4.36 43.61
5_xyz: 101.83 0.24 17.56 90.75 0.24 12.77 101.83 4.36 43.61
5_adp: 98.55 0.38 17.11 93.67 0.38 12.55 98.55 5.58 41.91
5_occ: 98.55 0.38 17.11 93.67 0.38 12.55 98.55 5.58 41.91
5_bss: 98.54 0.36 17.09 93.65 0.36 12.54 98.54 5.57 41.90
------------------------------------------------------------------------
stage Deviation of refined
model from start model
max min mean
0 : 0.000 0.000 0.000
1_bss: 0.000 0.000 0.000
1_xyz: 2.818 0.019 0.352
1_adp: 2.818 0.019 0.352
1_occ: 2.818 0.019 0.352
2_bss: 2.818 0.019 0.352
2_xyz: 2.297 0.017 0.572
2_adp: 2.297 0.017 0.572
2_occ: 2.297 0.017 0.572
3_bss: 2.297 0.017 0.572
3_xyz: 1.974 0.033 0.709
3_adp: 1.974 0.033 0.709
3_occ: 1.974 0.033 0.709
4_bss: 1.974 0.033 0.709
4_xyz: 1.709 0.020 0.744
4_adp: 1.709 0.020 0.744
4_occ: 1.709 0.020 0.744
5_bss: 1.709 0.020 0.744
5_xyz: 1.839 0.031 0.764
5_adp: 1.839 0.031 0.764
5_occ: 1.839 0.031 0.764
5_bss: 1.839 0.031 0.764
------------------------------------------------------------------------
CPU time actual refinement: 324.83
============================== Exporting results ==============================
Writing refined structure to PDB file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001.pdb
n_use = 2823
n_use_u_iso = 2823
n_use_u_aniso = 0
n_grad_site = 0
n_grad_u_iso = 0
n_grad_u_aniso = 0
n_grad_occupancy = 106
n_grad_fp = 0
n_grad_fdp = 0
n_anisotropic_flag = 0
total number of scatterers = 2823
Writing 2mFobs-DFmodel XPLOR map to file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001_2mFobs-DFmodel.map
Writing mFobs-DFmodel XPLOR map to file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001_mFobs-DFmodel.map
Writing map coefficients to MTZ file:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_001_map_coeffs.mtz
Writing default parameters for subsequent refinement:
/net/cci-filer1/vol1/tmp/phzwart/tassos/noshake/run_383/model_refine_002.def
=============================== Detailed timings ==============================
Pure refinement (no I/O, processing, etc)= 324.68
Macro-tasks:
bulk solvent and scale = 37.52
individual site refinement = 134.81
weights calculation = 28.98
collect and process = 6.43
model show statistics = 0.11
TOTAL for macro-tasks = 207.85
Micro-tasks:
mask = 2.33
f_calc = 102.92
alpha_beta = 8.25
target = 1.16
gradients_wrt_atomic_parameters = 111.81
fmodel = 6.07
r_factors = 0.14
phase_errors = 10.54
foms = 0.22
TOTAL for micro-tasks = 243.44
NUMBER OF MASK CALCS= 5
Time per interpreted Python bytecode instruction: 4.632 micro seconds
Total CPU time: 5.64 minutes
from_scatterers_fft: 638 calls, 102.63 s
gradients_fft: 583 calls, 98.68 s
=========================== phenix.refine: finished ===========================
# Date 2008-01-16 Time 04:42:03 PST -0800 (1200487323.99 s)
Start R-work = 0.4602, R-free = 0.4624 (no bulk solvent and anisotropic scale)
Final R-work = 0.1364, R-free = 0.1807 (no bulk solvent and anisotropic scale)
Start R-work = 0.4497, R-free = 0.4521
Final R-work = 0.1142, R-free = 0.1621
| en |
converted_docs | 347891 | **IMPLEMENTATION PLAN OVERVIEW FOR PRIORITY 5A**
+---------+---------+---------+---------+------+-------+--------------+
| **Pri | **S | **Team | **Team | **R | **Pl | **Comments** |
| ority** | ubprior | Lea | Me | esou | anned | |
| | ities** | ders/** | mbers** | rces | Start | |
| | | | | Ava | D | |
| | | **Con | | ilab | ate** | |
| | | tacts** | | le** | | |
+---------+---------+---------+---------+------+-------+--------------+
| 5A - | 5.1, | Claire | CM JAD | 15 | 3/ | Analysis of |
| Life | 5.2, | Benfer | | s | 05/01 | |
| Cycle | 5.3, | | | taff | | Development |
| R | 5.4, | Colleen | | id | | Tools |
| edesign | 5.5, | B | | enti | | |
| | 5.6 | lizard, | | fied | | Business |
| | | ROW | | | | Analysis |
| | | | | | | |
| | | | | | | Design |
| | | | | | | Screens |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.7 | Kay | CM JAD | 13 | 9/ | Withdrawn |
| | | Valeda | | s | 20/01 | Applications |
| | | | | taff | | |
| | | Colleen | | id | | |
| | | B | | enti | | |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.8 | Kay | CM JAD | 10 | 11/ | Meeting |
| | | Valeda | | s | 27/01 | Location |
| | | | | taff | | Redesign |
| | | Colleen | | id | | |
| | | B | | enti | | |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.9 | Kay | CM JAD | 10 | 1/ | Download |
| | | Valeda | | s | 08/02 | Report data |
| | | | | taff | | to ASCII |
| | | Colleen | | id | | |
| | | B | | enti | | |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.10 | Claire | CM JAD | 10 | 2/ | Checkwriting |
| | | Benfer | | s | 22/02 | |
| | | | | taff | | |
| | | Colleen | | id | | |
| | | B | | enti | | |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.11, | Claire | CM JAD | 8 | 4/ | DHHS/NIH |
| | 5.12, | Benfer | | s | 08/02 | Reports |
| | 5.13, | | | taff | | |
| | 5.14, | Colleen | | id | | |
| | 5.15, | B | | enti | | |
| | 5.16 | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.17 | Anna | CM JAD | 8 | 6/ | Personnel |
| | | S | | s | 25/02 | forms - |
| | | nouffer | | taff | | Members of |
| | | | | id | | Advisory |
| | | Colleen | | enti | | Committees |
| | | B | | fied | | |
| | | lizard, | | | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.18 | Anna | CM JAD | 8 | 8/ | Enhanced |
| | | S | | s | 22/02 | tracking |
| | | nouffer | | taff | | features for |
| | | | | id | | nomination |
| | | Colleen | | enti | | slates and |
| | | B | | fied | | FRNs |
| | | lizard, | | | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.19 | Kay | CM JAD | 8 | 10/ | Federal |
| | | Valeda | | s | 11/02 | Register |
| | | | | taff | | Notice |
| | | Colleen | | id | | redesign |
| | | B | | enti | | |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| **Pri | **S | **Team | **Team | **R | **Pl | **Comments** |
| ority** | ubprior | Lea | Me | esou | anned | |
| | ities** | ders/** | mbers** | rces | Start | |
| | | | | Ava | D | |
| | | **Con | | ilab | ate** | |
| | | tacts** | | le** | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.20 | Anna | CM JAD | 8 | 12 | Emails for |
| | | S | | s | /5/02 | FRNs and |
| | | nouffer | | taff | | Nomination |
| | | | | id | | slates |
| | | Colleen | | enti | | |
| | | B | | fied | | |
| | | lizard, | | | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.21 | Claire | CM JAD | 8 | 1/ | Digital |
| | | Benfer | | s | 23/03 | signatures |
| | | | | taff | | and |
| | | Colleen | | id | | electronic |
| | | B | | enti | | slates |
| | | lizard, | | fied | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
| "" | 5.22 | Anna | CM JAD | 9 | 7/ | Breakout |
| | | S | | s | 09/03 | voucher |
| | | nouffer | | taff | | |
| | | | | id | | |
| | | Colleen | | enti | | |
| | | B | | fied | | |
| | | lizard, | | | | |
| | | ROW | | | | |
+---------+---------+---------+---------+------+-------+--------------+
\* Priorities were previously voted on and approved by the CM Users
Group and endorsed by CMOC members.
| en |
converted_docs | 552279 | {width="0.9583333333333334in"
height="0.9166666666666666in"}
**U. S. Department of Housing and Urban Development**
Washington, D.C. 20410-8000
February 14, 1996
**MORTGAGEE LETTER 96-7**
TO: ALL APPROVED MORTGAGEES
**SUBJECT:** Single Family Loan Production and Servicing - Special
Program, Underwriting, and Servicing Policies to Assist Victims
of Presidentially- Declared Major Disaster Areas
This Mortgagee Letter is to advise you of actions taken by
the Department to assist victims of the recent flooding in Oregon
and Washington. The President\'s declaration of a major disaster
area was signed February 9, 1996 and covered the following
counties:
OREGON
Blenton, Clackamas, Clatstop, Columbia, Hood River,
Lane, Lincoln, Linn, Marion, Multnomah, Polk, Sherman,
Tillamook, Umatilla, Union, Wasco, and Yamhil, and the
Warm Springs Reservation.
WASHINGTON
Asotin, Clark, Columbia, Cowlitz, Kittitas, Klickitat,
Lewis, Pierce, Skamania, Thurston, Walla Walla,
Whitman, and Yakima.
The procedures described in HUD Handbooks 4155.1 REV-4, CHG-
1, Chapter 2 and 4330.1 REV-5, Chapter 14 are in effect
immediately and will remain in effect for one year from the date
of the President\'s declaration. Any counties added to this
declaration will also be eligible for disaster relief and the
same procedures apply.
If you should have any questions, please contact your local
HUD Office.
Sincerely,
{width="2.5944444444444446in"
height="0.6236111111111111in"}
Nicolas P. Retsinas
Assistant Secretary for Housing-
Federal Housing Commissioner
| en |
converted_docs | 986001 | # Archived Information
#
# GlaxoSmithKline
#
# **GlaxoSmithKline's Science Education Strategy**
GlaxoSmithKline (GSK) is a world leading research-based pharmaceutical
company with a powerful combination of skills and resources. Our mission
is to improve the quality of human life by enabling people to do more,
feel better and live longer. One way that GSK contributes to improving
the quality of human life is through our commitment to excellence in
science education.
**GOAL AREAS**
The GSK Science Education Strategy addresses two goals areas of the U.S.
Department of Education's Mathematics and Science Initiative: Engaging
the Public and Improving Teacher Knowledge.
**SUMMARY**
The GSK Science Education Strategy is a portfolio of activities with two
purposes:
- To provide science context to students and teachers
- To enhance science teaching
The activities in the portfolio are balanced to meet the needs of a
particular geographic area of implementation. The programs in the
portfolio are a mixture of student participation, professional
development of science teachers and interactions with scientists, in
both formal and informal science settings. GSK may provide leadership,
scientist's time, in kind support and/or financial contribution, as
appropriate for each program. The portfolio undergoes periodic
evaluation.
**PURPOSE**
**Giving Science Context:**
Through the involvement of GSK scientists with students and teachers and
by supporting student-participation programs, GSK contributes to the
development of student knowledge, understanding and
technical/interpersonal skills in science. Students are motivated to
become aware of and to choose science careers. Student contact with
scientists in science settings helps put science into context. Gaining
science context in real world settings and through the integration of
science with other curriculum areas such as, math, language arts and
social studies, adds relevance to student learning.
**Enhancing Science Teaching:**
High quality science instruction is a key to increasing student
achievement in science and for closing the minority achievement gap, as
intended by the Science for All Children model developed by the National
Science Resources Center (NSRC) with support from National Science
Foundation and other sources. The interaction of GSK scientists with
teachers boosts the relevance of science to science teaching. GKS
contributes funding support and leadership to the science-related
professional development of teachers.
**ACCOMPLISHMENTS/RESULTS**
By managing activities as a portfolio, GSK can ensure that local needs
are considered and that we are supporting science education in a
coherent manner. Implementation of this strategy has resulted in more
efficient use of time and resources. Specific accomplishments and
results are shared in the descriptions of individual programs.
## PLANS FOR NEXT 12 MONTHS
GSK will continue to evaluate and refine our portfolio of science
education activities. We will continue to develop our communication plan
around the importance of high quality science education. We will
participate in local, state, regional and national conversations on
achieving high quality science and mathematics instruction for our
students.
| en |
markdown | 121017 | # Presentation: 121017
## More Adventures: Placebo Database
***John R. Senior, M.D., Hepatologist***
- Associate Director for Science
- Office of Pharmacoepidemiology & Statistical Science
- Food and Drug Administration (FDA)
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Where Do Elevated Serum Transaminases Come From ?
***John R. Senior, M.D., FDA***
***Robert W. Tipping, M.S., Merck***
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## CONFIDENTIAL !
(unpublished information)
Material and comments presented here are based on the experiences of the speaker for 20 years in academic hepatology and gastroenterology, 5 years as a senior executive in the pharmaceutical industry, 11 years in private consulting to industry, then 8.5 years at the FDA (4.5 years as a medical reviewer for new gastrointestinal drugs and 4 as senior scientific advisor for hepatology , Office of Drug Safety and associate director for science, Office of Pharmacoepidemiology and Statistical Science).
They do not reflect official policies or positions of the Agency, but are the personal opinions of the presenter based on the diverse experiences mentioned. Do not cite.
**(unpublished information)**
* **Material and comments presented here are based on the experiences of the speaker for 20 years in academic hepatology and gastroenterology, 5 years as a senior executive in the pharmaceutical industry, 11 years in private consulting to industry, then 8.5 years at the FDA (4.5 years as a medical reviewer for new gastrointestinal drugs and 4 as senior scientific advisor for hepatology , Office of Drug Safety and associate director for science, Office of Pharmacoepidemiology and Statistical Science).*
* **They do not reflect official policies or positions of the Agency, but are the personal opinions of the presenter based on the diverse experiences mentioned. Do not cite.*
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## AFCAPS/TexCAPS Study - 1
- men >45 and women >55, up to 73; ambulatory
- no previously diagnosed cardiovascular disease
- modestly high total cholesterol, reduced HDL-chol
- no pre-existing liver disease, or other major disease
- willing and able to participate for 4-6 years
- aim: show lovastatin-related reduced cardiac events
- results published JAMA 1998 and AmJCardiol 2001
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## AFCAPS/TexCAPS Study - 2
- carried out 1990-7, San Antonio & Fort Worth TX
- 6605 participants (85% men), 3301 to placebo
- 5-year observation, 20 (+) visits/test sets/participant
- visits: 3 q 2wks, 8 q 6wks, 9 q 6 mos;
- each visit: serum ALT, AST, ALP, TBL, CPK
- search database for cases of liver injury or disease
- aim to establish background rate for incidence
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## We found . . .
- using serum transaminase activities to search for peak values in serial measurements, in people _on placebo_, 44 with ALT or AST >3xULN, out of 3248 people followed for up to 5 years
- but most of them were transient, not progressive to serious or diagnosed liver disease (seen with fatty liver, undiagnosed chronic hepatitis C, other low grade problems)
- only 6 cases were serious (all hospitalized, 2 died)
- all 6 showed concurrent transaminase and bilirubin elevations, and none were false positive, but had obstructive features (ALP elevations) and would not have met “Hy’s Law” criteria for drug-induced hepatotoxicity
- the combined test is sensitive and much more specific for detecting serious liver diseases than transaminases alone
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Conclusions - so far
** ****Serum transaminase elevations not “disease” **
***often may represent transient adaptations***
** ****Requiring “confirming” tests may miss case**
***unless done very promptly within a few days***
*** *****Additional information beyond lab test scores **** ****needed for making true causal attribution**
** ****Concurrent total bilirubin elevation suggests that **** ****serum ALT >3xULN may be serious**
** ****Still need to validate “Hy’s Rule” by analyses of **** ****data in patients exposed to drugs**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## The “First 44” Cases
**ALLOC**** ****trt**** ****sex**** ****age**** ****ALTx3**** ****ASTx2**** ****ALPx2**** ****TBLx2**** ****CPKx5*** *
- 0138 P M 61 2.45** ****2.35**** ****5.59**** ****7.0**** **0.72
- 0158 P M 52 1.50 **2.19**** **0.50 0.8 **10.83**** **
- 1540 P M 70 **9.60**** ****3.54**** ****2.42**** ****2.9**** **0.68
- 9298 P F 65 **5.00**** ****2.59**** **0.50 0.8 0.55
- 9899 P F 56 **4.35**** ****3.30**** **1.45 0.6 1.45
- 4870 P M 59 **3.15**** ****7.95**** ****6.65**** **6.7 4.10
- 6162 P M 55 **3.90**** ****3.03**** **0.55 0.9 1.12
- 5243 P M 57 **50.25**** ****40.76**** **1.38 8.8 0.84
- etc. to 44 cases
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## But, no evidence of liver disease:
**ALLOC**** ****trt**** ****sex**** ****age**** ****ALTx3**** ****ASTx2**** ****ALPx2**** ****TBLx2**** ****CPKx5*** *
- 0158 P M 52 1.50 **2.19**** **0.50 0.8 **10.8**
**So, why the rises in transaminases?**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
- <footer>
- <date/time>
## AST & ALT and CPK Rises
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Two questions:
**1) What**** ****is the source of the elevated **** **** ****serum transaminase activities?**
**2) Does CPK >10xULN really indicate **** ****muscle disease (“myopathy”)?**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## muscle liver
Alanine aminotransferase (ALT) 750:1 7600:1
Aspartate aminotransferase (AST) 5200:1 9000:1
Lactate dehydrogenase LDH) 1400:1 1400:1
Pyruvate kinase (PK) 6200:1 1400:1
Creatine phosphokinase (CK) 20000:1 300:1
Geigy Scientific Tables, 1984: Volume 3, page 169
- <footer>
- <date/time>
- **muscle liver**
- Alanine aminotransferase (ALT) 750:1 7600:1
- Aspartate aminotransferase (AST) 5200:1 9000:1
- Lactate dehydrogenase LDH) 1400:1 1400:1
- Pyruvate kinase (PK) 6200:1 1400:1
- Creatine phosphokinase (CK) 20000:1 300:1
*Geigy Scientific Tables, 1984: Volume 3, page 169*
- Organ/Serum Activity Ratios
## Body Composition (Geigy Scientific Tables, 1993; 70- kg man)
- <footer>
- <date/time>
- Body Composition(Geigy Scientific Tables, 1993; 70- kg man)
**skeletal muscle - 43% about 30 kg**
- skin, s.c. tissues - 26% about 18 kg
- bony skeleton - 17% about 12 kg
**liver - 2.1% about 1.5 kg**
- brain - 2.0% about 1.3 kg
- intestines - 2.0% about 1.3 kg
- kidneys - 0.5% about 0.3 kg
- heart - 0.5% about 0.3 kg
## acute muscle breakdown - rhabdomyolysis (both ALT, AST and bilirubin elevations)
various muscular dystrophies, myopathies
muscular exertion; anorexia nervosa
acute myocardial infarction
intestinal celiac disease, untreated (becomes normal on gluten-free diet)
- <footer>
- <date/time>
- acute muscle breakdown - rhabdomyolysis (both ALT, AST and bilirubin elevations)
- various muscular dystrophies, myopathies
- muscular exertion; anorexia nervosa
- acute myocardial infarction
- intestinal celiac disease, untreated (becomes normal on gluten-free diet)
- Non-Liver Transaminasemia
## Serum Bilirubin
- <footer>
- <date/time>
***poor aqueous solubility -- mostly albumin-bound***
*** ******reversible -- hydrophobic/electrostatic***
*** ******irreversible in long-standing jaundice -- covalent***
## red blood cell physiologic senescence
hemoglobin, m.w. 64,500; 4 hemes/Hb
cytochromes, catalase, peroxidase, other enzymes turnover
minor contribution quantitatively
muscle pathologic breakdown
myoglobin, m.w. 17,500; 1 heme/Mb
- <footer>
- <date/time>
- red blood cell physiologic senescence
- hemoglobin, m.w. 64,500; 4 hemes/Hb
- cytochromes, catalase, peroxidase, other enzymes turnover
- minor contribution quantitatively
- muscle pathologic breakdown
- myoglobin, m.w. 17,500; 1 heme/Mb
- Sources of Heme
## Slide 19
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Slide 20
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Can Muscle Injury Be Confused with Hepatotoxicity ?
- <footer>
- <date/time>
**aspartate (AST) & alanine aminotransferase (ALT),** in addition to creatine phosphokinase (CPK) released;
- release of muscle myoglobin into plasma - contains one molecule of heme that can become bilirubin;
- renal failure (hepatorenal syndrome) also seen with acute liver failure . . . reversed by liver transplantation
## But they’re still saying . .
- “Whereas ALT is localized primarily to the liver, AST is present in a variety of tissues, including liver, heart, skeletal muscle, kidney, brain, pancreas, lungs, leukocytes, and erythrocytes.”
- *Zakim and Boyer. HEPATOLOGY, A Textbook*
* ** **of Liver Disease, 4th Edition, 2003. Friedman, ** **Martin, Munoz: page 662.*
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Functions of the Adult Liver
- extract and process nutrients from gut
- synthesize proteins, other molecules
- regulate intermediary metabolism
- metabolize steroid hormones, insulin
- extract bilirubin from plasma, excrete
- control cholesterol metabolism/bile acids
- handle xenobiotic substances, drugs
- ***but NOT to regulate serum enzyme levels !***
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Commonly Used Tests
- <footer>
- <date/time>
*enzymes*
- “transaminases”: ALT (SGPT)
- AST (SGOT)
- alkaline phosphatase
- gamma-glutamyl transferase
*substances*
- bilirubin
- albumin
- prothrombin
***injury***
*hepatocellular*
*obstructive*
- ***function***
* **excretory*
* **synthetic*
* **synthetic*
## Is Serum ALT a Liver Function Test ?
- serum enzyme activity not just from liver but from skeletal and heart muscle, gut, etc.
*. . . so let’s not say ****“liver”***
- it is not a function or job of the liver to regulate the level of serum enzyme activity
*. . . so let’s not say ****“function”***
- elevated serum ALT activity ***MAY*** indicate hepatocellular injury
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Maybe we should look closer . . .
- Note if serum transaminases elevated at the same time as serum CPK;
- Work up immediately, with daily measures of CPK, AST, ALT, plus ALP, TBL and DBL, PT (INR), maybe GST, Cr;
- Get full history of muscle exertion or injury and of liver diseases, alcohol, viruses A-C
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Two questions:
**1) What**** ****is the source of the elevated **** **** ****serum transaminase activities?**
**2) Does CPK >10xULN really indicate **** ****muscle disease (“myopathy”)?**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Slide 28
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Slide 29
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Slide 30
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Slide 31
| APPARENT SERUM HALFTIMES OF CPK | | | | | |
| --- | --- | --- | --- | --- | --- |
| | | CPK | Values | | |
| # | sex-age | ?peak | follow | days | T1/2 |
| | | | | | |
| 2 | M 55 | 2910 | 247 | 7 | 1.97 |
| 4a | M 48 | 2650 | 511 | 5 | 2.11 |
| 10 | M 56 | 7620 | 387 | 10 | 2.33 |
| | | 4117 | 340 | 32 | 8.89 |
| | | 15820 | 1191 | 14 | 3.75 |
| 12 | M 48 | 2117 | 300 | 9 | 3.19 |
| 13 | M 53 | 5950 | 567 | 5 | 1.47 |
| 16 | M 69 | 3248 | 332 | 2 | 0.61 |
| | | | | | |
| Note: | | | | | |
| | | | | | |
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## “Myopathy” ? :
**1) Unexplained muscle pain or weakness**
**2) CPK >10xULN**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Rhabdomyolysis:
**1) Severe muscle breakdown**
**2) Myoglobinuria**
**3) Renal insufficiency**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## rhabdo - myo - lysis (striped - muscle - dissolution)
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Case - January 1957
- <footer>
- <date/time>
**Case - January 1957**
- JA, 28-year-old Afro-American man admitted with 5-day history of head cold, malaise, slight cough, feverishness, and dark brown-red urine.
- Also noted weakness, backache, leg pain -- never had red urine before, no injury or exertion.
- Fever 1024, rales @ left base, normal Hb & WBC, UN 21, Cr 1.7, urine protein-heme positive, but no rbc casts, plasma not red
## Case - 2
- <footer>
- <date/time>
**Case - 2**
- Fever rose to 103 next day, UN to 42, Cr to 2.3, but urine cleared rapidly, pharynx & sputum cultures showed streptococci, left lower lobe pneumonia.
- Attending physician thought post-streptococcal acute glomerulonephritis was the diagnosis,
- But resident (*JRS*) disagreed, because no urinary red calls and no hypertension, no edema, strep not Group A, urine pigment not Hb but Mb...
## Case - 3
- <footer>
- <date/time>
**Case - 3**
- Urine spectral curve suggested Mb not Hb, but the urine cleared before CO-derivatives could be made.
- Collection of 24-hour urine showed increased Cr and creatine, serum SGOT (AST) raised to 217, and quadriceps biopsy showed degeneration.
- Rapid improvement and recovery, much faster than AGN course, renal function normal 10 days
## Heme-positive Urine
- Hemoglobinuria
- from red blood cells
- MW 64,500
- 4 hemes/molecule
- Cren slow, pink plasma
- methemalbuminemia
- HbO2 576-8 nm
- COHb 571 nm
- Myoglobinuria
- from muscle cells
- MW 17,500
- 1 heme/molecule
- Cren fast, clear plasma
- no methemalbuminemia
- MbO2 581-3 nm
- COMb 579 nm
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## “Monday Morning Sickness”
- <footer>
- <date/time>
*“**Monday Morning Sickness”*
- Veterinarians familiar with disease of draft horses, worked after rest and feeding, seen in heavily muscled horses: Belgians, Percherons, Clydesdales
- Kreuzlähme des Pferdes (Carlström 1931) - within few minutes or hours of work, horse staggers, sweats, lame, muscles stiff-hard-swollen-weak, reflexes disappear, muscles paralyzed, fever, red urine with protein and pigmented casts, blood urea-creatinine-potassium rise, death within a week in 20-70% of cases
## Acute Myoglobinuria in Man what was known in 1957 ?
- <footer>
- <date/time>
**Acute Myoglobinuria in Man*****what was known in 1957 ?***
- heavy exertion - marathons, weight lifting, deep squats or jumping, acrobatic ice skating; R. Fleischer (Berlin Klin Wochenschr 1881)
- idiopathic - Haff disease (1932); dystrophies
- ischemia or trauma to muscles - crush syndrome London blitz WW2 (1941); electrical shock
- hereditary muscle phosphorylase deficiency - McArdle syndrome (1951), ?Meyer-Betz (1910)
## “Haff Disease” Haffkrakenheit, Königsberg, East Prussia
- <footer>
- <date/time>
**“****Haff Disease”****Haffkrakenheit, Königsberg, East Prussia**
**described in German literature, 1932-3;**
**after eating fish or eels from large shore-lakes around vicinity of Königsberg, polluted by industrial wastes of cellulose factories, poisonous pitch compounds;**
**people show muscle pain, stiffness, weakness, difficulty walking, myoglobinuria; striated muscle breakdown;**
**not the first instance of toxic rhabdomyolysis: cf. the Jews in Sinai - from eating quail (Numbers 11:31-4)**
## Divine Punishment (Hebrews in Sinai - Numbers 11:31-4)
- <footer>
- <date/time>
**Divine Punishment****(Hebrews in Sinai - Numbers 11:31-4)**
***And when the people complained, it displeased the Lord, and his***
***anger was kindled . .***** .**
**31) And there went forth a wind from the Lord, and brought quails from the sea, and let them fall by the camp . . . two cubits high upon the face of the earth.**
**32) And the people gathered the quails . . .**
**33) And while the flesh was yet between their teeth . . . the wrath of the Lord was kindled . . . and the Lord smote the people with a very great plague.**
**34) And he called the place Kibrothhattaavah: because there they buried the people that lusted.**
## Quail Myotoxicity
- <footer>
- <date/time>
**Quail Myotoxicity**
- _[Aparicio](http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&list_uids=10074634&dopt=Abstract)__[ R, ](http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&list_uids=10074634&dopt=Abstract)__[Onate](http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&list_uids=10074634&dopt=Abstract)__[ JM, ](http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&list_uids=10074634&dopt=Abstract)__[Arizcun](http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&list_uids=10074634&dopt=Abstract)__ A, Alvarez T, Alba A, Cuende JI, Miro M._ ***Quails that eat Galeopsis ladanum seeds cause rhabdomyolysis***.
- [Epidemic rhabdomyolysis due to the eating of quail. A clinical, epidemiological and experimental study]Med Clin (Barc). 1999 Feb 6;112(4):143-6. Spanish.
- _Lopez Briz E, Ibanez G, Guevara Serrano J, Ortega Garcia MP._
- [Stachydrin ++, quails and biblic plagues] ibid,113:598-9.
**Conn H.** **How do you like your quail prepared?**Am J Gastroenterol 2001 Sep;96(9):2790-2
## Ischemic Muscle Necrosis air-raid casualties 1940-1; Bywaters, Lancet 1944
- <footer>
- <date/time>
**Ischemic Muscle Necrosis****air-raid casualties 1940-1; Bywaters, Lancet 1944**
- after being buried under rubble several hours, pale, cold, sweaty, hemoconcentrated, shocky;
- compressed areas erythematous, then blistered, then swollen and hard, muscles numb-paralyzed, then doughy-pitted;
- urine scanty, brown, acidic, hematin granules, heme-positive but Mb; renal failure, high serum potassium, death in 67%
## McArdle Syndrome B. McArdle, Guy’s Hospital, Clin Sci 1951
- <footer>
- <date/time>
**McArdle Syndrome****B. McArdle, Guy’s Hospital, Clin Sci 1951**
- 30-year old man with long history of muscle pain after exertion, with weakness and stiffness, worse if prolonged or heavy exertion;
- test exercise caused stiffness pain after 75 steps, had to crawl, panting, heart rate 160; any muscle exercised would show the effects;
- blood lactate*** fell*** after exercise, blood flow 5x normal after exercise, poor muscle glycogenolysis
## Causes of Rhabdomyolysis - 2000 (David WS, Neurol Clin 18:215-41)
- <footer>
- <date/time>
- Causes of Rhabdomyolysis - 2000 (David WS, Neurol Clin 18:215-41)
- trauma, compression
- ischemia of muscle
- stressful exertion
- electrical current
- McArdle, other genetic
- poisoned fish, eels
- hyperthermia
- infections: various
- snake and insect venoms
- muscular dysptrophies
- myositis, polymyositis
- hyperthyroidism
- hypokalemia, other
- alcoholic binges
- heroin, cocaine, Ecstasy
- approved drugs*
## Drugs Causing Rhabdomyolysis (Vanholder R, et al., J Am Soc Neurol 2000; 11:1553-61) (Staffa J, et al., N Engl J Med 2002 Feb 14; 346(7):539-40)
- <footer>
- <date/time>
- Drugs Causing Rhabdomyolysis *(Vanholder R, et al., J Am Soc Neurol 2000; 11:1553-61)**(Staffa J, et al., N Engl J Med 2002 Feb 14; 346(7):539-40)*
- antimalarials
- colchicine
- corticosteroids
- fibrates
- isoniazid
- diuretics, licorice
- narcotics, depressants
- zidovudine, others
- “-vastatins”
- lo- (Mevacor), 1987
- pra- (Pravachol), 1991
- sim- (Zocor), 1991
- flu- (Lescol), 1993
- ator- (Lipitor), 1996
*ceri- (Baycol), 1997*
- rosu- under review
## Effects of Rhabdomyolysis
- <footer>
- <date/time>
- release of muscle constituents into plasma - myoglobin, enzymes*, creatine, creatinine, carnitine, potassium, uric acid, organic and inorganic phosphates;
- *creatine phosphokinase (CPK, CK), aldolase (ALD), lactate dehydrogenase (LDH), aspartate aminotransferase (AST), alanine aminotransferase (ALT), . . .
- renal tubular Mb casts, renal tubular necrosis, oliguria, renal failure; sometimes hypotension, shock; plasma K levels may be cardioplegic; vasoconstrictors, cytokines
## Is it worthwhile ?
- “statins” becoming most used drugs in world
- widespread belief that the ALT, AST rises reflect liver injury
- hepatotoxicity probably vastly overstated
- mild muscle injury is not rhabdomyolysis, or even myopathy
- need data on closely time-related correlations of serum CPK, ALT, AST, other changes
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## New Conclusions
- serum transaminase elevations not all hepatic
- investigate AST, ALT elevations – do CPK
- statin hepatotoxicity probably much overstated
- moderate exertional mild muscle injury is not rhabdomyolysis, or even myopathy
- need data on closely time-related correlations of serum CPK, ALT, AST, other changes
- serum T1/2 of CPK < AST <ALT – needs proof
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Rich Findings in Placebo Data
** ****I. Concurrent bilirubin rise adds specificity to **** ****ALT testing, without losing sensitivity **
** ****II. Serum transaminase activities vary greatly, **** ****as do CPK, and ALP less so**
** ****III. Some AST, a little ALT comes from muscle**
** ****IV. “Baseline” better determined by >1 point**
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004
## Acknowledgements
***...******for intellectual contributions and ideas***
*** ******Peter Honig, M.D., (FDA); Merck***
*** ******Robert Temple, M.D., FDA***
*** ******Harry Guess, Ph.D., Merck***
*** ******Polly Beere, M.D., Ph.D., (Merck)***
*** ******Robert O’Neill, Ph.D., FDA***
*** ******Paul Seligman, M.D., FDA***
*** ******Roger Ulrich, Ph.D., Merck***
- Hep Tox Steering Group - CONFIDENTIAL
- 5 February 2004 | en |
converted_docs | 238684 | **CONCURRING STATEMENT OF**
**COMMISSIONER KEVIN J. MARTIN**
*Re: High I-Q Radio, Inc., Noncommercial Educational FM Station
KOLI(FM), Electra, TX, Application for License to Cover Construction
Permit, Application for Assignment of Construction Permit to Cumulus
Licensing Corp., Memorandum Opinion and Order*
I agree with the findings made in this Order, including the unauthorized
commercial operation and the premature transfer of control. I am
concerned, however, that the Commission's delay in action has rendered
us powerless to issue a fine. We need to act in a more timely fashion so
that the statute of limitations does not eviscerate our ability to
enforce our rules.
| en |
markdown | 834102 | # Presentation: 834102
## SELLING YOUR SCIENCE
- Ricardo Azziz
- Lydia Aguilar-Bryan
## Selling Your Science
- Doing Science vs. Selling Science *(Aguilar-Bryan)*
- Selling your Science locally *(Aguilar-Bryan)*
- Selling Your Science at Meetings *(Azziz)*
- Abstracts
- Poster presentations
- Oral presentations
- Selling your Science to Grantors *(Azziz)*
- Publishing *(Azziz)*
- Post publication *(Azziz)*
## Selling Your Science: Doing Science vs. Selling Science
*“**If a tree falls and no one is there, does it make a sound?”*
- Build a story
- Science is a dialogue
- Forces clarity, simplicity & cohesiveness of ideas
- Focuses effort and consequently relevance (creating a niche)
- Depends on the appropriate development of a plausible, logical, and testable “Scientific Idea”
## Selling Your Science: Doing Science vs. Selling Science
- Use a uniform outline for all presentations:
- Title
- Background
- Significance
- Hypothesis
- Objective/Aim
- Experimental Design
- Statistical Analysis
- Data Interpretation
- Limitations & Alternative Approaches
## Selling Your Science: Doing Science vs. Selling Science
- **“*****A picture is worth a thousand words*****” **
- Use graphical representations of the data whenever possible
## Selling Your Science Locally
_*Oral presentations*_
- Attention span is short – usually 5-20 min max
- So lecture should be about 20 min. long
- Not a venue to show “*how much I know*”
- Longer lectures should use "*change-up*" to restart the attention clock
- READ THE SLIDES (let the slides guide you)!
- _FOCUS!_
- Liberal use of handouts and visual aids
## Selling Your Science
- PowerPoint®: Your friend, your enemy
- Avoid complex backgrounds
- Avoid multiple colors which only have an aesthetic purpose (I.e. “to make slides interesting”)
- Avoid complex transitions
- Avoid presenting information that is not directly relevant or critical
- Avoid overly busy slides
## DHS LEVELS IN PCOS: RELATIONSHIP TO THE SEVERITY OF INSULIN RESISTANCE
*Smith et al., Am J Good Sci 172:1251, 2006*
- Hyperandrogenic - normal insulin (HA-NI)
- Hyperandrogenic - high insulin (HA-HI)
- Controls
**There was no difference in the response of cortisol, dehydroepiandrosterone, or androstenedione to corticotropin-(1-24) stimulation between normoinsulinemic and hyperinsulinemic hyperandrogenic patients. As defined, the hyperinsulinemic patients had higher basal and peak insulin levels and areas under the insulin response curve compared with the normoinsulinemic patients or controls.**
## Selling Your Science at Meeting
- Choosing the right meeting
- _Abstracts_
- The most important exercise in learning to sell your science
- Should distill the absolute essence of your research
- Same outline as poster/manuscript, just very abbreviated
- Include graphs when possible
*Reviewers are human!*
## Selling Your Science at Meeting
- _Poster presentations_
- Generally the most productive format for Junior Faculty
- Fosters interaction, critique & input
- Begin by expanding the _Abstract_
- Use same outline as manuscripts, just abbreviated
- Use posters printed on a single sheet (avoid multiple pieces of paper)
- Have a copy of the poster available to hand out
## Oral presentations (10 min/5 min.):
Focus, focus, focus
One slide per minute (i.e. total of 10 slides)
Title (1 slide)
Background (1-2 slides)
Hypothesis & objective (1 slide)
Materials and Methods (2-3 slides)
Results (3-4 slides)
Conclusions (1 slide)
Future avenues of investigation (1 slide)
Acknowledgements (1 slide) - optional
READ THE SLIDES (let the slides guide you)!
PRACTICE, PRACTICE, PRACTICE!
- Focus, focus, focus
- One slide per minute (i.e. total of 10 slides)
- Title (1 slide)
- Background (1-2 slides)
- Hypothesis & objective (1 slide)
- Materials and Methods (2-3 slides)
- Results (3-4 slides)
- Conclusions (1 slide)
- Future avenues of investigation (1 slide)
- Acknowledgements (1 slide) - optional
- READ THE SLIDES (let the slides guide you)!
- PRACTICE, PRACTICE, PRACTICE!
**Selling Your Science**** at Meeting**
## Selling Your Science to Grantors
- Reviewers are professionals, but are human
- Reviewers may not (should not?) be experts in the specific area being studied. Need _*GUIDED STORY*_
- Reviewers are assigned 10-12 grants to review, often at the same time they are preparing their own grants for submission.
- In addition to the Science, clarity of presentation, focus of application, use of graphical aids, and ease of reading _*COUNT A LOT*_
## Selling Your Science to Grantors
- Reviewers will quickly determine which applications belong in the lower 50th percentile (i.e. bottom half or triaged):
*Not important/significant*
*Not logical*
*In need of extensive revision*
*Overly ambitious*
*Unfocused*
*Not supported by preliminary data*
*In need of preliminary data*
- The remaining are then reviewed more carefully and scored
## Selling Your Science: Publishing
- _Chapters/reviews_
- Serve to focus and establish story, review history, and summarize research direction, pitfalls, and limitations
- Limit number, especially early in career
- _Peer-reviewed_
- Selecting a Journal
- How Editorial Boards work
- Reviewers are human
## Selling Your Science: Publishing
- _Constructing a manuscript_
- Expand Posters
- Use uniform outline
- Read the “Instructions to author” CAREFULLY
- Maintain your study focus, even if results are negative (THEY WILL BE 80% OF THE TIME!)
- FOCUS, FOCUS, FOCUS!
- Avoid excessive post-hoc analysis
- Minimize speculation
- When you think it is ready to send out, put away for a week, and then reread.
## Selling Your Science: Publishing
- The “_Introduction_”
- 2-3 paragraphs
- Introduction to topic (not review!)
- Statement of hypothesis
- Outline of objective/specific aim
## Selling Your Science: Publishing
- The “_Materials and Methods_”:
- Be very specific
- Should facilitate replication
- Do _*not*_ include any data, unless preliminary data relevant to methods only.
- Include statistical analysis
## Selling Your Science: Publishing
- The “_Results_”:
- Only the facts
- Use graphical representation when possible, however.....
- Do not present duplicate data
- Do not present excessive peripheral analyses, such as unfocused correlations
## Selling Your Science: Publishing
- The “_Discussion_”:
_*Paragraph 1*_:
- Restate hypothesis, summarize relevant results of study, note significance
_*Paragraph 2-3*_:
- Compare results to that of other studies
- Review potential mechanisms
_*Paragraph 4:*_
- Review limitations of study
_*Paragraph 5:*_
- Restate hypothesis, note results & significance, and outline future avenues of investigation.
## Selling Your Science: Post-Publication
- Maintain research focus, but....
- Keep abreast of other potentially relevant data & studies | en |
converted_docs | 725666 | ## Appendix D. Healthy People Steering Committee
####
#### Chair
Nicole Lurie, M.D., M.S.P.H.
Principal Deputy Assistant Secretary for Health
Office of Public Health and Science
U.S. Department of Health and Human Services
Humphrey Building, Room 716G
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 690-7694/Fax (202) 690-6960
####
#### Vice Chair
Randolph W. Wykoff, M.D., M.P.H., T.M.
Deputy Assistant Secretary for Health
Office of Disease Prevention and Health Promotion
U.S. Department of Health and Human Services
Humphrey Building, Room 738G
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 401-6295/Fax (202) 690-7054
E-mail: rwykoff@osophs.dhhs.gov
#### Administration on Aging
Diane Justice, M.P.A.
Deputy Assistant Secretary for Aging
Humphrey Building, Room 309F
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 401-4634/Fax (202) 401-7741
E-mail: <djustice@aoa.gov>
Lois Albarelli
Program Specialist
Division of Program Management and Analysis
Office of State and Community Programs
Administration on Aging
Cohen Building, Room 4745
330 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 619-2621/Fax (202) 260-1012
E-mail: <lalbarelli@ban-gate.aoa.dhhs.gov>
#### Administration for Children and Families
Mary Ann MacKenzie
Senior Strategic Planner
Office of Planning, Research, and Evaluation
Administration for Children and Families
Aerospace Building, 7th Floor West
370 L'Enfant Promenade, S.W.
Washington, DC 20447
\(202\) 401-5272/Fax (202) 205-3598
E-mail: <ml@acf.dhhs.gov>
#### Agency for Healthcare Research and Quality
David Atkins, M.D., M.P.H.
Medical Officer
Center for Practice and Technology Assessment
Agency for Healthcare Research and Quality
6010 Executive Boulevard, Suite 300
Rockville, MD 20852
\(301\) 594-4016/Fax (301) 594-4027
E-mail: <datkins@ahrq.gov>
Kate Rickard
Program Analyst
Center for Practice and Technology Assessment
Agency for Healthcare Research and Quality
6010 Executive Boulevard, Suite 300
Rockville, MD 20852
\(301\) 594-2431/Fax (301) 594-4027
E-mail: krickard@ahrq.gov
#### Centers for Disease Control and Prevention
Veronica P. Alvarez, M.P.A.
Program Analyst
Office of Program Planning and Evaluation
Centers for Disease Control and Prevention
Building 16, Room 5145, MS D23
1600 Clifton Road, N.E.
Atlanta, GA 30333
\(404\) 639-7136/Fax (404) 639-7181
E-mail: vba3@cdc.gov
Chuck Gollmar
Deputy Director
Office of Program Planning and Evaluation
Centers for Disease Control and Prevention
Building 16, Room 5145, MS D23
1600 Clifton Road, N.E.
Atlanta, GA 30333
\(404\) 639-7070/Fax (404) 639-7171
E-mail: <cwg2@cdc.gov>
#### Food and Drug Administration
Marlene E. Haffner, M.D., M.P.H., RADM
Director
Office of Orphan Products Development
Food and Drug Administration
Parklawn Building, Room 8-73, HF-35
5600 Fishers Lane
Rockville, MD 20857
\(301\) 827-3666/Fax (301) 443-4915
E-mail: <mhaffner@oc.fda.gov>
#### Health Care Financing Administration
David R. Arday, M.D., M.P.H.
Medical Epidemiologist
Office of Clinical Standards and Quality,
S3-02-01
Health Care Financing Administration
7500 Security Boulevard
Baltimore, MD 21244-1850
\(410\) 786-3528/Fax (410) 786-4005
E-mail: <darday@hcfa.gov>
Marsha Davenport, M.D., M.P.H.
Chief Medical Officer
Office of Strategic Planning, C3-20-11
Health Care Financing Administration
7500 Security Boulevard
Baltimore, MD 21244-1850
\(410\) 786-6693/Fax (410) 786-6511
E-mail: <davenport@hcfa.gov>
#### Health Resources and Services Administration
Paul Nannis, M.S.W.
Director
Office of Planning, Evaluation, and Legislation
Health Resources and Services Administration
Parklawn Building, Room 14-33
5600 Fishers Lane
Rockville, MD 20857
\(301\) 443-2460/Fax (301) 443-9270
E-mail: <pnannis@hrsa.gov>
Melissa Clarke, M.P.A.
Senior Health Policy and Program Analyst
Healthy People 2000/2010 Coordinator
Office of Planning, Evaluation, and Legislation
Health Resources and Services Administration
Parklawn Building, Room 14-33
5600 Fishers Lane
Rockville, MD 20857
\(301\) 443-5277/Fax (301) 443-9270
E-mail: mclarke@hrsa.gov
#### Indian Health Service
Phil Smith, M.D., M.P.H.
Clinical Consultant
Division of Clinical and Preventive Services
Indian Health Service
Parklawn Building, Room 6A-55
5600 Fishers Lane
Rockville, MD 20857
\(301\) 443-3024/Fax (301) 594-6213
E-mail: <psmith@hqe.ihs.gov>
#### National Institutes of Health
William R. Harlan, M.D.
Associate Director for Disease Prevention
Building 31, Room 1B03
31 Center Drive, MSC 2082
National Institutes of Health
Bethesda, MD 20892-2082
\(301\) 496-1508/Fax (301) 480-7660
E-mail: <wh27v@nih.gov>
Martina Vogel-Taylor, MT (ASCP)
Senior Program Analyst
Building 31, Room 1B03
31 Center Drive, MSC 2082
National Institutes of Health
Bethesda, MD 20892-2082
\(301\) 496-6614/Fax (301) 480-9654
E-mail: <martinav@nih.gov>
#### Office of the Assistant Secretary for Planning and Evaluation
Eileen Salinsky
Director, Division of Public Health Policy
Office of Health Policy
Office of the Assistant Secretary for Planning and Evaluation
U.S. Department of Health and Human Services
Humphrey Building, Room 431E
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 690-6051/Fax (202) 401-7321
E-mail: [esalinsk@osaspe.dhhs.gov](mailto:lcates@osaspe.dhhs.gov)
#### Office of Minority Health
Tuei Doong, M.P.H.
Deputy Director for Minority Health
Office of Minority Health
Rockwall II Building, Suite 1000
5515 Security Lane
Rockville, MD 20857
\(301\) 443-5084/Fax (301) 594-0767 or\
(301) 443-8280
E-mail: <tdoong@osophs.dhhs.gov>
#### Office of Population Affairs
Evelyn Kappeler
Public Health Analyst
Office of Population Affairs
Suite 200 West
4350 East West Highway
Bethesda, MD 20814
\(301\) 594-7608/Fax (301) 594-5980
E-mail: <ekappeler@osophs.dhhs.gov>
#### Office on Women's Health
Wanda K. Jones, Dr.P.H.
Deputy Assistant Secretary for Health (Women's Health)
Office on Women's Health
Humphrey Building, Room 712E
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 690-7650/Fax (202) 401-4005
E-mail: <wjones@osophs.dhhs.gov>
#### President's Council on Physical Fitness and Sports
Christine Spain, M.A.
Director
Research, Planning, and Special Projects
President's Council on Physical Fitness and Sports
Humphrey Building, Room 731H
200 Independence Avenue, S.W.
Washington, DC 20201
\(202\) 690-5148/Fax (202) 690-5211
E‑mail: <cspain@osophs.dhhs.gov>
#### Substance Abuse and Mental Health Services Administration
Margaret Gilliam
Public Health Analyst
Office of Policy and Program Coordination
Substance Abuse and Mental Health Services Administration
Parklawn Building, Room 12C-26
5600 Fishers Lane
Rockville, MD 20857
\(301\) 443-6067/Fax (301) 594-6159
E-mail: <mgilliam@samhsa.gov>
Dorita Sewell, Ph.D.
Healthy People Coordinator
Office of Policy and Program Coordination
Substance Abuse and Mental Health Services Administration
Parklawn Building, Room 12C-26
5600 Fishers Lane
Rockville, MD 20857
\(301\) 443-6067/Fax (301) 594-6159
E-mail: <dsewell@samhsa.gov>
#### Office of Disease Prevention and Health Promotion Staff
Randolph W. Wykoff, M.D., M.P.H., T.M. (202) 401-6295
E-mail: rwykoff@osophs.dhhs.gov
Ellis Davis (202) 260-2873
E-mail: <edavis@osophs.dhhs.gov>
Matthew Guidry, Ph.D. (202) 401-7780
E-mail: <mguidry@osophs.dhhs.gov>
Miryam Granthon (202) 690-6245
E-mail: <mgranthon@osophs.dhhs.gov>
Phyllis Morgan (202)205-8385
E-mail: pmorgan@osophs.dhhs.gov
Emmeline Ochiai (202) 260-9281
E-mail: <eochiai@osophs.dhhs.gov>
Office of Disease Prevention and Health Promotion
Humphrey Building, Room 738G
200 Independence Ave., S.W.
Washington, D.C. 20201
\(202\) 401-6295/Fax (202) 205-9478
#### Centers for Disease Control/National Center for Health Statistics Statistical Advisors
Richard Klein, M.P.H.
Chief
Data Monitoring and Analysis Branch
Division of Health Promotion Statistics
National Center for Health Statistics
Centers for Disease Control and Prevention
6525 Belcrest Road, Room 770
Hyattsville, MD 20782
\(301\) 458-4013/Fax (301) 458-4036
E-mail: <rjk6@cdc.gov>
Diane K. Wagener, Ph.D.
Acting Director
Division of Health Promotion Statistics
National Center for Health Statistics
Centers for Disease Control and Prevention
6525 Belcrest Road, Room 770
Hyattsville, MD 20782
\(301\) 458-4013/Fax (301) 458-4036
E-mail: dkw1@cdc.gov
| en |
converted_docs | 811666 | Internet Access to Spacecraft
James Rash
Goddard Space Flight Center
Greenbelt, MD 20771 (301) 286-5246 James.Rash@gsfc.nasa.gov
Ron Parise, Keith Hogie, Ed Criscuolo, Jim Langston
Computer Sciences Corp (CSC)
7700 Hubble Dr. Lanham-Seabrook, MD 20706 (301) 286-3203
Ron.Parise@gsfc.nasa.gov, Keith.Hogie@gsfc.nasa.gov,
Ed.Criscuolo@gsfc.nasa.gov, jlangsto@csc.com
Chris Jackson
Surrey Satellite Technology Ltd. (SSTL)
University of Surrey
Guildford, Surrey GU2 5XH, U.K. (011) 44-1483-259141
c.jackson@surrey.ac.uk
Harold Price
VyTek Wireless Inc.
1121 Boyce Road, Suite 400, Pittsburgh, PA 15241 (724) 942-1085
hprice@vytek.com
**Abstract**. The Operating Missions as Nodes on the Internet (OMNI)
project at NASA\'s Goddard Space flight Center (GSFC), is demonstrating
the use of standard Internet protocols for spacecraft communication
systems. This year, demonstrations of Internet access to a flying
spacecraft have been performed with the UoSAT-12 spacecraft owned and
operated by Surrey Satellite Technology Ltd. (SSTL). Previously,
demonstrations were performed using a ground satellite simulator and
NASA\'s Tracking and Data Relay Satellite System (TDRSS). These
activities are part of NASA\'s Space Operations Management Office (SOMO)
Technology Program. The work is focused on defining the communication
architecture for future NASA missions to support both NASA\'s \"faster,
better, cheaper\" concept and to enable new types of collaborative
science. The use of standard Internet communication technology for
spacecraft simplifies design, supports initial integration and test
across an IP based network, and enables direct communication between
scientists and instruments as well as between different spacecraft.
The most recent demonstrations consisted of uploading an Internet
Protocol (IP) software stack to the UoSAT-12 spacecraft, simple
modifications to the SSTL ground station, and a series of tests to
measure performance of various Internet applications. The spacecraft was
reconfigured on orbit at very low cost. The total period between concept
and the first tests was only 3 months. The tests included basic network
connectivity (PING), automated clock synchronization (NTP), and reliable
file transfers (FTP). Future tests are planned to include additional
protocols such as Mobile IP, email, and virtual private networks (VPN)
to enable automated, operational spacecraft communication networks. The
work performed and results of the initial phase of tests are summarized
in this paper. This work is funded and directed by NASA/GSFC with
technical leadership by CSC in arrangement with SSTL, and Vytek
Wireless.
# Introduction
This paper will discuss the use of standard Internet applications and
routing protocols to meet the technology challenge of providing dynamic
communication among heterogeneous instruments, spacecraft, ground
stations, and constellations of spacecraft. The objective is to
characterize typical mission functions and automated end-to-end
transport of data in a dynamic multi-spacecraft environment using
off-the-shelf, low-cost, commodity standards. This capability will
become increasingly significant in the years to come as both Earth and
space science missions fly more and more sensors and the present
labor-intensive, mission-specific techniques for processing and routing
data become prohibitively expensive. This work is about defining an
architecture that allows science missions to be deployed "faster,
better, and cheaper" by using the technologies that have been extremely
successful in today's Internet.
# Internet Protocols in Space Overview
The goal of the OMNI project is to define and demonstrate an end-to-end
communication architecture for future space missions. The authors have
combined their knowledge and experience in Internet technologies and
space communication systems in developing the following end-to-end data
communication concept.
## End-to-End Network Concept
The key to the whole architecture is the use of the Internet Protocol^1^
(IP) to provide a universal communication capability among all space and
ground systems for future missions. IP is the technology that the entire
Internet runs on. It provides a basic standardized mechanism for
end-to-end communication between applications across a network. The
protocol provides for automated routing of data through any number of
intermediate network nodes without affecting the endpoints.
Network addresses define endpoints. A network needs a mechanism for
maintaining routing tables that direct the flow of data across the
network. Routing protocols such as Router Information Protocol^2^ (RIP),
Open Shortest Path First^3^ (OSPF), Border Gateway Protocol^4^ (BGP),
and Interior Gateway Routing Protocol^5^ (IGRP) are currently used to
automatically maintain the routing tables in the Internet. These
protocols assume that nodes on the Internet are stationary, and that the
only reason for learning new routes is to adjust to individual link
outages.
Spacecraft environments seem to pose numerous additional challenges over
earth-bound networking, such as:
- continually intermittent links
- multiple mobile nodes forming a dynamic network topology
- maintaining a single address for a spacecraft as it uses different
ground stations
- highly asymmetric or unidirectional communication links
However, there are parallels to the spacecraft environment in the
developing wireless networking community. For example, the increasing
popularity of laptop computers, handheld digital assistants, and
Internet cell phones has driven the development of protocols to handle
mobile nodes, such as Mobile IP^6^ (MIP) and mobile routing. They are
also driving the development of new protocols such as Cellular IP^7^ and
Dynamic Source Routing^8^ (DSR) and other ad-hoc-networking protocols.
This paper will examine standard Internet applications and protocols
specified by the Internet Engineering Task Force (IETF), and map them to
spacecraft applications. It will also describe how standard,
commercially available communication hardware and software was used to
test some of these concepts with an orbiting spacecraft.
## Benefits
Increasingly, future space missions featuring multiple spacecraft are
being proposed. This includes constellations (disjoint or
formation-flying), sensor-webs^9^ of heterogeneous spacecraft, and
collaborative science between spacecraft belonging to different
missions. As the number of spacecraft involved increases, the number of
possible end-to-end routes for data goes up geometrically. The present
methods utilizing manual data routing, non-interoperable protocol
options, and custom data handling applications are not scalable and
rapidly become unaffordable due to the large amount of manpower and
custom development required.
Using standard Internet protocols will allow robust, dynamic, and
automated end-to-end data delivery. Using standard Internet
applications, such as FTP^10^, will allow exchange of data without
designing custom data handling and translation software. These will
reduce the risk and development time for space missions, increase the
accessibility of science data, and enable cost-effective realization of
new science capabilities such as:
- Data exchange directly between spacecraft
- Correlation of data in space
- Collaborative science among unrelated sensors within and across
missions
- Easy reconfiguration and deployment of new types of collaborative
science across multiple missions
- Direct access to science payloads and data by principal
investigators or collaborators
Along with these new capabilities, significant benefits are
envisioned across all phases of a mission life-cycle. Significant
cost savings and risk reduction are achievable in all the following
areas:
- Mission Design
- Software Development
- Hardware Development
- Testing and Integration
- Flight Operations
Mission design will be faster and simpler by using much more
standardized communication interfaces. This will allow designers to
spend less time doing data communication system design and focus more on
the specific science and mission details. Minimizing mission specific
interface control documents (ICDs) will expedite design and reduce
costs.
Software design and development will be able to utilize a large amount
of software and services already defined, documented, implemented, and
tested in commercially available operating systems and applications.
Using a common suite of standard communication interfaces for spacecraft
subsystems will allow development of radiation hardened, standard local
area network components. This will simplify development and integration
of spacecraft systems.
Using Internet technology as a common communication mechanism from
spacecraft subsystems to the end user will allow very early functional
testing of subsystems to identify problems long before traditional
integration and test. Catching problems earlier can provide significant
cost savings and risk reduction.
All of the advantages from the earlier mission phases also carry over
into the mission operation phase. Using the same communication
interfaces from initial design and development through operation allows
the same monitoring and control software and knowledge bases to be used
across the entire mission life-cycle. This avoids developing and testing
new interfaces and software systems for initial development, integration
testing, and operation.
# Prototype Implementation
The OMNI project had been looking for opportunities to demonstrate IP in
space for the last year. However, many of the spacecraft candidates were
deemed unsuitable due primarily to their onboard communication hardware.
The key issue was to find a spacecraft that could support HDLC^11^
framing in hardware. Based on its near-universal use on the terrestrial
Internet, the OMNI project had chosen to use HDLC framing for the
link-level protocol on space-to-ground links. This allowed simple,
straightforward interfacing with existing commercial routers. By
choosing the IETF encapsulation for multi-protocol over
frame-relay/HDLC, we could insure interoperability and avoid being tied
to one manufacturer\'s implementation. These choices made UoSat-12
(figure 1) an ideal test platform, as it already used HDLC framing to
carry its AX.25 protocol. Since HDLC I/O hardware was already present
on-board, only flight software changes would be required to adapt
UoSat-12 to use IP. Changes to the ground station would also be minimal,
requiring only the addition of a standard commercial router and a
programmable switch. See figure 4.
{width="2.9166666666666665in"
height="3.1555555555555554in"}
Figure 1 -- UoSAT-12 Spacecraft
In December 1999, The OMNI project contractor, Computer Sciences Corp.
(CSC), began negotiations to have an IP stack ported to one of the
spacecraft\'s onboard processors, using HDLC/Frame-Relay for the
link-layer protocol over the RF communication system. This would allow
the ground station to directly connect the receiver to a standard
low-cost router, providing end-to-end IP connectivity between an IP
address on the spacecraft and any node on the Internet. Further
discussions covered porting File Transfer Protocol (FTP) and Network
Time Protocol^12^ (NTP) to the spacecraft\'s operating system.
In February 2000, CSC let an initial contract to VyTek Wireless of
Pittsburgh, PA, formerly VyTek LLC, to supply the software porting,
spacecraft time, and ground-station time for a series of flight tests.
Initial tests of IP connectivity were scheduled for early April 2000,
with tests of spacecraft clock synchronization, reliable file transfer,
and blind commanding to follow in May/June 2000.
Follow-on work is planned to demonstrate http file delivery, mobile IP,
security, and store-and-forward commanding and data delivery using
Simple Mail Transfer Protocol^13^ (SMTP). These tests are expected to be
performed in 3Q/4Q 2000.
## Spacecraft Implementation
Since the UoSAT-12 spacecraft was already in orbit, that part of the IP
implementation could not require any hardware changes. The spacecraft
was built to be a flexible prototype test environment and it was easy to
upload and test new software to support IP and HDLC.
### HDLC at the Physical Layer
The UoSat-12 spacecraft uses hardware to perform the HDLC framing. At
the physical layer, HDLC framing is extremely simple, consisting of only
a 1-byte flag pattern, a variable number of data bytes, and a 2-byte
CRC. See figure 2. The end of the frame is identified by another 1-byte
flag pattern. This is allowed to be the flag pattern for the start of
the next frame. During any idle time, successive flag bytes are output
until the next frame begins. Thus, HDLC frames are always separated by
one or more flag bytes.
Flag bytes consist of a zero bit, 6 one bits, and a zero bit. In order
to prevent this pattern from occurring in the data, the HDLC hardware
performs \"bit stuffing\" when sending data. Any sequence of 5 one bits
in the data automatically has a zero bit inserted after it, thus
insuring that any sequence of 6 consecutive one bits *must* be a flag
byte. When receiving, these extra zero bits are automatically removed
from the data.
While the primary purpose of \"bit stuffing\" is to ensure the
uniqueness of the flag byte, it also has an additional benefit. It
ensures that a long unbroken sequence of one bits in the data does not
produce a signal to the transmitter that does not have periodic
transitions. These periodic transitions are important at the receiver,
where a bit-synchronizer depends on them to extract the clock and data
bitstreams from the raw signal. Along the same lines, UoSat-12 also uses
standard NRZI coding for the HDLC output. NRZI will insure that an
unbroken sequence of zero bits in the data stream becomes transformed
into an alternating sequence of ones and zeros. Thus, the use of \"bit
stuffing\", idle flag bytes, and NRZI coding insures that the
transmitter will never send an unmodulated carrier, and the receiver
will see a transition *at least* once every 6 bit times. It is important
to note that these requirements were able to be met by standard COTS
hardware and protocols without inventing any \"space specific\"
solutions. It should be further noted that these solutions are isolated
to the lowest layer and are transparent to the upper layers. The
application layer does not have to concern itself with generating \"fill
packets\" or \"fill frames\".
{width="5.339583333333334in"
height="2.4479166666666665in"}
Figure 2 - HDLC/Frame Relay/IP packet formats
### HDLC at the Link Layer
As previously mentioned, the OMNI project had selected HDLC/Frame-Relay
with IETF multi-protocol encapsulation as the link layer protocol of
choice. In order to modify the UoSat-12 flight software to use IP, an IP
stack had to be ported to UoSat-12 and a link-layer driver written and
added to that stack. Because of the hardware HDLC support, the link
layer driver was fairly simple, requiring only the addition of the
frame-relay and encapsulation headers, most of which consisted of fixed
bit patterns to indicate a fixed Data Link Channel Indicator (DLCI) and
an encapsulation of IP over frame-relay.
### IP Stack in SCOS
The UoSat-12 spacecraft uses the SCOS operating system, developed by
VyTek Wireless. SCOS has been part of 34 small spacecraft missions, 16
are currently operational, and 8 are being prepared for launch. SCOS is
a preemptive dispatch multitasking operating system with support for
dynamic reloading of modules from the ground, or from onboard \"ram
disk\" storage.
To add IP capability to the UoSAT-12 spacecraft, VyTek ported the
relevant sections of FreeBSD version 3.2, which is based on Berkeley 4.4
BSD developed by the University of California, Berkeley and its
contributors. This consisted of approximately 12,000 lines of C code,
including the NTP client and FTP server. Most of these lines were
unmodified but the porting did include dealing with 16 bit vs. 32 bit
integers. The majority of the work was in:
- developing a device interface for the FreeBSD IP stack that made use
of the \"raw HDLC\" interface that was added to the existing SCOS
AX.25 drivers.
- Adding a \"sockets\" interface callable by user programs.
The FTP server was recoded to fit better in the SCOS environment. The
FreeBSD code forked a new process for each concurrent user and was not
an efficient use of SCOS resources. The result of the port was about
140K bytes of executable code (including FTP and NTP) and 60K bytes of
data (including packet buffers).
The software was tested using a spacecraft simulator at VyTek. The
simulator is an I/O co-processor card from IBM called ARTIC. It uses an
80186 CPU and two Zilog 8030 SCC chips (providing hardware HDLC). From
the point of view of the SCOS kernel, this is similar to the UoSAT-12
hardware (80386 and Zilog ISCC). The various test scripts developed at
GSFC were first tested through the Internet using the simulator at
VyTek, as shown in figure 3.
{width="3.098611111111111in"
height="1.854861111111111in"}
Figure 3 -- VyTek Development Environment
Once the testing was complete, the executable files were send to SSTL,
where they were uploaded to the spacecraft by the operators. When major
changes were made, SSTL would first check the software by loading it on
a engineering model of the UoSAT-12 computer, small tweaks were
generally uploaded without additional testing. UoSAT-12, like all of the
UoSATs, can be quickly reloaded, in many cases from onboard file
storage. In cases of low risk, testing is sometimes done on board,
greatly reducing the overall costs of updates. This is especially
important on research and development missions like UoSAT-12.
The SCOS design philosophy and a TCP/IP stack fit nicely together. Many
of the TCP protocols are peer to peer, meaning a program on one host
computer somewhere on the net is interacting with a program running on a
host computer elsewhere on the net. There is no single gatekeeper
program running on hosts in the Internet environment to parcel out
multiplexed access to the communications links. The TCP/UDP/IP stack
performs all of the routing and multiplexing functions needed.
Likewise, an SCOS software stack is usually made up of independent
(though interacting) processes (called tasks), each interacting with a
peer on the ground, for example, telemetry tasks, GPS, attitude control,
imaging control, etc. Each task has its own address on the
uplink/downlink, and can be separately addressed on the link. In past
missions, the address features of the AX.25 protocol were used. In the
UoSAT-12 OMNI tests, the port number features of TCP and UDP were used.
Addressing processes on a host using ports is very natural way of
communicating through the Internet or an intranet, and therefore make
maximum use of existing COTS hardware and software, and more
importantly, the many years of experience and work embodied in the
Internet protocols.
## Ground Station Implementation
Since the SSTL ground station already supported HDLC framing, a standard
Internet router was the only addition needed. Figure 4 indicates the
basic components of the ground station and where the router was added in
parallel with the existing AX.25 communication front-end.
The serial interface on the router uses a standard RS-530 connection
with balanced, synchronous clock and data lines for transmit and receive
data. The modem/receiver lock signal is connected to the DCD line on the
router. This allowed the receiver lock indication to be monitored
remotely by someone logged into the router. During a normal UoSAT-12
pass, the SSTL transmitter is in standby and a push-to-talk mode is used
as needed. When the station is configured for IP mode the transmitter is
on all the time to provide continuous, full-duplex operation.
Since the basic HDLC framing is identical for both AX.25 and frame
relay, the receive clock and data lines are simply split off to both the
AX-25 front-end and the routers. When UoSAT-12 is sending AX.25 format
data, the router doesn't recognize the AX.25 headers inside those HDLC
frames, so it just counts the HDLC frame and discards the data. The
AX.25 front-end treats the IP/frame relay packets similarly. By using
standard HDLC for both modes there are no receiver reconfigurations
needed to switch between modes.
The only station reconfiguration required is to select which system is
connected to the transmitter. This is done with a controllable switch
and supports fully automated passes for either the IP or AX.25 mode.
The SSTL ground station is built on an Ethernet LAN with firewalls and
router connectivity to the Internet. Two addresses were used on the
ground station LAN to support these tests. One address was used for the
Ethernet interface on the router and the other address was assigned to
the spacecraft. The router was configured to route data for the
spacecraft address out the serial port. This enabled Proxy ARP for that
address the . This means that when any system on the Surrey LAN sent out
an Address Resolution Protocol (ARP) packet to find the Ethernet address
that corresponded to the spacecraft address, the router would respond
and data would be sent to it. The router would then forward the packets
on the serial interface. Any data coming in the serial interface would
be forwarded based on its destination address using standard IP
forwarding.
{width="5.697222222222222in"
height="2.4208333333333334in"}
Figure 4 - SSTL ground station configuration
# Current Tests and Results
The following tests were performed to demonstrate functionality of
Internet Protocols with an on-orbit spacecraft.
## Basic Internet Connectivity
The initial IP tests with UoSat-12 were designed to verify the operation
of standard Internet packet routing from the spacecraft\'s operating
system to anywhere on the Internet. The \"ping\" utility was used to
accomplish this and to characterize the basic link propagation delay.
The test configuration used is shown in figure 5. Five simultaneous
data-capture sessions were run:
1. [Local Ping]{.underline} - A ping session was run from the Cisco
router at the SSTL ground station to UoSat-12. This demonstrated
connectivity and measured the basic link delay.
2. [Remote Ping]{.underline} - A ping session was run from a
workstation at GSFC all the way to UoSat-12. This demonstrated
end-to-end packet routing from user to spacecraft through
approximately 20 hops across the open Internet.
3. [Router Statistics]{.underline} - The interface, link, and network
statistics on the router at SSTL were captured every 30 seconds.
4. [Ground Internet Delay]{.underline} - A ping session was run from a
workstation at GSFC to the router at SSTL. This provided a
measurement of the terrestrial Internet\'s latency and provided a
cross-check on the differences between the local ping and remote
ping sessions.
5. [Groundstation Log]{.underline} - During the pass, groundstation
parameters such as antenna az/el, signal strength, and range data
were captured.
All captured data was timestamped, and the time clocks in SSTL and GSFC
were kept synchronized by using NTP to synchronize to the US Naval
Observatory\'s timeserver in Washington DC.
The results for the test run on April 11, 2000 are shown in figure 6.
The scheduled UoSat-12 pass had an AOS of 16:38:21 UTC and an LOS of
16:57:43. This was a very clean test, with pings beginning right at 0
deg. elevation, and no significant anomalies other than the expected
dropouts near LOS due to antenna masking. This high-elevation pass (71
deg. max) produced a clearly visible 15 ms. shift in the round-trip
times between minimum and maximum range.
The chart in figure 6 has five separate quantities plotted. Starting
from the bottom, the bottom (orange) data series is antenna elevation in
degrees vs time. The scale is shown on the right. All other series use
the seconds scale on the left. The second (green) data series is the
theoretical minimum round-trip-time (RTT). This is calculated based on
the packet size, uplink and downlink rates, and the slant range to the
spacecraft. The third (blue diamonds) data series is a scatter plot of
the 3000+ raw PING times from the SSTL router to UoSat-12. The fourth
(light blue) line is a 5^th^ order polynomial fit through the raw PING
times. Note the constant 40 ms. offset from the theoretical minimum RTT.
This represents onboard processor latency. The fifth (red X) data series
is a scatter plot of the raw PING times from GSFC to UoSat-12. Note
that, in general, the ground station to satellite RTT is less than half
of the GSFC to satellite RTT.
{width="6.002777777777778in"
height="3.2840277777777778in"}
Figure 5 - PING test configuration
{width="6.497916666666667in"
height="4.134722222222222in"}
Figure 6 - PING test results
## Automated Spacecraft Clock Synchronization
For the clock synchronization tests, a standard NTP client was ported to
the UoSAT-12 spacecraft. It was used to automatically synchronize the
onboard clock to UTC. On the ground, the US Naval Observatory\'s
timeserver (tick.usno.navy.mil) was used as the reference timeserver.
This configuration is shown in figure 7. This represents somewhat of a
worst-case test, as the USNO is a quarter of the way around the world,
over 20 router hops, from the UoSat-12 ground station in Surrey, UK. In
a real operations environment, a timeserver of the required accuracy
would be located at the groundstation to minimize the network latency
and variation that NTP has to factor out. However, NTP is designed to
deal with these factors, and the resulting levels of accuracy might be
quite adequate for many space missions even under worst case conditions.
Two tests were performed, both following the same scenario. The test
starts out with the onboard NTP server running, but disabled from
actually changing the spacecraft\'s clock. The onboard server
periodically negotiates with the USNO timeserver to factor out network
delay. If it is successful, the onboard server calculates the offset it
thinks it has to apply to the spacecraft\'s clock. This value is sent to
the ground in a UDP telemetry stream, where it is logged for later
analysis. For purposes of this testing, the NTP negotiation period is
set artificially low to 30 seconds so that a reasonable number of data
points can be collected during the 14 minute pass. A short time into the
test, a command is sent to the spacecraft to enable NTP to actually
change the onboard clock. NTP will require two successful offset
calculations before it will adjust the clock. Later in the test, a
command is sent to the spacecraft to manually set the onboard clock in
error by a large amount (2-3 seconds). After two successful offset
calculations, NTP should again reset the clock. If the time is off by
more than one second, the spacecraft NTP client adjusts to the proper
second during one adjustment period, and adjusts for fractional seconds
on the next adjustment period.
{width="6.497916666666667in"
height="3.5493055555555557in"}
Figure 7 - NTP test configuration
{width="6.498611111111111in"
height="4.305555555555555in"}
Figure 8 - NTP test results
The results for the test run on April 14, 2000 are shown in figure 8.
The scheduled UoSat-12 pass had an AOS of 16:24:16 UTC and an LOS of
16:38:36. No anomalies occurred during the pass.
The pass began with a spacecraft clock offset from UTC of approximately
+300 ms. Two calculations after NTP time-changing was enabled, the
calculated offset dropped to less than two clock ticks (20 ms) and
stayed there until it was manually set in error from the ground. A
ground command was used to set the clock ahead by approximately 3.25
seconds. Two offset calculations after that, NTP had reset the clock to
within six clock ticks of UTC, taking an additional two offset
calculations to settle within two clock ticks of UTC.
# Future Work
Testing of the File Transfer Protocol (FTP operating over the
Transmission Control Protocol (TCP)) was initiated after the NTP tests.
Files were successfully transferred and work is currently underway to
adjust some of the standard TCP tuning parameters to optimize
performance. At the completion of the FTP tests, additional software
will be uploaded to UoSAT-12 to demonstrate delivery of standard
telemetry and science data using UDP packets all the way from the
spacecraft to a control center.
The current activities have demonstrated that standard Internet
protocols will function in a space environment. However, the activities
so far have been done in fairly simple and controlled configurations.
More work is needed to investigate additional protocols required to
properly deploy Internet protocols in world-wide, operational space
communication networks. Implementing HDLC framing and IP packets on
spacecraft and installing routers at ground stations are not major
problems. The main issues are to deal with network security and the
highly mobile aspects of spacecraft.
The OMNI project is in the process of expanding its test environment to
include multiple spacecraft simulators and ground nodes for testing
mobile IP and mobile routing protocols. These investigations plan to use
the Linux and VxWorks operating systems on the spacecraft simulators and
Cisco IOS 12.1 or newer software on the ground routers.
Security solutions based on Internet security protocols^14^ (IPsec) and
virtual private networks^15^ (VPNs) will be configured and tested along
with the mobile IP environment.
The mobile IP and security work will focus on issues for deploying IP in
operational space communication networks. Additional work is also
planned to identify spacecraft control and data delivery applications to
use over a space IP network. One of the main application areas to be
investigated will be reliable file transfer in space environments. This
will focus on file transfer applications that operate over UDP and that
can then operate in communication environments with extremely long
round-trip times and link bandwidth asymmetry.
A workshop to discuss Internet protocols in space will be held at GSFC
in November 2000. This will be an opportunity for anyone interested in
space Internet concepts to discuss issues and propose solutions.
Information on test results and future activities will be posted on the
OMNI project web site at <http://ipinspace.gsfc.nasa.gov/>.
# Conclusions
The last year of tests and demonstrations has shown that HDLC framing
and IP packets provide a very simple and flexible communication
mechanism for space communication. HDLC framing is well supported in a
wide range of COTS products and has been used on spacecraft for over 10
years. Using the Internet Protocol as a network layer allowed easy
integration and testing of our end-to-end scenarios. Also, both HDLC and
IP required no modifications to operate in intermittent space link
conditions.
HDLC framing provides a minimal byte overhead along with a link level
error check. The variable length of HDLC framing also results in very
simple data packing and unpacking since one IP packet normally ends up
in one HDLC frame. A large UDP packet can be sent which will result in
IP fragmentation but this is under the application programmer\'s control
and can be completely avoided if desired. The biggest benefit of using
HDLC is that it is supported on most any communication hardware that has
serial interfaces.
Using the IETF multiprotocol encapsulation over frame relay has proven
to be very robust and supported on every piece of communication
equipment we have worked with. We have mixed equipment from different
vendors on serial links, and there have been no compatibility problems.
Frame relay equipment can also be used to provide basic forwarding of
frames without any IP processing involved. This provides additional
flexibility in deploying communication systems.
While many of the Internet protocols (i.e. TCP, FTP, NTP) work in
full-duplex communication scenarios, we have also successfully used
others (i.e. UDP) in either receive-only or transmit only scenarios.
During the tests described in this paper, a one-way UDP based telemetry
stream was used for diagnostics and statistics data. These one-way data
transmission modes must be supported in order to deal with spacecraft
contingencies when a full-duplex link is not available. This is just one
more case of the Internet protocols being flexible enough to support a
wide range of requirements.
Finally, introducing a network protocol like IP in the communication
architecture has allowed us to easily support a wide range of
communication scenarios and mission scenarios. Using IP has allowed us
to communicate around the world and introduce new applications very
quickly and easily. Most of the traditional interface control documents
(ICDs) are eliminated since the Internet standards are already well
specified, highly interoperable, and widely available.
# Acknowledgments
The research described in this paper was carried out by personnel from
Computer Sciences Corporation working under contract to NASA's Goddard
Space Flight Center. The work was funded by NASA's Space Operations
Management Office (SOMO) Communication Technology Project headed by Tom
Costello. The authors would like to thank Cisco Systems for the loan of
a Cisco 1601 router for use in the SSTL ground station. Also, the NTP
time servers at the US Naval Observatory proved very useful in the NTP
tests on UoSAT-12.
# References
1. \"Internet Protocol, DARPA Internet Program Protocol
Specification\", Internet Engineering Task Force RFC-791, September
1981
```{=html}
<!-- -->
```
6. \"Router Information Protocol (RIP) Version 2\", Internet
Engineering Task Force RFC-2453, November 1998
7. \"Open Shortest Path First (OSPF) Version 2\", Internet Engineering
Task Force RFC-2328, April 1998
8. \"BGP4/IDRP for IP\-\--OSPF Interaction\", Internet Engineering Task
Force RFC-1745, December 1994
9. \"Internetworking Technologies Handbook: Enhanced IGRP\", Cisco
Systems, Macmillan Publishing USA, 1997
10. \"IP Mobility Support\", Internet Engineering Task Force RFC-2002,
October 1996
11. \"Cellular IP - A New Approach to Internet Host Mobility,\" ACM
Computer Communication Review, January 1999
12. \"The Dynamic Source Routing Protocol for Mobile Ad Hoc Networks\",
Internet Engineering Task Force, Internet-Draft Mannet-DSR-03 , 22
October 1999
13. \"Real-Time Information Technology Challenges for NASA\'s Earth
Science Enterprise\", G. Prescott S. Smith K. Moe, The 20th IEEE
Real-Time Systems Symposium, Dec. 1-3, 1999 Phoenix, Arizona, USA
14. \"File Transfer Protocol\", Internet Engineering Task Force RFC-959,
October 1985
15. \"High-level Data Link Control (HDLC) - Frame Structure\", ISO-3309
16. \"Network Time Protocol (Version 3) Specification, Implementation
and Analysis\", Internet Engineering Task Force RFC-1305, March 1992
17. \"Simple Mail Transfer Protocol\", Internet Engineering Task Force
RFC-821, August 1982
18. \"Security Architecture for the Internet Protocol\", Internet
Engineering Task Force RFC-2401, November 1998
19. \"Virtual Private Networks Identifier\", Internet Engineering Task
Force RFC-2685, September 1999
| en |
markdown | 921488 | # Presentation: 921488
## THE IMPACT OF UNMET NEED ON ACCESS FOR LOW-INCOME STUDENTS
**THE ADVISORY COMMITTEE ON **
**STUDENT FINANCIAL ASSISTANCE**
**STAFF BRIEFING**
**SEPTEMBER 13, 2001**
## Slide 2
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## MAJOR FINDINGS OF ACCESS DENIED
**MAJOR FINDINGS OF ACCESS DENIED**
## The Access Process: The Influence of Financial Factors
**The Access Process: The Influence of Financial Factors**
## Parents of high unmet need students are almost 5 times more likely to be very concerned about perceived unmet need
***Parents of high unmet need students are almost 5 times more likely to be very concerned about perceived unmet need***
***High unmet need students are almost 3 1/2 times more likely to be very concerned about college costs and financial aid***
**First Relationship: Concerns Over Perceived Unmet Need**
## Only about 3/4 as likely
***Only about 3/4 as likely ***
***to expect to finish college***
***17 times more likely to expect no college***
**Second Relationship: Expectations as a High School Freshman**
***Almost 5 times more likely to expect ***
***only some college***
## More than 4 1/2 times more likely not to plan
***More than 4 1/2 times more likely not to plan ***
***to attend college immediately (or was not sure)***
***Only about 6/7 as less likely to plan to attend a four-year college***
***Almost 3 times more likely to ***
***plan to attend two-year college***
**Second Relationship (Continued): Plans Following High School Graduation**
## Over 2 1/2 times more likely to take exam and not apply
***Over 2 1/2 times more likely to take exam and not apply***
***Almost 3 times more likely to not take exam and not apply***
***Over 2 3/4 times more likely to not apply***
**Compared to Students With Low Unmet Need, High Unmet Need College-Qualified 1992 High School Graduates Are:**
**Third Relationship: Test Taking and Applying**
## Over 6 times more likely to be not enrolled
***Over 6 times more likely to be not enrolled ***
***in any institution by 1994***
**Fourth Relationship: Enrollment**
**Compared to Students With Low Unmet Need, High Unmet Need College-Qualified 1992 High School Graduates Are:**
***Only about 5/8 as likely to be enrolled ***
***in any four-year institution by 1994***
## Fifth Relationship: Persistence
***Only 1/7 as likely to complete a four-year college degree***
***About 3/5 as likely to be college-qualified***
**Compared to Students With Low Unmet Need, High Unmet Need College-Qualified 1992 High School Graduates Are:**
## Summary of The Effects of Unmet Need on College-Qualified Students
**Summary of The Effects of Unmet Need on College-Qualified Students**
## Access has both an academic and financial dimension.
A large pool of college-qualified low-income students exists - 140,606 qualified low SES students did not go to college and 193,038 did not go to a 4-year college
That pool will grow significantly due to demographic trends already upon us - a 20% increase in enrollment by 2010 - as well as improvements in academic preparation.
Merely to hold the line on college participation of college-qualified low-income students will require a much greater commitment of funds to need-based student aid in the future, the nation faces a shortfall of over 3.2 billion dollars.
Hence, policy analysis and development that ignore the financial dimension of access will reach false conclusions about the condition of access, the need for state and federal action, and the effects of alternative policies on access.
In particular, policy analysis and development must consider both the perceptions of finances and the direct effects of prices and subsidies on low-income students throughout the entire education pipeline.
- A large pool of college-qualified low-income students exists - 140,606 qualified low SES students did not go to college and 193,038 did not go to a 4-year college
- That pool will grow significantly due to demographic trends already upon us - a 20% increase in enrollment by 2010 - as well as improvements in academic preparation.
- Merely to hold the line on college participation of college-qualified low-income students will require a much greater commitment of funds to need-based student aid in the future, the nation faces a shortfall of over 3.2 billion dollars.
- Hence, policy analysis and development that ignore the financial dimension of access will reach false conclusions about the condition of access, the need for state and federal action, and the effects of alternative policies on access.
- In particular, policy analysis and development must consider both the perceptions of finances and the direct effects of prices and subsidies on low-income students throughout the entire education pipeline.
**Advisory Committee Preliminary Findings** | en |
log-files | 759691 |
gnt_infrm: **********************************************
gnt_infrm: Running procedure do_proc on sequence 75031000
gnt_infrm: **********************************************
Tue May 2 16:56:09 EDT 2000
gnt_infrm: (do_proc) Root directory is /tproc/nandra/processing/
gnt_infrm: (do_proc) Deleting sequence 75031000...
gnt_infrm: (do_proc) Creating sequence 75031000...
gnt_infrm: *************************
gnt_infrm: Running procedure do_getf
gnt_infrm: *************************
Tue May 2 16:56:10 EDT 2000
gnt_infrm: Using rcp to copy aux/ files...
fa970622_0300.0730.gz
ft970622_0300_0730.mkf.gz
ft970622_0300_0730_mkfc.ps.gz
ft970622_0300_0730_mkfm.ps.gz
ft970622_0300_0730_mkfs.ps.gz
gnt_infrm: Copying screened/ files...
ad75031000g200170h.evt.gz
ad75031000g200270m.evt.gz
ad75031000g300170h.evt.gz
ad75031000g300270m.evt.gz
ad75031000s000102h.evt.gz
ad75031000s000112h.evt.gz
ad75031000s000202m.evt.gz
ad75031000s000212m.evt.gz
ad75031000s100102h.evt.gz
ad75031000s100112h.evt.gz
ad75031000s100202m.evt.gz
ad75031000s100212m.evt.gz
gnt_infrm: Copying unscreened/ files...
ad75031000g200170h.unf.gz
ad75031000g200270m.unf.gz
ad75031000g200370l.unf.gz
ad75031000g300170h.unf.gz
ad75031000g300270m.unf.gz
ad75031000g300370l.unf.gz
ad75031000s000101h.unf.gz
ad75031000s000102h.unf.gz
ad75031000s000112h.unf.gz
ad75031000s000201m.unf.gz
ad75031000s000202m.unf.gz
ad75031000s000212m.unf.gz
ad75031000s000301l.unf.gz
ad75031000s000302l.unf.gz
ad75031000s000312l.unf.gz
ad75031000s100101h.unf.gz
ad75031000s100102h.unf.gz
ad75031000s100112h.unf.gz
ad75031000s100201m.unf.gz
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ad75031000s100212m.unf.gz
ad75031000s100301l.unf.gz
ad75031000s100302l.unf.gz
ad75031000s100312l.unf.gz
gnt_infrm: Unzipping all files...
gnt_infrm: Unzipped all files in /tproc/nandra/processing/75031000/unscreened.
gnt_infrm: Unzipped all files in /tproc/nandra/processing/75031000/screened.
gnt_infrm: Unzipped all files in /tproc/nandra/processing/75031000/aux.
gnt_infrm: Getting object name from attitude file...
gnt_infrm: ========================
gnt_infrm: End of procedure do_getf
gnt_infrm: ========================
Tue May 2 16:57:25 EDT 2000
gnt_infrm: (do_proc) Sequence directory is /tproc/nandra/processing/75031000.
gnt_infrm: *************************
gnt_infrm: Running procedure do_cats
gnt_infrm: *************************
Tue May 2 16:57:26 EDT 2000
** XSELECT V2.0 **
!> Enter session name >[xsel] cat
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!cat:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!cat > set datadir ../unscreened
Setting data directory to /tproc/nandra/processing/75031000/unscreened/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!cat > set DUMPCAT
Obscat listing off
!cat > set inst sis0
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
!cat:ASCA-SIS0 > set datamode BRIGHT
!cat:ASCA-SIS0-BRIGHT > make obscat cat_filt=DEF lststr='ad*s0*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&COORDPRO!='ERROR'&&INSTRUME=='SIS0'&&DATAMODE=='BRIGHT'
!cat:ASCA-SIS0-BRIGHT > save obscat s0_bright.cat clobber=yes
!cat:ASCA-SIS0-BRIGHT > set datamode BRIGHT2
!cat:ASCA-SIS0-BRIGHT2 > make obscat cat_filt=DEF lststr='ad*s0*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&COORDPRO!='ERROR'&&INSTRUME=='SIS0'&&DATAMODE=='BRIGHT2'
!cat:ASCA-SIS0-BRIGHT2 > save obscat s0_bright2.cat clobber=yes
!cat:ASCA-SIS0-BRIGHT2 > set inst sis1
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
!cat:ASCA-SIS1 > set datamode BRIGHT
!cat:ASCA-SIS1-BRIGHT > make obscat cat_filt=DEF lststr='ad*s1*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&COORDPRO!='ERROR'&&INSTRUME=='SIS1'&&DATAMODE=='BRIGHT'
!cat:ASCA-SIS1-BRIGHT > save obscat s1_bright.cat clobber=yes
!cat:ASCA-SIS1-BRIGHT > set datamode BRIGHT2
!cat:ASCA-SIS1-BRIGHT2 > make obscat cat_filt=DEF lststr='ad*s1*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&COORDPRO!='ERROR'&&INSTRUME=='SIS1'&&DATAMODE=='BRIGHT2'
!cat:ASCA-SIS1-BRIGHT2 > save obscat s1_bright2.cat clobber=yes
!cat:ASCA-SIS1-BRIGHT2 > set inst gis2
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
!cat:ASCA-GIS2 > make obscat cat_filt=DEF lststr='ad*g2*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&HV_RED=='OFF'&&HVH_LVL==3&&HVL_LVL==4&&COORDPRO!='ERROR'&&INSTRUME=='GIS2'
!cat:ASCA-GIS2 > save obscat g2.cat clobber=yes
!cat:ASCA-GIS2 > set inst gis3
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
!cat:ASCA-GIS3 > make obscat cat_filt=DEF lststr='ad*g3*.unf'
''Using default selection expression: ONTIME>100&&NEVENTS>0&&HV_RED=='OFF'&&HVH_LVL==3&&HVL_LVL==4&&COORDPRO!='ERROR'&&INSTRUME=='GIS3'
!cat:ASCA-GIS3 > save obscat g3.cat clobber=yes
!cat:ASCA-GIS3 > exit save=no
gnt_infrm: Makefilter file is: /tproc/nandra/processing/75031000/aux/ft970622_0300_0730.mkf
gnt_infrm: Determining datamode...
gnt_infrm: Determining BR_EARTH angle...
rm: No match.
rm: No match.
gnt_infrm: ========================
gnt_infrm: End of procedure do_cats
gnt_infrm: ========================
Tue May 2 16:57:51 EDT 2000
gnt_infrm: (do_proc) The dominant datamode is: BRIGHT2.
gnt_infrm: (do_proc) The BR_EARTH angle is: 20.
gnt_infrm: *************************
gnt_infrm: Running procedure do_scrn
gnt_infrm: *************************
Tue May 2 16:57:52 EDT 2000
gnt_infrm: The datamode is BRIGHT2.
gnt_infrm: Determining the CCD mode...
CCD EXP_TIME
--------------------------
2 2.329153694960475E+04
2 3.676002615988255E+02
-------------------------------------
Exposure time in 1-CCD mode: 0
Exposure time in 2-CCD mode: 23659
Exposure time in 4-CCD mode: 0
-------------------------------------
gnt_infrm: Using 2-CCD mode.
****** ASCASCREEN V.0.51 ******
Applies standard clean criteria to all modes of ASCA data.
Output:
-- A single cleaned events file (.evt) except in MPC mode
-- An image for the entire detector (.img) except in FAST and MPC modes
-- The timing filters (.gti) in MPC mode
-- A lightcurve (.lc) and spectrum (.pha) in MPC mode.
-- The Dark Frame Error history file (.dfe) for FAINT mode.
-- A reduced obscat (.cat)
Try ascascreen -h for help.
Report problems to ascahelp@athena.gsfc.nasa.gov
A return will accept the default.
For character replies, the default is in upper case.
Okay, I'll only write the xco file
To use it, say:
xselect @output_root.xco
I will choose all the minor modes.
Okay, I will use the defaults.
Got data directory: /local/data/tproc/nandra/processing/75031000/unscreened
Got instrument SIS0
Got datamode BRIGHT2
Using HIGH bit rate data.
Using MEDIUM bit rate data.
Using LOW bit rate data.
Analysing files for your chosen mode, please wait.
Using 0.01 for Maximum allowed angular deviation
Using 30 for Bright Earth Angle
Using 10 for minimum elevation
Using 6 for minimum cutoff rigidity
Using 275 for Radiation Belt Monitor upper-threshold
Using 75 for SIS Pixel rejection upper-threshold for chips 01 .
I will start up SAOImage, and leave you in Xselect at the end
Writing command file 75031000_sis0.xco
Index NEVENTS ONTIME S0CCDMOD S0CCDLST S0_ARENA
0 281637 82264.2 2 0101 0
Removing Hot and Flickering Pixels.
Performing Grade selection ( keeping 0,2,3, and 4 ).
Command file written, goodbye
****** ASCASCREEN V.0.51 ******
Applies standard clean criteria to all modes of ASCA data.
Output:
-- A single cleaned events file (.evt) except in MPC mode
-- An image for the entire detector (.img) except in FAST and MPC modes
-- The timing filters (.gti) in MPC mode
-- A lightcurve (.lc) and spectrum (.pha) in MPC mode.
-- The Dark Frame Error history file (.dfe) for FAINT mode.
-- A reduced obscat (.cat)
Try ascascreen -h for help.
Report problems to ascahelp@athena.gsfc.nasa.gov
A return will accept the default.
For character replies, the default is in upper case.
Okay, I'll only write the xco file
To use it, say:
xselect @output_root.xco
I will choose all the minor modes.
Okay, I will use the defaults.
Got data directory: /local/data/tproc/nandra/processing/75031000/unscreened
Got instrument SIS1
Got datamode BRIGHT2
Using HIGH bit rate data.
Using MEDIUM bit rate data.
Using LOW bit rate data.
Analysing files for your chosen mode, please wait.
Using 0.01 for Maximum allowed angular deviation
Using 20 for Bright Earth Angle
Using 10 for minimum elevation
Using 6 for minimum cutoff rigidity
Using 275 for Radiation Belt Monitor upper-threshold
Using 75 for SIS Pixel rejection upper-threshold for chips 23 .
I will start up SAOImage, and leave you in Xselect at the end
Writing command file 75031000_sis1.xco
Index NEVENTS ONTIME S1CCDMOD S1CCDLST S1_ARENA
0 255937 82330.5 2 2323 0
Removing Hot and Flickering Pixels.
Performing Grade selection ( keeping 0,2,3, and 4 ).
Command file written, goodbye
****** ASCASCREEN V.0.51 ******
Applies standard clean criteria to all modes of ASCA data.
Output:
-- A single cleaned events file (.evt) except in MPC mode
-- An image for the entire detector (.img) except in FAST and MPC modes
-- The timing filters (.gti) in MPC mode
-- A lightcurve (.lc) and spectrum (.pha) in MPC mode.
-- The Dark Frame Error history file (.dfe) for FAINT mode.
-- A reduced obscat (.cat)
Try ascascreen -h for help.
Report problems to ascahelp@athena.gsfc.nasa.gov
A return will accept the default.
For character replies, the default is in upper case.
Okay, I'll only write the xco file
To use it, say:
xselect @output_root.xco
I will choose all the minor modes.
Okay, I will use the defaults.
Got data directory: /local/data/tproc/nandra/processing/75031000/unscreened
Got instrument GIS2
Got datamode PH
Using HIGH bit rate data.
Using MEDIUM bit rate data.
Using LOW bit rate data.
Analysing files for your chosen mode, please wait.
Using 0.01 for Maximum allowed angular deviation
Using 5 for minimum elevation
Using standard GIS particle BGD rejection criterion
I will start up SAOImage, and leave you in Xselect at the end
Removing ring and calibration sources
Using the region:
CIRCLE(128.50,128.50,88.00)
-ELLIPSE(167.50,220.00,24.66,28.95,245.298)
Writing command file 75031000_gis2.xco
Index NEVENTS ONTIME RAWXBINS RISEBINS TIMEBINS PHA_BINS POS_DET
0 65524 74483.7 256 32 1 1024 FLF
Using Rise Time window bkgd. rejection
Command file written, goodbye
****** ASCASCREEN V.0.51 ******
Applies standard clean criteria to all modes of ASCA data.
Output:
-- A single cleaned events file (.evt) except in MPC mode
-- An image for the entire detector (.img) except in FAST and MPC modes
-- The timing filters (.gti) in MPC mode
-- A lightcurve (.lc) and spectrum (.pha) in MPC mode.
-- The Dark Frame Error history file (.dfe) for FAINT mode.
-- A reduced obscat (.cat)
Try ascascreen -h for help.
Report problems to ascahelp@athena.gsfc.nasa.gov
A return will accept the default.
For character replies, the default is in upper case.
Okay, I'll only write the xco file
To use it, say:
xselect @output_root.xco
I will choose all the minor modes.
Okay, I will use the defaults.
Got data directory: /local/data/tproc/nandra/processing/75031000/unscreened
Got instrument GIS3
Got datamode PH
Using HIGH bit rate data.
Using MEDIUM bit rate data.
Using LOW bit rate data.
Analysing files for your chosen mode, please wait.
Using 0.01 for Maximum allowed angular deviation
Using 5 for minimum elevation
Using standard GIS particle BGD rejection criterion
I will start up SAOImage, and leave you in Xselect at the end
Removing ring and calibration sources
CIRCLE(128.50,128.50,88.00)
-ELLIPSE(217,95,21.56,25.92,169.216)
Writing command file 75031000_gis3.xco
Index NEVENTS ONTIME RAWXBINS RISEBINS TIMEBINS PHA_BINS POS_DET
0 61390 74455.7 256 32 1 1024 FLF
Using Rise Time window bkgd. rejection
Using the region:
Command file written, goodbye
Running extractions
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s000212m.unf
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Total Good Bad: Region Time Phase Cut
68603 36699 0 31904 0 0
Writing events file
36699 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s000112h.unf
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Total Good Bad: Region Time Phase Cut
207211 127017 0 80194 0 0
Writing events file
163716 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s000312l.unf
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Total Good Bad: Region Time Phase Cut
5823 17 0 5806 0 0
Writing events file
163733 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
281637 163733 0 117904 0 0
in 32173. seconds
CLEANSIS_V1.6
allocating image arrays...
PROGRAM TO MAKE AN SIS SCIENCE FILE CLEANED OF ANOMALOUS PIXELS.
* Anomalous pixels may consist of at least two populations.
1. Persistent HOT pixels are removed by comparing to the chip mean.
2. Flickering WARM pixels are removed by comparing to the cell mean.
3. In faint areas (zero bgd), flickering pixels are removed with a
cutoff threshold.
Hints:
Choose cell size and thresholds based on the expected background and the PSF.
Use the DIRTYSIS option to examine the anomalous pixel spectra.
Try a multiple pass clean:
Choose a PHA cut to optimize the S/N of the flickering pixels,
then a broad band clean.
Be suspicious of extended source cleans.
For very bright sources you may need to turn off the iteration option.
See the help page for further info (fhelp cleansis)
Poisson clean cell size : 5
Poisson probability threshold : 0.631E-05
Zero Bgd Cutoff threshold (>) : 3
Iterate : T
Dirtysis : F
Minimum PHA value (inclusive) : 0
Maximum PHA value (inclusive) : 4095
open output file: /local/data/tproc/nandra/processing/75031000/work/ascascr
reading data file: /local/data/tproc/nandra/processing/75031000/work/ascascr
copying primary header to output file...
making chip image...
Total counts in chip images : 163733
copy bad pix array...
cleaning chip # 0
Hot pixels & counts : 40 122573
Flickering pixels iter, pixels & cnts : 1 26 1832
cleaning chip # 1
Hot pixels & counts : 21 31980
Flickering pixels iter, pixels & cnts : 1 12 202
cleaning chip # 2
cleaning chip # 3
Number of pixels rejected : 99
Number of (internal) image counts : 163733
Number of image cts rejected (N, %) : 15658795.64
By chip : 0 1 2 3
Pixels rejected : 66 33 0 0
Image counts : 127385 36348 0 0
Image cts rejected: 124405 32182 0 0
Image cts rej (%) : 97.66 88.54 0.00 0.00
filtering data...
Total counts : 127385 36348 0 0
Total cts rejected: 124405 32182 0 0
Total cts rej (%) : 97.66 88.54 0.00 0.00
Number of clean counts accepted : 7146
writing history cards...
copying extensions...
writing out hot pixs...
Number of rejected pixels : 99
updating NEVENTS keywords...
closing data file...
closing clean file...
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: ascascreen_sis0_in_event.xsl
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Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
Writing events file
5135 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
in 32173. seconds
Image has 5135 counts for 0.1596 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel] ascascreen_sis0
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!ascascreen_sis0:ASCA > set mission ASCA
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
!ascascreen_sis0:ASCA > set instru SIS0
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
!ascascreen_sis0:ASCA-SIS0 > set datadir /local/data/tproc/nandra/processing/75031000/unscreened
Setting data directory to /local/data/tproc/nandra/processing/75031000/unscreened/
Setting mkf directory to /local/data/tproc/nandra/processing/75031000/aux/
!ascascreen_sis0:ASCA-SIS0 > set dumpcat
Obscat listing off
!ascascreen_sis0:ASCA-SIS0 > set datamode BRIGHT2
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > make obscat cat_filt=@75031000_sis0_obscat.sel lststr = '[af][dt]*[Ss]0*[HhMmLl].unf'
''!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > choose 1-** switch=yes
Setting datamode to BRIGHT2
Got the minimum time resolution of the chosen data: 0.80000E+01,
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Number of files read in: 3
Files currently in use:
1 ad75031000s000212m.unf
2 ad75031000s000112h.unf
3 ad75031000s000312l.unf
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > set image detector
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > select mkf @75031000_sis0_mkf.sel
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > extract events
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > sisclean clean=2 cellsize=5 log_prob=-5.24 bkg_thr=3 clean_phalow=0 clean_phahi =4095 sis_plot2=no saoimage2=no
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > select events "grade==0||(grade>=2&&grade<=4)" save_file=no
The select output will overwrite the cleaned event list
if you have not saved it already.
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > extract "event image"
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > save obscat 75031000_sis0 clobberit = yes
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > $rm -f ascascreen_sis0*.cat 75031000_sis0_list.tmp 75031000_sis0_obscat.lis
Spawning...
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > save all 75031000_sis0 clobberit=yes use_events=yes
Saving the Image:
Wrote image to file 75031000_sis0.img
Saving the Cleaned events list(s):
Wrote cleaned events file to 75031000_sis0.evt
Changing Data directory from:
/local/data/tproc/nandra/processing/75031000/unscreened/
to the current working directory.
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > clear mkf
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > set dumpcat
Obscat listing on
!ascascreen_sis0:ASCA-SIS0-BRIGHT2 > exit save=no
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s100212m.unf
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Total Good Bad: Region Time Phase Cut
73481 34566 0 38915 0 0
Writing events file
34566 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s100112h.unf
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Total Good Bad: Region Time Phase Cut
175007 105242 0 69765 0 0
Writing events file
139808 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000s100312l.unf
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Total Good Bad: Region Time Phase Cut
7449 19 0 7430 0 0
Writing events file
139827 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
255937 139827 0 116110 0 0
in 31165. seconds
CLEANSIS_V1.6
allocating image arrays...
PROGRAM TO MAKE AN SIS SCIENCE FILE CLEANED OF ANOMALOUS PIXELS.
* Anomalous pixels may consist of at least two populations.
1. Persistent HOT pixels are removed by comparing to the chip mean.
2. Flickering WARM pixels are removed by comparing to the cell mean.
3. In faint areas (zero bgd), flickering pixels are removed with a
cutoff threshold.
Hints:
Choose cell size and thresholds based on the expected background and the PSF.
Use the DIRTYSIS option to examine the anomalous pixel spectra.
Try a multiple pass clean:
Choose a PHA cut to optimize the S/N of the flickering pixels,
then a broad band clean.
Be suspicious of extended source cleans.
For very bright sources you may need to turn off the iteration option.
See the help page for further info (fhelp cleansis)
Poisson clean cell size : 5
Poisson probability threshold : 0.631E-05
Zero Bgd Cutoff threshold (>) : 3
Iterate : T
Dirtysis : F
Minimum PHA value (inclusive) : 0
Maximum PHA value (inclusive) : 4095
open output file: /local/data/tproc/nandra/processing/75031000/work/ascascr
reading data file: /local/data/tproc/nandra/processing/75031000/work/ascascr
copying primary header to output file...
making chip image...
Total counts in chip images : 139827
copy bad pix array...
cleaning chip # 0
cleaning chip # 1
cleaning chip # 2
Hot pixels & counts : 35 68325
Flickering pixels iter, pixels & cnts : 1 31 879
cleaning chip # 3
Hot pixels & counts : 31 62879
Flickering pixels iter, pixels & cnts : 1 26 990
Number of pixels rejected : 123
Number of (internal) image counts : 139827
Number of image cts rejected (N, %) : 13307395.17
By chip : 0 1 2 3
Pixels rejected : 0 0 66 57
Image counts : 0 0 72532 67295
Image cts rejected: 0 0 69204 63869
Image cts rej (%) : 0.00 0.00 95.41 94.91
filtering data...
Total counts : 0 0 72532 67295
Total cts rejected: 0 0 69204 63869
Total cts rej (%) : 0.00 0.00 95.41 94.91
Number of clean counts accepted : 6754
writing history cards...
copying extensions...
writing out hot pixs...
Number of rejected pixels : 123
updating NEVENTS keywords...
closing data file...
closing clean file...
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: ascascreen_sis1_in_event.xsl
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Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
Writing events file
4896 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
in 31165. seconds
Image has 4896 counts for 0.1571 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel] ascascreen_sis1
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!ascascreen_sis1:ASCA > set mission ASCA
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
!ascascreen_sis1:ASCA > set instru SIS1
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
!ascascreen_sis1:ASCA-SIS1 > set datadir /local/data/tproc/nandra/processing/75031000/unscreened
Setting data directory to /local/data/tproc/nandra/processing/75031000/unscreened/
Setting mkf directory to /local/data/tproc/nandra/processing/75031000/aux/
!ascascreen_sis1:ASCA-SIS1 > set dumpcat
Obscat listing off
!ascascreen_sis1:ASCA-SIS1 > set datamode BRIGHT2
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > make obscat cat_filt=@75031000_sis1_obscat.sel lststr = '[af][dt]*[Ss]1*[HhMmLl].unf'
''!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > choose 1-** switch=yes
Setting datamode to BRIGHT2
Got the minimum time resolution of the chosen data: 0.80000E+01,
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Number of files read in: 3
Files currently in use:
1 ad75031000s100212m.unf
2 ad75031000s100112h.unf
3 ad75031000s100312l.unf
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > set image detector
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > select mkf @75031000_sis1_mkf.sel
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > extract events
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > sisclean clean=2 cellsize=5 log_prob=-5.24 bkg_thr=3 clean_phalow=0 clean_phahi =4095 sis_plot2=no saoimage2=no
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > select events "grade==0||(grade>=2&&grade<=4)" save_file=no
The select output will overwrite the cleaned event list
if you have not saved it already.
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > extract "event image"
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > save obscat 75031000_sis1 clobberit = yes
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > $rm -f ascascreen_sis1*.cat 75031000_sis1_list.tmp 75031000_sis1_obscat.lis
Spawning...
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > save all 75031000_sis1 clobberit=yes use_events=yes
Saving the Image:
Wrote image to file 75031000_sis1.img
Saving the Cleaned events list(s):
Wrote cleaned events file to 75031000_sis1.evt
Changing Data directory from:
/local/data/tproc/nandra/processing/75031000/unscreened/
to the current working directory.
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > clear mkf
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > set dumpcat
Obscat listing on
!ascascreen_sis1:ASCA-SIS1-BRIGHT2 > exit save=no
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g200270m.unf
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Total Good Bad: Region Time Phase Cut
20512 4531 12099 3882 0 0
Writing events file
4531 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g200170h.unf
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Total Good Bad: Region Time Phase Cut
37982 12599 20267 5116 0 0
Writing events file
17130 events written to the output file
No events selected from file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g200370l.unf
Writing events file
17130 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
58494 17130 32366 8998 0 0
in 34695. seconds
Infile # of rows Outfile # of rows # filtered
---------------- ----------------- ----------
17130 15663 1467
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: ascascreen_gis2_in_event.xsl
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Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
Writing events file
15663 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
in 34695. seconds
Image has 15663 counts for 0.4515 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel] ascascreen_gis2
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!ascascreen_gis2:ASCA > set mission ASCA
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
!ascascreen_gis2:ASCA > set instru GIS2
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
!ascascreen_gis2:ASCA-GIS2 > set datadir /local/data/tproc/nandra/processing/75031000/unscreened
Setting data directory to /local/data/tproc/nandra/processing/75031000/unscreened/
Setting mkf directory to /local/data/tproc/nandra/processing/75031000/aux/
!ascascreen_gis2:ASCA-GIS2 > set dumpcat
Obscat listing off
!ascascreen_gis2:ASCA-GIS2 > set datamode PH
!ascascreen_gis2:ASCA-GIS2-PH > make obscat cat_filt=@75031000_gis2_obscat.sel lststr = '[af][dt]*[Gg]2*[HhMmLl].unf'
''!ascascreen_gis2:ASCA-GIS2-PH > choose 1-** switch=yes
Setting datamode to PH
Got the minimum time resolution of the chosen data: 0.20000E+01,
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Number of files read in: 3
Files currently in use:
1 ad75031000g200270m.unf
2 ad75031000g200170h.unf
3 ad75031000g200370l.unf
!ascascreen_gis2:ASCA-GIS2-PH > set image detector
!ascascreen_gis2:ASCA-GIS2-PH > select mkf @75031000_gis2_mkf.sel
!ascascreen_gis2:ASCA-GIS2-PH > filter region 75031000_gis2_randc.reg
!ascascreen_gis2:ASCA-GIS2-PH > extract events
!ascascreen_gis2:ASCA-GIS2-PH > gisclean
Using table:/software/lheasoft/develop/refdata/rti_gis_1024_040693.fits
!ascascreen_gis2:ASCA-GIS2-PH > extract "event image"
!ascascreen_gis2:ASCA-GIS2-PH > save obscat 75031000_gis2 clobberit = yes
!ascascreen_gis2:ASCA-GIS2-PH > $rm -f ascascreen_gis2*.cat 75031000_gis2_list.tmp 75031000_gis2_obscat.lis
Spawning...
!ascascreen_gis2:ASCA-GIS2-PH > save all 75031000_gis2 clobberit=yes use_events=yes
Saving the Image:
Wrote image to file 75031000_gis2.img
Saving the Filtered Events list:
Wrote events list to file 75031000_gis2.evt
Changing Data directory from:
/local/data/tproc/nandra/processing/75031000/unscreened/
to the current working directory.
!ascascreen_gis2:ASCA-GIS2-PH > clear mkf
!ascascreen_gis2:ASCA-GIS2-PH > clear region all
!ascascreen_gis2:ASCA-GIS2-PH > set dumpcat
Obscat listing on
!ascascreen_gis2:ASCA-GIS2-PH > exit save=no
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g300270m.unf
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Total Good Bad: Region Time Phase Cut
19332 4910 10180 4242 0 0
Writing events file
4910 events written to the output file
Doing file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g300170h.unf
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Total Good Bad: Region Time Phase Cut
35770 13463 16634 5673 0 0
Writing events file
18373 events written to the output file
No events selected from file: /local/data/tproc/nandra/processing/75031000/unscreened/ad75031000g300370l.unf
Writing events file
18373 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
55102 18373 26814 9915 0 0
in 34677. seconds
Infile # of rows Outfile # of rows # filtered
---------------- ----------------- ----------
18373 16671 1702
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: ascascreen_gis3_in_event.xsl
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Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
Writing events file
16671 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
in 34677. seconds
Image has 16671 counts for 0.4808 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel] ascascreen_gis3
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!ascascreen_gis3:ASCA > set mission ASCA
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
!ascascreen_gis3:ASCA > set instru GIS3
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
!ascascreen_gis3:ASCA-GIS3 > set datadir /local/data/tproc/nandra/processing/75031000/unscreened
Setting data directory to /local/data/tproc/nandra/processing/75031000/unscreened/
Setting mkf directory to /local/data/tproc/nandra/processing/75031000/aux/
!ascascreen_gis3:ASCA-GIS3 > set dumpcat
Obscat listing off
!ascascreen_gis3:ASCA-GIS3 > set datamode PH
!ascascreen_gis3:ASCA-GIS3-PH > make obscat cat_filt=@75031000_gis3_obscat.sel lststr = '[af][dt]*[Gg]3*[HhMmLl].unf'
''!ascascreen_gis3:ASCA-GIS3-PH > choose 1-** switch=yes
Setting datamode to PH
Got the minimum time resolution of the chosen data: 0.20000E+01,
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Number of files read in: 3
Files currently in use:
1 ad75031000g300270m.unf
2 ad75031000g300170h.unf
3 ad75031000g300370l.unf
!ascascreen_gis3:ASCA-GIS3-PH > set image detector
!ascascreen_gis3:ASCA-GIS3-PH > select mkf @75031000_gis3_mkf.sel
!ascascreen_gis3:ASCA-GIS3-PH > filter region 75031000_gis3_randc.reg
!ascascreen_gis3:ASCA-GIS3-PH > extract events
!ascascreen_gis3:ASCA-GIS3-PH > gisclean
Using table:/software/lheasoft/develop/refdata/rti_gis_1024_040693.fits
!ascascreen_gis3:ASCA-GIS3-PH > extract "event image"
!ascascreen_gis3:ASCA-GIS3-PH > save obscat 75031000_gis3 clobberit = yes
!ascascreen_gis3:ASCA-GIS3-PH > $rm -f ascascreen_gis3*.cat 75031000_gis3_list.tmp 75031000_gis3_obscat.lis
Spawning...
!ascascreen_gis3:ASCA-GIS3-PH > save all 75031000_gis3 clobberit=yes use_events=yes
Saving the Image:
Wrote image to file 75031000_gis3.img
Saving the Filtered Events list:
Wrote events list to file 75031000_gis3.evt
Changing Data directory from:
/local/data/tproc/nandra/processing/75031000/unscreened/
to the current working directory.
!ascascreen_gis3:ASCA-GIS3-PH > clear mkf
!ascascreen_gis3:ASCA-GIS3-PH > clear region all
!ascascreen_gis3:ASCA-GIS3-PH > set dumpcat
Obscat listing on
!ascascreen_gis3:ASCA-GIS3-PH > exit save=no
gnt_infrm: Checking for G3BITFIX problem...
gnt_infrm: ========================
gnt_infrm: End of procedure do_scrn
gnt_infrm: ========================
Tue May 2 16:59:20 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_cent
gnt_infrm: *************************
Tue May 2 16:59:20 EDT 2000
gnt_infrm: Getting RA and DEC from attitude file...
gnt_infrm: Getting OTIME from attitude file...
gnt_infrm: Checking permanent area...
gunzip: No match.
gnt_infrm: Files not in permanent area; performing centroiding...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 15663 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 685 14930 0 0 48
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 685 14930 0 0 48
in 34695. seconds
Spectrum has 685 counts for 1.9744E-02 counts/sec
... written the PHA data Extension
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 3539 11815 0 0 309
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 3539 11815 0 0 309
in 34695. seconds
Spectrum has 3539 counts for 0.1020 counts/sec
... written the PHA data Extension
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis2.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS2-PH > set binsize 128
!xsel:ASCA-GIS2-PH > set image sky
!xsel:ASCA-GIS2-PH > filter region gis2_src_reg.tmp
!xsel:ASCA-GIS2-PH > filter pha_cutoff 60 900
!xsel:ASCA-GIS2-PH > extract spectrum
!xsel:ASCA-GIS2-PH > save spectrum gis2_spec_src.tmp clobber=yes group=no
Wrote spectrum to gis2_spec_src.tmp
!xsel:ASCA-GIS2-PH > filter region gis2_bgd_reg.tmp
!xsel:ASCA-GIS2-PH > extract spectrum
!xsel:ASCA-GIS2-PH > save spectrum gis2_spec_bgd.tmp clobber=yes group=no
Wrote spectrum to gis2_spec_bgd.tmp
!xsel:ASCA-GIS2-PH > exit save=no
****** statistics for /tproc/nandra/processing/75031000/work/gis2_spec_src.tmp ******
The sum of the selected image = 673.000000
The mean of the selected image = 0.994092
The standard deviation of the selected image = 1.039810
The number of points used in calculation = 677
The minimum of selected image = -1.0
The maximum of selected image = 5.0
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (17,18)
****** successfully exited ******
****** statistics for /tproc/nandra/processing/75031000/work/gis2_spec_bgd.tmp ******
The sum of the selected image = 3469.000000
The mean of the selected image = 0.604882
The standard deviation of the selected image = 0.802857
The number of points used in calculation = 5735
The minimum of selected image = -1.0
The maximum of selected image = 6.0
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (81,86)
****** successfully exited ******
gnt_infrm: SDS = 13.07
gnt_infrm: Source was detected with confidence because S = 13.07
gnt_infrm: The scripts will find centroids from smoothed sky images.
gnt_infrm: The source coordinates will be X and Y of the centroid.
gnt_infrm: Centroid for sis0...
gnt_infrm: Centroiding region is circle(115,179,33).
gnt_infrm: Creating sky image for sis0...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S0CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.32E+05 7146 1100
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
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Total Good Bad: Region Time Phase Cut
5135 1394 3741 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
5135 1394 3741 0 0 0
in 32173. seconds
Image has 1394 counts for 4.3328E-02 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis0.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS0-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS0-BRIGHT2 > set image sky
!xsel:ASCA-SIS0-BRIGHT2 > filter region init_reg.tmp
!xsel:ASCA-SIS0-BRIGHT2 > extract image
!xsel:ASCA-SIS0-BRIGHT2 > save image sis0_sky.tmp clobber=yes
Wrote image to file sis0_sky.tmp
!xsel:ASCA-SIS0-BRIGHT2 > exit save=no
gnt_infrm: Smoothing sky image for sis0...
gnt_infrm: Finding maximum pixel (centroid) for sis0...
****** statistics for /tproc/nandra/processing/75031000/work/sis0_sky_sm.tmp ******
The sum of the selected image = 1394.000000
The mean of the selected image = 0.241343
The standard deviation of the selected image = 0.190507
The number of points used in calculation = 5776
The minimum of selected image = 0.0
The maximum of selected image = 0.8
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (117,181)
****** successfully exited ******
gnt_infrm: Initial sky posns are 117, 181
gnt_infrm: Converting to det co-ordinates
/tproc/nandra/processing/75031000/work/75031000_sis0_subevt.tmp
The sum of the selected column is 34057.000
The mean of the selected column is 466.53425
The standard deviation of the selected column is 10.236213
The minimum of selected column is 446.00000
The maximum of selected column is 487.00000
The number of points used in calculation is 73
The sum of the selected column is 34095.000
The mean of the selected column is 467.05479
The standard deviation of the selected column is 10.771478
The minimum of selected column is 449.00000
The maximum of selected column is 488.00000
The number of points used in calculation is 73
gnt_infrm: Writing source region for sis0...
gnt_infrm: Writing SIS background region for sis0...
116,116
gnt_infrm: Centroid for sis1...
gnt_infrm: Centroiding region is circle(115,179,33).
gnt_infrm: Creating sky image for sis1...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S1CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.31E+05 6754 0011
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
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Total Good Bad: Region Time Phase Cut
4896 1130 3766 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
4896 1130 3766 0 0 0
in 31165. seconds
Image has 1130 counts for 3.6259E-02 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis1.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS1-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS1-BRIGHT2 > set image sky
!xsel:ASCA-SIS1-BRIGHT2 > filter region init_reg.tmp
!xsel:ASCA-SIS1-BRIGHT2 > extract image
!xsel:ASCA-SIS1-BRIGHT2 > save image sis1_sky.tmp clobber=yes
Wrote image to file sis1_sky.tmp
!xsel:ASCA-SIS1-BRIGHT2 > exit save=no
gnt_infrm: Smoothing sky image for sis1...
gnt_infrm: Finding maximum pixel (centroid) for sis1...
****** statistics for /tproc/nandra/processing/75031000/work/sis1_sky_sm.tmp ******
The sum of the selected image = 1130.000000
The mean of the selected image = 0.197829
The standard deviation of the selected image = 0.158826
The number of points used in calculation = 5712
The minimum of selected image = 0.0
The maximum of selected image = 0.7
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (118,179)
****** successfully exited ******
gnt_infrm: Initial sky posns are 118, 179
gnt_infrm: Converting to det co-ordinates
/tproc/nandra/processing/75031000/work/75031000_sis1_subevt.tmp
The sum of the selected column is 25117.000
The mean of the selected column is 473.90566
The standard deviation of the selected column is 9.0453221
The minimum of selected column is 457.00000
The maximum of selected column is 491.00000
The number of points used in calculation is 53
The sum of the selected column is 26811.000
The mean of the selected column is 505.86792
The standard deviation of the selected column is 10.832710
The minimum of selected column is 486.00000
The maximum of selected column is 531.00000
The number of points used in calculation is 53
gnt_infrm: Writing source region for sis1...
gnt_infrm: Writing SIS background region for sis1...
118,126
gnt_infrm: Centroid for gis2...
gnt_infrm: Centroiding region is circle(109,137,14).
gnt_infrm: Creating sky image for gis2...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 15663 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 733 14930 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 733 14930 0 0 0
in 34695. seconds
Image has 733 counts for 2.1127E-02 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis2.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS2-PH > set binsize 128
!xsel:ASCA-GIS2-PH > set image sky
!xsel:ASCA-GIS2-PH > filter region init_reg.tmp
!xsel:ASCA-GIS2-PH > extract image
!xsel:ASCA-GIS2-PH > save image gis2_sky.tmp clobber=yes
Wrote image to file gis2_sky.tmp
!xsel:ASCA-GIS2-PH > exit save=no
gnt_infrm: Smoothing sky image for gis2...
gnt_infrm: Finding maximum pixel (centroid) for gis2...
****** statistics for /tproc/nandra/processing/75031000/work/gis2_sky_sm.tmp ******
The sum of the selected image = 733.000000
The mean of the selected image = 0.409497
The standard deviation of the selected image = 0.442918
The number of points used in calculation = 1790
The minimum of selected image = 0.0
The maximum of selected image = 1.6
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (110,137)
****** successfully exited ******
gnt_infrm: Initial sky posns are 110, 137
gnt_infrm: Converting to det co-ordinates
/tproc/nandra/processing/75031000/work/75031000_gis2_subevt.tmp
The sum of the selected column is 16603.000
The mean of the selected column is 107.81169
The standard deviation of the selected column is 2.6066017
The minimum of selected column is 103.00000
The maximum of selected column is 114.00000
The number of points used in calculation is 154
The sum of the selected column is 17461.000
The mean of the selected column is 113.38312
The standard deviation of the selected column is 2.5824902
The minimum of selected column is 108.00000
The maximum of selected column is 118.00000
The number of points used in calculation is 154
gnt_infrm: Writing source region for gis2...
gnt_infrm: Writing GIS background region for gis2...
107,113
gnt_infrm: Centroid for gis3...
gnt_infrm: Centroiding region is circle(109,137,14).
gnt_infrm: Creating sky image for gis3...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 16671 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 860 15811 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 860 15811 0 0 0
in 34677. seconds
Image has 860 counts for 2.4800E-02 counts/sec
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis3.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS3-PH > set binsize 128
!xsel:ASCA-GIS3-PH > set image sky
!xsel:ASCA-GIS3-PH > filter region init_reg.tmp
!xsel:ASCA-GIS3-PH > extract image
!xsel:ASCA-GIS3-PH > save image gis3_sky.tmp clobber=yes
Wrote image to file gis3_sky.tmp
!xsel:ASCA-GIS3-PH > exit save=no
gnt_infrm: Smoothing sky image for gis3...
gnt_infrm: Finding maximum pixel (centroid) for gis3...
****** statistics for /tproc/nandra/processing/75031000/work/gis3_sky_sm.tmp ******
The sum of the selected image = 859.999999
The mean of the selected image = 0.472787
The standard deviation of the selected image = 0.497136
The number of points used in calculation = 1819
The minimum of selected image = 0.0
The maximum of selected image = 1.8
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (110,134)
****** successfully exited ******
gnt_infrm: Initial sky posns are 110, 134
gnt_infrm: Converting to det co-ordinates
/tproc/nandra/processing/75031000/work/75031000_gis3_subevt.tmp
The sum of the selected column is 19557.000
The mean of the selected column is 116.41071
The standard deviation of the selected column is 2.5625828
The minimum of selected column is 111.00000
The maximum of selected column is 122.00000
The number of points used in calculation is 168
The sum of the selected column is 18874.000
The mean of the selected column is 112.34524
The standard deviation of the selected column is 2.3623496
The minimum of selected column is 108.00000
The maximum of selected column is 117.00000
The number of points used in calculation is 168
gnt_infrm: Writing source region for gis3...
gnt_infrm: Writing GIS background region for gis3...
116,112
gnt_infrm: Comparing SIS and GIS centroids respectively...
gnt_infrm: Combining respective sky images...
gnt_infrm: Comparing combined GIS centroid to SIS0 and SIS1...
****** statistics for /tproc/nandra/processing/75031000/work/gis_sky_sm.tmp ******
The sum of the selected image = 1593.000002
The mean of the selected image = 1.524402
The standard deviation of the selected image = 1.159287
The number of points used in calculation = 1045
The minimum of selected image = 0.0
The maximum of selected image = 4.5
The location of minimum is at pixel number = (1,1)
The location of maximum is at pixel number = (110,138)
****** successfully exited ******
gnt_infrm: Copying .reg files to permanent area...
gnt_infrm: ========================
gnt_infrm: End of procedure do_cent
gnt_infrm: ========================
Tue May 2 17:00:23 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_prod
gnt_infrm: *************************
Tue May 2 17:00:23 EDT 2000
gnt_infrm: Running extraction procedure for 75031000...
gnt_infrm: Running SISPI...
SISPI v1.1.1
SISPI v1.1.1
gnt_infrm: DATAMODE = BRIGHT2.
gnt_infrm: BITFIX = n.
gnt_infrm: Extracting src data for sis0...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S0CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.32E+05 7146 1100
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
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Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
in 32173. seconds
Image has 5135 counts for 0.1596 counts/sec
Processing file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 2092 1046 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 2092 1046 0 0 0
in 32173. seconds
Spectrum has 2092 counts for 6.5024E-02 counts/sec
... written the PHA data Extension
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS0 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 32173. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 6.28520E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
... QUALITY
...
... -------
... QUALITY
... -------
... Bad Channels (Channel - Channel)
... ---------------------------------------------
... 0 - 31 have quality 5
... ---------------------------------------------
...
...... exiting, changes written to file : 75031000_sis0_src.pha
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 2011 1046 0 0 81
Writing events file
2011 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 2011 1046 0 0 81
in 32173. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 1399 1046 0 0 693
Writing events file
1399 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 1399 1046 0 0 693
in 32173. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 614 1046 0 0 1478
Writing events file
614 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 614 1046 0 0 1478
in 32173. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis0.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS0-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS0-BRIGHT2 > set image sky
!xsel:ASCA-SIS0-BRIGHT2 > set xybinsize 4
!xsel:ASCA-SIS0-BRIGHT2 > extract image
!xsel:ASCA-SIS0-BRIGHT2 > save image clobber=yes 75031000_sis0_sky.img
Wrote image to file 75031000_sis0_sky.img
!xsel:ASCA-SIS0-BRIGHT2 > set image det
!xsel:ASCA-SIS0-BRIGHT2 > select events CCDID.EQ.1
!xsel:ASCA-SIS0-BRIGHT2 > filter region 75031000_sis0_src.reg
!xsel:ASCA-SIS0-BRIGHT2 > extract spectrum
!xsel:ASCA-SIS0-BRIGHT2 > save spectrum group=yes clobber=yes 75031000_sis0_src.pha
Wrote spectrum to 75031000_sis0_src.pha
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 140 2796
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_src.evt
Wrote events list to file 75031000_sis0_src.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 140 560
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_src_soft.evt
Wrote events list to file 75031000_sis0_src_soft.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 560 2796
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_src_hard.evt
Wrote events list to file 75031000_sis0_src_hard.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > clear region all
!xsel:ASCA-SIS0-BRIGHT2 > exit save=no
gnt_infrm: Extracting src data for sis1...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S1CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.31E+05 6754 0011
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
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Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
in 31165. seconds
Image has 4896 counts for 0.1571 counts/sec
Processing file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 1603 967 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 1603 967 0 0 0
in 31165. seconds
Spectrum has 1603 counts for 5.1436E-02 counts/sec
... written the PHA data Extension
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS1 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 31165. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 5.66700E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
... QUALITY
...
... -------
... QUALITY
... -------
... Bad Channels (Channel - Channel)
... ---------------------------------------------
... 0 - 32 have quality 5
... ---------------------------------------------
...
...... exiting, changes written to file : 75031000_sis1_src.pha
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 1521 967 0 0 82
Writing events file
1521 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 1521 967 0 0 82
in 31165. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 1056 967 0 0 547
Writing events file
1056 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 1056 967 0 0 547
in 31165. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 465 967 0 0 1138
Writing events file
465 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 465 967 0 0 1138
in 31165. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis1.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS1-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS1-BRIGHT2 > set image sky
!xsel:ASCA-SIS1-BRIGHT2 > set xybinsize 4
!xsel:ASCA-SIS1-BRIGHT2 > extract image
!xsel:ASCA-SIS1-BRIGHT2 > save image clobber=yes 75031000_sis1_sky.img
Wrote image to file 75031000_sis1_sky.img
!xsel:ASCA-SIS1-BRIGHT2 > set image det
!xsel:ASCA-SIS1-BRIGHT2 > select events CCDID.EQ.3
!xsel:ASCA-SIS1-BRIGHT2 > filter region 75031000_sis1_src.reg
!xsel:ASCA-SIS1-BRIGHT2 > extract spectrum
!xsel:ASCA-SIS1-BRIGHT2 > save spectrum group=yes clobber=yes 75031000_sis1_src.pha
Wrote spectrum to 75031000_sis1_src.pha
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 140 2796
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_src.evt
Wrote events list to file 75031000_sis1_src.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 140 560
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_src_soft.evt
Wrote events list to file 75031000_sis1_src_soft.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 560 2796
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_src_hard.evt
Wrote events list to file 75031000_sis1_src_hard.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > clear region all
!xsel:ASCA-SIS1-BRIGHT2 > exit save=no
gnt_infrm: Extracting src data for gis2...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 15663 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
in 34695. seconds
Image has 15663 counts for 0.4515 counts/sec
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 1934 13729 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 1934 13729 0 0 0
in 34695. seconds
Spectrum has 1934 counts for 5.5743E-02 counts/sec
... written the PHA data Extension
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 1852 13729 0 0 82
Writing events file
1852 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 1852 13729 0 0 82
in 34695. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 830 13729 0 0 1104
Writing events file
830 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 830 13729 0 0 1104
in 34695. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis2.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS2-PH > set binsize 128
!xsel:ASCA-GIS2-PH > set image sky
!xsel:ASCA-GIS2-PH > set xybinsize 1
!xsel:ASCA-GIS2-PH > extract image
!xsel:ASCA-GIS2-PH > save image clobber=yes 75031000_gis2_sky.img
Wrote image to file 75031000_gis2_sky.img
!xsel:ASCA-GIS2-PH > set image det
!xsel:ASCA-GIS2-PH > filter region 75031000_gis2_src.reg
!xsel:ASCA-GIS2-PH > extract spectrum
!xsel:ASCA-GIS2-PH > save spectrum group=no clobber=yes 75031000_gis2_src.pha
Wrote spectrum to 75031000_gis2_src.pha
!xsel:ASCA-GIS2-PH > filter pha_cutoff 43 850
!xsel:ASCA-GIS2-PH > extract events
!xsel:ASCA-GIS2-PH > save events use=no clobber=yes 75031000_gis2_src.evt
Wrote events list to file 75031000_gis2_src.evt
!xsel:ASCA-GIS2-PH > clear events
!xsel:ASCA-GIS2-PH > clear pha_cutoff
!xsel:ASCA-GIS2-PH > filter pha_cutoff 170 850
!xsel:ASCA-GIS2-PH > extract events
!xsel:ASCA-GIS2-PH > save events use=no clobber=yes 75031000_gis2_src_hard.evt
Wrote events list to file 75031000_gis2_src_hard.evt
!xsel:ASCA-GIS2-PH > exit save=no
gnt_infrm: Extracting BITFIX=n src data for gis3...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 16671 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
in 34677. seconds
Image has 16671 counts for 0.4808 counts/sec
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 2302 14369 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 2302 14369 0 0 0
in 34677. seconds
Spectrum has 2302 counts for 6.6385E-02 counts/sec
... written the PHA data Extension
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 2218 14369 0 0 84
Writing events file
2218 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 2218 14369 0 0 84
in 34677. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 934 14369 0 0 1368
Writing events file
934 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 934 14369 0 0 1368
in 34677. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis3.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS3-PH > set binsize 128
!xsel:ASCA-GIS3-PH > set image sky
!xsel:ASCA-GIS3-PH > set xybinsize 1
!xsel:ASCA-GIS3-PH > extract image
!xsel:ASCA-GIS3-PH > save image clobber=yes 75031000_gis3_sky.img
Wrote image to file 75031000_gis3_sky.img
!xsel:ASCA-GIS3-PH > set image det
!xsel:ASCA-GIS3-PH > filter region 75031000_gis3_src.reg
!xsel:ASCA-GIS3-PH > extract spectrum
!xsel:ASCA-GIS3-PH > save spectrum group=no clobber=yes 75031000_gis3_src.pha
Wrote spectrum to 75031000_gis3_src.pha
!xsel:ASCA-GIS3-PH > filter pha_cutoff 43 850
!xsel:ASCA-GIS3-PH > extract events
!xsel:ASCA-GIS3-PH > save events use=no clobber=yes 75031000_gis3_src.evt
Wrote events list to file 75031000_gis3_src.evt
!xsel:ASCA-GIS3-PH > clear events
!xsel:ASCA-GIS3-PH > clear pha_cutoff
!xsel:ASCA-GIS3-PH > filter pha_cutoff 170 850
!xsel:ASCA-GIS3-PH > extract events
!xsel:ASCA-GIS3-PH > save events use=no clobber=yes 75031000_gis3_src_hard.evt
Wrote events list to file 75031000_gis3_src_hard.evt
!xsel:ASCA-GIS3-PH > exit save=no
gnt_infrm: Extracting bgd data for sis0...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S0CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.32E+05 7146 1100
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
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Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
5135 5135 0 0 0 0
in 32173. seconds
Image has 5135 counts for 0.1596 counts/sec
Processing file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 721 2417 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 721 2417 0 0 0
in 32173. seconds
Spectrum has 721 counts for 2.2410E-02 counts/sec
... written the PHA data Extension
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS0 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 32173. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.04390E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
... QUALITY
...
... -------
... QUALITY
... -------
... Bad Channels (Channel - Channel)
... ---------------------------------------------
... 0 - 31 have quality 5
... ---------------------------------------------
...
...... exiting, changes written to file : 75031000_sis0_bgd.pha
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 678 2417 0 0 43
Writing events file
678 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 678 2417 0 0 43
in 32173. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 476 2417 0 0 245
Writing events file
476 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 476 2417 0 0 245
in 32173. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
3138 204 2417 0 0 517
Writing events file
204 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
3138 204 2417 0 0 517
in 32173. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis0.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS0-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS0-BRIGHT2 > set image sky
!xsel:ASCA-SIS0-BRIGHT2 > set xybinsize 4
!xsel:ASCA-SIS0-BRIGHT2 > extract image
!xsel:ASCA-SIS0-BRIGHT2 > save image clobber=yes 75031000_sis0_sky.img
Wrote image to file 75031000_sis0_sky.img
!xsel:ASCA-SIS0-BRIGHT2 > set image det
!xsel:ASCA-SIS0-BRIGHT2 > select events CCDID.EQ.1
!xsel:ASCA-SIS0-BRIGHT2 > filter region 75031000_sis0_bgd.reg
!xsel:ASCA-SIS0-BRIGHT2 > extract spectrum
!xsel:ASCA-SIS0-BRIGHT2 > save spectrum group=yes clobber=yes 75031000_sis0_bgd.pha
Wrote spectrum to 75031000_sis0_bgd.pha
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 140 2796
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_bgd.evt
Wrote events list to file 75031000_sis0_bgd.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 140 560
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_bgd_soft.evt
Wrote events list to file 75031000_sis0_bgd_soft.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > filter pha_cutoff 560 2796
!xsel:ASCA-SIS0-BRIGHT2 > extract events
!xsel:ASCA-SIS0-BRIGHT2 > save events use=no clobber=yes 75031000_sis0_bgd_hard.evt
Wrote events list to file 75031000_sis0_bgd_hard.evt
!xsel:ASCA-SIS0-BRIGHT2 > clear events
!xsel:ASCA-SIS0-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS0-BRIGHT2 > clear region all
!xsel:ASCA-SIS0-BRIGHT2 > exit save=no
gnt_infrm: Extracting bgd data for sis1...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS S1CCDPOW
1 NGC4501 BRIGHT2 MEDIUM 22/06/97 03:01:05 0.31E+05 6754 0011
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
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Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
4896 4896 0 0 0 0
in 31165. seconds
Image has 4896 counts for 0.1571 counts/sec
Processing file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 712 1858 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 712 1858 0 0 0
in 31165. seconds
Spectrum has 712 counts for 2.2846E-02 counts/sec
... written the PHA data Extension
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS1 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 31165. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.78810E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
... QUALITY
...
... -------
... QUALITY
... -------
... Bad Channels (Channel - Channel)
... ---------------------------------------------
... 0 - 32 have quality 5
... ---------------------------------------------
...
...... exiting, changes written to file : 75031000_sis1_bgd.pha
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 657 1858 0 0 55
Writing events file
657 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 657 1858 0 0 55
in 31165. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 424 1858 0 0 288
Writing events file
424 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 424 1858 0 0 288
in 31165. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /local/data/tproc/nandra/processing/75031000/work/xsel_work1001.xsl
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Total Good Bad: Region Time Phase Cut
2570 233 1858 0 0 479
Writing events file
233 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
2570 233 1858 0 0 479
in 31165. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_sis1.evt
Setting...
Image keywords = X Y with binning = 4
WMAP keywords = DETX DETY with binning = 8
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 4095
Got the minimum time resolution of the read data: 8.0000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-SIS1-BRIGHT2 > set binsize 128
!xsel:ASCA-SIS1-BRIGHT2 > set image sky
!xsel:ASCA-SIS1-BRIGHT2 > set xybinsize 4
!xsel:ASCA-SIS1-BRIGHT2 > extract image
!xsel:ASCA-SIS1-BRIGHT2 > save image clobber=yes 75031000_sis1_sky.img
Wrote image to file 75031000_sis1_sky.img
!xsel:ASCA-SIS1-BRIGHT2 > set image det
!xsel:ASCA-SIS1-BRIGHT2 > select events CCDID.EQ.3
!xsel:ASCA-SIS1-BRIGHT2 > filter region 75031000_sis1_bgd.reg
!xsel:ASCA-SIS1-BRIGHT2 > extract spectrum
!xsel:ASCA-SIS1-BRIGHT2 > save spectrum group=yes clobber=yes 75031000_sis1_bgd.pha
Wrote spectrum to 75031000_sis1_bgd.pha
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 140 2796
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_bgd.evt
Wrote events list to file 75031000_sis1_bgd.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 140 560
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_bgd_soft.evt
Wrote events list to file 75031000_sis1_bgd_soft.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > filter pha_cutoff 560 2796
!xsel:ASCA-SIS1-BRIGHT2 > extract events
!xsel:ASCA-SIS1-BRIGHT2 > save events use=no clobber=yes 75031000_sis1_bgd_hard.evt
Wrote events list to file 75031000_sis1_bgd_hard.evt
!xsel:ASCA-SIS1-BRIGHT2 > clear events
!xsel:ASCA-SIS1-BRIGHT2 > clear pha_cutoff
!xsel:ASCA-SIS1-BRIGHT2 > clear region all
!xsel:ASCA-SIS1-BRIGHT2 > exit save=no
gnt_infrm: Extracting bgd data for gis2...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 15663 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 15663 0 0 0 0
in 34695. seconds
Image has 15663 counts for 0.4515 counts/sec
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 3839 11824 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 3839 11824 0 0 0
in 34695. seconds
Spectrum has 3839 counts for 0.1107 counts/sec
... written the PHA data Extension
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 3621 11824 0 0 218
Writing events file
3621 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 3621 11824 0 0 218
in 34695. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
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Total Good Bad: Region Time Phase Cut
15663 1599 11824 0 0 2240
Writing events file
1599 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
15663 1599 11824 0 0 2240
in 34695. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis2.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS2-PH > set binsize 128
!xsel:ASCA-GIS2-PH > set image sky
!xsel:ASCA-GIS2-PH > set xybinsize 1
!xsel:ASCA-GIS2-PH > extract image
!xsel:ASCA-GIS2-PH > save image clobber=yes 75031000_gis2_sky.img
Wrote image to file 75031000_gis2_sky.img
!xsel:ASCA-GIS2-PH > set image det
!xsel:ASCA-GIS2-PH > filter region 75031000_gis2_bgd.reg
!xsel:ASCA-GIS2-PH > extract spectrum
!xsel:ASCA-GIS2-PH > save spectrum group=no clobber=yes 75031000_gis2_bgd.pha
Wrote spectrum to 75031000_gis2_bgd.pha
!xsel:ASCA-GIS2-PH > filter pha_cutoff 43 850
!xsel:ASCA-GIS2-PH > extract events
!xsel:ASCA-GIS2-PH > save events use=no clobber=yes 75031000_gis2_bgd.evt
Wrote events list to file 75031000_gis2_bgd.evt
!xsel:ASCA-GIS2-PH > clear events
!xsel:ASCA-GIS2-PH > clear pha_cutoff
!xsel:ASCA-GIS2-PH > filter pha_cutoff 170 850
!xsel:ASCA-GIS2-PH > extract events
!xsel:ASCA-GIS2-PH > save events use=no clobber=yes 75031000_gis2_bgd_hard.evt
Wrote events list to file 75031000_gis2_bgd_hard.evt
!xsel:ASCA-GIS2-PH > exit save=no
gnt_infrm: Extracting BITFIX=n bgd data for gis3...
OBJECT DATAMODE BIT_RATE DATE-OBS TIME-OBS ONTIME NEVENTS PHA_BINS
1 NGC4501 PH MEDIUM 22/06/97 03:01:13 0.35E+05 16671 1024
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 16671 0 0 0 0
in 34677. seconds
Image has 16671 counts for 0.4808 counts/sec
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 4129 12542 0 0 0
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 4129 12542 0 0 0
in 34677. seconds
Spectrum has 4129 counts for 0.1191 counts/sec
... written the PHA data Extension
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 3897 12542 0 0 232
Writing events file
3897 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 3897 12542 0 0 232
in 34677. seconds
extractor v3.75 8 Mar 2000
Getting FITS WCS Keywords
Doing file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
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Total Good Bad: Region Time Phase Cut
16671 1756 12542 0 0 2373
Writing events file
1756 events written to the output file
===============================================================================
Grand Total Good Bad: Region Time Phase Cut
16671 1756 12542 0 0 2373
in 34677. seconds
** XSELECT V2.0 **
!> Enter session name >[xsel]
Notes: XSELECT set up for ASCA
Time keyword is TIME in units of s
Default timing binsize = 16.000
Command not found; type ? for a command listing
!xsel:ASCA > clear all proceed=yes
WARNING: CLEAR ALL will remove all temporary files
!xsel > set datadir ./
Setting data directory to /tproc/nandra/processing/75031000/work/
Setting mkf directory to /tproc/nandra/processing/75031000/aux/
!xsel > read e 75031000_gis3.evt
Setting...
Image keywords = X Y with binning = 1
WMAP keywords = DETX DETY with binning = 1
Energy keywords = PI with binning = 1
Getting Min and Max for Energy Column...
Got min and max for PI: 0 1023
Got the minimum time resolution of the read data: 0.50000
Number of files read in: 1
******************** Observation Catalogue ********************
Data Directory is: /tproc/nandra/processing/75031000/work/
HK Directory is: /tproc/nandra/processing/75031000/work/
!xsel:ASCA-GIS3-PH > set binsize 128
!xsel:ASCA-GIS3-PH > set image sky
!xsel:ASCA-GIS3-PH > set xybinsize 1
!xsel:ASCA-GIS3-PH > extract image
!xsel:ASCA-GIS3-PH > save image clobber=yes 75031000_gis3_sky.img
Wrote image to file 75031000_gis3_sky.img
!xsel:ASCA-GIS3-PH > set image det
!xsel:ASCA-GIS3-PH > filter region 75031000_gis3_bgd.reg
!xsel:ASCA-GIS3-PH > extract spectrum
!xsel:ASCA-GIS3-PH > save spectrum group=no clobber=yes 75031000_gis3_bgd.pha
Wrote spectrum to 75031000_gis3_bgd.pha
!xsel:ASCA-GIS3-PH > filter pha_cutoff 43 850
!xsel:ASCA-GIS3-PH > extract events
!xsel:ASCA-GIS3-PH > save events use=no clobber=yes 75031000_gis3_bgd.evt
Wrote events list to file 75031000_gis3_bgd.evt
!xsel:ASCA-GIS3-PH > clear events
!xsel:ASCA-GIS3-PH > clear pha_cutoff
!xsel:ASCA-GIS3-PH > filter pha_cutoff 170 850
!xsel:ASCA-GIS3-PH > extract events
!xsel:ASCA-GIS3-PH > save events use=no clobber=yes 75031000_gis3_bgd_hard.evt
Wrote events list to file 75031000_gis3_bgd_hard.evt
!xsel:ASCA-GIS3-PH > exit save=no
gnt_infrm: ========================
gnt_infrm: End of procedure do_prod
gnt_infrm: ========================
Tue May 2 17:02:17 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_spec
gnt_infrm: *************************
Tue May 2 17:02:17 EDT 2000
gnt_infrm: Group .pha files for 75031000...
gnt_infrm: Minimum channels are 85 (gis2), 85 (gis3).
gnt_infrm: Creating grouped spectrum files for sis0...
grppha
Tue May 2 17:02:33 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS0 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 32173. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 6.28520E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_sis0_src.pha.tmp
** grppha 2.9.0 completed successfully
grppha
Tue May 2 17:02:33 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS0 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 32173. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 6.28520E-02 Background scaling factor
BACKFILE - 75031000_sis0_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_sis0.rmf
ANCRFILE - 75031000_sis0.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... Channel 1024 is not within the channel range !
...... Upper channel reset to last channel : 1023
...... exiting, changes written to file : 75031000_sis0_src_20.pha
** grppha 2.9.0 completed successfully
ascaarf
Tue May 2 17:02:33 EDT 2000
ascaarf 75031000_sis0_src.pha.tmp 75031000_sis0.rmf 75031000_sis0.arf point=yes simple=yes clobber=yes
ASCAARF vers 3.00 6 Oct 1998.
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
xrtpsf : /FTP/caldb/data/asca/xrt/bcf/xrt_psf_v2_0.fits
Input WMAP array has size 45 by 44 bins
expanded to 45 by 44 bins
First WMAP bin is at detector pixel 280 280
8 detector pixels per WMAP bin
WMAP bin size is 0.21600 mm
0.21216 arcmin
Selected region size is 72.424 arcmin^2
Optical axis is detector pixel 662.72 559.02
1180 energies from RMF file
Effective area fudge applied
Arf filter applied
Point source at 463.00 459.00 (detector coordinates)
Point source at 24.97 12.50 (WMAP bins wrt optical axis)
Point source at 5.92 26.60 (... in polar coordinates)
Total counts in region = 2.07900E+03
Weighted mean angle from optical axis = 6.145 arcmin
gnt_infrm: Creating grouped spectrum files for sis1...
grppha
Tue May 2 17:04:14 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS1 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 31165. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 5.66700E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_sis1_src.pha.tmp
** grppha 2.9.0 completed successfully
grppha
Tue May 2 17:04:14 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS1 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 31165. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 5.66700E-02 Background scaling factor
BACKFILE - 75031000_sis1_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_sis1.rmf
ANCRFILE - 75031000_sis1.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... Channel 1024 is not within the channel range !
...... Upper channel reset to last channel : 1023
...... exiting, changes written to file : 75031000_sis1_src_20.pha
** grppha 2.9.0 completed successfully
ascaarf
Tue May 2 17:04:14 EDT 2000
ascaarf 75031000_sis1_src.pha.tmp 75031000_sis1.rmf 75031000_sis1.arf point=yes simple=yes clobber=yes
ASCAARF vers 3.00 6 Oct 1998.
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
xrtpsf : /FTP/caldb/data/asca/xrt/bcf/xrt_psf_v2_0.fits
Input WMAP array has size 44 by 39 bins
expanded to 44 by 39 bins
First WMAP bin is at detector pixel 288 320
8 detector pixels per WMAP bin
WMAP bin size is 0.21600 mm
0.21216 arcmin
Selected region size is 65.301 arcmin^2
Optical axis is detector pixel 618.28 773.83
1180 energies from RMF file
Effective area fudge applied
Arf filter applied
Point source at 467.00 479.00 (detector coordinates)
Point source at 18.91 36.85 (WMAP bins wrt optical axis)
Point source at 8.79 62.84 (... in polar coordinates)
Total counts in region = 1.59500E+03
Weighted mean angle from optical axis = 8.679 arcmin
gnt_infrm: Creating grouped spectrum files for gis2...
grppha
Tue May 2 17:05:40 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS2 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34695. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_gis2_src.pha.tmp
** grppha 2.9.0 completed successfully
grppha
Tue May 2 17:05:40 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS2 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34695. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - 75031000_gis2_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_gis2.rmf
ANCRFILE - 75031000_gis2.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_gis2_src_20.pha
** grppha 2.9.0 completed successfully
ascaarf
Tue May 2 17:05:40 EDT 2000
ASCAARF vers 3.00 6 Oct 1998.
bethick : /FTP/caldb/data/asca/gis/bcf/s2bev1.fits
grid : /FTP/caldb/data/asca/gis/bcf/s2gridv3.fits
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
xrtpsf : /FTP/caldb/data/asca/xrt/bcf/xrt_psf_v2_0.fits
Input WMAP array has size 54 by 54 bins
expanded to 128 by 128 bins
First WMAP bin is at detector pixel 44 50
1 detector pixels per WMAP bin
WMAP bin size is 0.25000 mm
0.24555 arcmin
Selected region size is 144.80 arcmin^2
Optical axis is detector pixel 133.00 130.96
201 energies from RMF file
Effective area fudge applied
Arf filter applied
Point source at 106.50 112.50 (detector coordinates)
Point source at 26.50 18.46 (WMAP bins wrt optical axis)
Point source at 7.93 34.86 (... in polar coordinates)
Total counts in region = 1.92200E+03
Weighted mean angle from optical axis = 8.105 arcmin
gnt_infrm: Creating grouped spectrum files for gis3...
grppha
Tue May 2 17:14:10 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS3 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34677. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - none Associated background file
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - none Associated redistribution matrix file
ANCRFILE - none Associated ancillary response file
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_gis3_src.pha.tmp
** grppha 2.9.0 completed successfully
grppha
Tue May 2 17:14:11 EDT 2000
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS3 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34677. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - 75031000_gis3_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_gis3.rmf
ANCRFILE - 75031000_gis3.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
...... exiting, changes written to file : 75031000_gis3_src_20.pha
** grppha 2.9.0 completed successfully
ascaarf
Tue May 2 17:14:11 EDT 2000
ASCAARF vers 3.00 6 Oct 1998.
bethick : /FTP/caldb/data/asca/gis/bcf/s3bev1.fits
grid : /FTP/caldb/data/asca/gis/bcf/s3gridv3.fits
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
xrtpsf : /FTP/caldb/data/asca/xrt/bcf/xrt_psf_v2_0.fits
Input WMAP array has size 54 by 54 bins
expanded to 128 by 128 bins
First WMAP bin is at detector pixel 53 49
1 detector pixels per WMAP bin
WMAP bin size is 0.25000 mm
0.24555 arcmin
Selected region size is 144.80 arcmin^2
Optical axis is detector pixel 119.36 134.44
201 energies from RMF file
Effective area fudge applied
Arf filter applied
Point source at 115.50 111.50 (detector coordinates)
Point source at 3.86 22.94 (WMAP bins wrt optical axis)
Point source at 5.71 80.45 (... in polar coordinates)
Total counts in region = 2.27900E+03
Weighted mean angle from optical axis = 6.264 arcmin
gnt_infrm: Creating response matrix for sis0...
Sisrmg Version 1.1, Configured 04/97
This version resolves *all* known keyword incompatibilities with
other FTOOLS tasks. If you have previously fudged *any* keywords
in the PHA file to compensate, incorrect results will follow.
Setting 1st PHA channel to 0
Making v1.1 1180x1024 S0C1 Bright2 PI RMF
Calibration data files:
ecd = /software/lheasoft/develop/refdata/sisdata/sis0c1p40_290296.fits
cti = /software/lheasoft/develop/refdata/sisdata/sisph2pi_110397.fits
echo = /software/lheasoft/develop/refdata/sisdata/sisechos_290296.fits
rdd = /software/lheasoft/develop/refdata/sisdata/sisrddis_290296.fits
Please stand by...
...Done.
gnt_infrm: Creating response matrix for sis1...
Sisrmg Version 1.1, Configured 04/97
This version resolves *all* known keyword incompatibilities with
other FTOOLS tasks. If you have previously fudged *any* keywords
in the PHA file to compensate, incorrect results will follow.
Setting 1st PHA channel to 0
Making v1.1 1180x1024 S1C3 Bright2 PI RMF
Calibration data files:
ecd = /software/lheasoft/develop/refdata/sisdata/sis1c3p40_290296.fits
cti = /software/lheasoft/develop/refdata/sisdata/sisph2pi_110397.fits
echo = /software/lheasoft/develop/refdata/sisdata/sisechos_290296.fits
rdd = /software/lheasoft/develop/refdata/sisdata/sisrddis_290296.fits
Please stand by...
...Done.
gnt_infrm: ========================
gnt_infrm: End of procedure do_spec
gnt_infrm: ========================
Tue May 2 17:24:20 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_expo
gnt_infrm: *************************
Tue May 2 17:24:20 EDT 2000
gnt_infrm: Grouping channels and creating new 4-channel .pha files...
gnt_infrm: Creating 4-channel spectrum for sis0...
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS0 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 32173. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 6.28520E-02 Background scaling factor
BACKFILE - 75031000_sis0_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_sis0.rmf
ANCRFILE - 75031000_sis0.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
minchan(nocom) 41
maxchan(nocom) 136
numchan(nocom) 96
minchan(nocom) 137
maxchan(nocom) 340
numchan(nocom) 204
minchan(nocom) 341
maxchan(nocom) 477
numchan(nocom) 137
minchan(nocom) 478
maxchan(nocom) 683
numchan(nocom) 206
...... exiting, changes written to file : 75031000_sis0_4_ch.pha
** grppha 2.9.0 completed successfully
gnt_infrm: Creating efficiency map for sis0...
ASCAEFFMAP vers 2.27 5 May 1999.
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
385 grouped channels from the PHA file
Bin size is 0.0270 (mm) = 0.0265(arcmin)
Optical axis is 662.72 559.02
WMAP size is 45 x 44
WMAP offset is 280 280
WMAP bin factor is 8
1024 ungrouped channels from the RMF file
pha bin = 42, E = 0.600 - 2.004 keV ( 1 / 4) calculating ...
<efficiency> = 104.3254 weight = 9.8406992E-05
pha bin = 43, E = 2.004 - 4.987 keV ( 2 / 4) calculating ...
<efficiency> = 90.43839 weight = 3.8808746E-05
pha bin = 44, E = 4.987 - 6.991 keV ( 3 / 4) calculating ...
<efficiency> = 83.21966 weight = 8.4892135E-06
pha bin = 45, E = 6.991 - 10.002 keV ( 4 / 4) calculating ...
<efficiency> = 25.43227 weight = 1.9799547E-05
wrote /tproc/nandra/processing/75031000/work/75031000_sis0.effmap
gnt_infrm: Creating 4-channel spectrum for sis1...
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - SIS1 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 31165. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 5.66700E-02 Background scaling factor
BACKFILE - 75031000_sis1_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_sis1.rmf
ANCRFILE - 75031000_sis1.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
minchan(nocom) 41
maxchan(nocom) 136
numchan(nocom) 96
minchan(nocom) 137
maxchan(nocom) 340
numchan(nocom) 204
minchan(nocom) 341
maxchan(nocom) 477
numchan(nocom) 137
minchan(nocom) 478
maxchan(nocom) 683
numchan(nocom) 206
...... exiting, changes written to file : 75031000_sis1_4_ch.pha
** grppha 2.9.0 completed successfully
gnt_infrm: Creating efficiency map for sis1...
ASCAEFFMAP vers 2.27 5 May 1999.
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
385 grouped channels from the PHA file
Bin size is 0.0270 (mm) = 0.0265(arcmin)
Optical axis is 618.28 773.83
WMAP size is 44 x 39
WMAP offset is 288 320
WMAP bin factor is 8
1024 ungrouped channels from the RMF file
pha bin = 42, E = 0.600 - 2.003 keV ( 1 / 4) calculating ...
<efficiency> = 89.85606 weight = 1.1251014E-04
pha bin = 43, E = 2.003 - 4.983 keV ( 2 / 4) calculating ...
<efficiency> = 75.11089 weight = 4.4474473E-05
pha bin = 44, E = 4.983 - 6.984 keV ( 3 / 4) calculating ...
<efficiency> = 66.27264 weight = 1.0642841E-05
pha bin = 45, E = 6.984 - 9.991 keV ( 4 / 4) calculating ...
<efficiency> = 18.59902 weight = 3.5816094E-05
wrote /tproc/nandra/processing/75031000/work/75031000_sis1.effmap
gnt_infrm: Creating 4-channel spectrum for gis2...
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS2 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34695. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - 75031000_gis2_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_gis2.rmf
ANCRFILE - 75031000_gis2.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
minchan(nocom) 61
maxchan(nocom) 170
numchan(nocom) 110
minchan(nocom) 171
maxchan(nocom) 425
numchan(nocom) 255
minchan(nocom) 426
maxchan(nocom) 594
numchan(nocom) 169
minchan(nocom) 595
maxchan(nocom) 848
numchan(nocom) 254
...... exiting, changes written to file : 75031000_gis2_4_ch.pha
** grppha 2.9.0 completed successfully
gnt_infrm: Creating efficiency map for gis2...
ASCAEFFMAP vers 2.27 5 May 1999.
bethick : /FTP/caldb/data/asca/gis/bcf/s2bev1.fits
grid : /FTP/caldb/data/asca/gis/bcf/s2gridv3.fits
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
240 grouped channels from the PHA file
Bin size is 0.2500 (mm) = 0.2456(arcmin)
Optical axis is 133.00 130.96
WMAP size is 54 x 54
WMAP offset is 80 86
WMAP bin factor is 1
1024 ungrouped channels from the RMF file
pha bin = 62, E = 0.719 - 2.016 keV ( 1 / 4) calculating ...
<efficiency> = 60.81695 weight = 8.4523782E-03
pha bin = 63, E = 2.016 - 5.022 keV ( 2 / 4) calculating ...
<efficiency> = 69.52536 weight = 4.5873709E-03
pha bin = 64, E = 5.022 - 7.014 keV ( 3 / 4) calculating ...
<efficiency> = 59.67718 weight = 9.5902733E-04
pha bin = 65, E = 7.014 - 10.008 keV ( 4 / 4) calculating ...
<efficiency> = 21.06311 weight = 2.4207518E-03
wrote /tproc/nandra/processing/75031000/work/75031000_gis2.effmap
gnt_infrm: Creating 4-channel spectrum for gis3...
-------------------------
MANDATORY KEYWORDS/VALUES
-------------------------
--------------------------------------------------------------------
--------------------------------------------------------------------
EXTNAME - SPECTRUM Name of this BINTABLE
TELESCOP - ASCA Mission/Satellite name
INSTRUME - GIS3 Instrument/Detector
FILTER - NONE Instrument filter in use
EXPOSURE - 34677. Integration time (in secs) of PHA data
AREASCAL - 1.0000 Area scaling factor
BACKSCAL - 3.66360E-02 Background scaling factor
BACKFILE - 75031000_gis3_bgd.pha
CORRSCAL - 1.0000 Correlation scaling factor
CORRFILE - none Associated correlation file
RESPFILE - 75031000_gis3.rmf
ANCRFILE - 75031000_gis3.arf
POISSERR - TRUE Whether Poissonian errors apply
CHANTYPE - PI Whether channels have been corrected
TLMIN1 - 0 First legal Detector channel
DETCHANS - 1024 No. of legal detector channels
NCHAN - 1024 No. of detector channels in dataset
PHAVERSN - 1.1.0 OGIP FITS version number
STAT_ERR - FALSE Statistical Error
SYS_ERR - TRUE Fractional Systematic Error
QUALITY - TRUE Quality Flag
GROUPING - FALSE Grouping Flag
--------------------------------------------------------------------
--------------------------------------------------------------------
minchan(nocom) 61
maxchan(nocom) 170
numchan(nocom) 110
minchan(nocom) 171
maxchan(nocom) 425
numchan(nocom) 255
minchan(nocom) 426
maxchan(nocom) 594
numchan(nocom) 169
minchan(nocom) 595
maxchan(nocom) 848
numchan(nocom) 254
...... exiting, changes written to file : 75031000_gis3_4_ch.pha
** grppha 2.9.0 completed successfully
gnt_infrm: Creating efficiency map for gis3...
ASCAEFFMAP vers 2.27 5 May 1999.
bethick : /FTP/caldb/data/asca/gis/bcf/s3bev1.fits
grid : /FTP/caldb/data/asca/gis/bcf/s3gridv3.fits
xrtrsp : /FTP/caldb/data/asca/xrt/bcf/xrt_ea_v2_0.fits
240 grouped channels from the PHA file
Bin size is 0.2500 (mm) = 0.2456(arcmin)
Optical axis is 119.36 134.44
WMAP size is 54 x 54
WMAP offset is 89 85
WMAP bin factor is 1
1024 ungrouped channels from the RMF file
pha bin = 62, E = 0.719 - 2.016 keV ( 1 / 4) calculating ...
<efficiency> = 68.01389 weight = 7.9546506E-03
pha bin = 63, E = 2.016 - 5.022 keV ( 2 / 4) calculating ...
<efficiency> = 77.88568 weight = 3.8985591E-03
pha bin = 64, E = 5.022 - 7.014 keV ( 3 / 4) calculating ...
<efficiency> = 68.91005 weight = 8.6598826E-04
pha bin = 65, E = 7.014 - 10.008 keV ( 4 / 4) calculating ...
<efficiency> = 25.44214 weight = 1.6729148E-03
wrote /tproc/nandra/processing/75031000/work/75031000_gis3.effmap
gnt_infrm: Creating exposure map for sis0...
instfile=/tproc/nandra/processing/75031000/work/75031000_sis0.effmap
ASCAEXPO_V0.9b
reading data file: /tproc/nandra/processing/75031000/work/75031000_sis0.evt
reading gti ext: STDGTI
reading hp ext: HOT_PIXELS
querying CALDB...
reading cal file: /FTP/caldb/data/asca/sis/bcf/s0_teldef_070294.fits
reading inst file: /tproc/nandra/processing/75031000/work/75031000_sis0.effm
making an inst map...
SIS AREA DISC ENABL OFF
CHIP: 0 1 2 3
CCD POWER ON/OFF: ON ON OFF OFF
AREA DISC IN/OUT: OUT OUT IN IN
AREA DISC H START: 6 6 6 316
AREA DISC H STOP: 425 425 200 425
AREA DISC V START: 2 2 2 2
AREA DISC V STOP: 422 422 150 112
multiply inst map...
reading att file: /tproc/nandra/processing/75031000/aux/fa970622_0300.0730
making a sky image...
writing sky image: /tproc/nandra/processing/75031000/work/75031000_sis0_sky_
making an exposure map...
Aspect RA/DEC/ROLL : 187.9170 14.3866 65.3853
Mean RA/DEC/ROLL : 187.9317 14.3832 65.3853
Pnt RA/DEC/ROLL : 188.1167 14.4982 65.3853
Image rebin factor : 1
Attitude Records : 89629
Hot Pixels : 99
GTI intervals : 86
Total GTI (secs) : 32172.865
Max attitude excursion (arcsecs) : 15.000
0 Percent Complete: Total/live time: 0.00 0.00
10 Percent Complete: Total/live time: 6049.35 6049.35
20 Percent Complete: Total/live time: 12457.16 12457.16
30 Percent Complete: Total/live time: 12457.16 12457.16
40 Percent Complete: Total/live time: 19620.84 19620.84
50 Percent Complete: Total/live time: 19620.84 19620.84
60 Percent Complete: Total/live time: 27373.89 27373.89
70 Percent Complete: Total/live time: 27373.89 27373.89
80 Percent Complete: Total/live time: 32172.87 32172.87
100 Percent Complete: Total/live time: 32172.87 32172.87
Number of attitude steps used: 9
Number of attitude steps avail: 83219
Mean RA/DEC pixel offset: -41.1203 -82.5573
writing expo file: /tproc/nandra/processing/75031000/work/75031000_sis0_raw.
closing attitude file...
closing data file...
gnt_infrm: Creating exposure map for sis1...
instfile=/tproc/nandra/processing/75031000/work/75031000_sis1.effmap
ASCAEXPO_V0.9b
reading data file: /tproc/nandra/processing/75031000/work/75031000_sis1.evt
reading gti ext: STDGTI
reading hp ext: HOT_PIXELS
querying CALDB...
reading cal file: /FTP/caldb/data/asca/sis/bcf/s1_teldef_070294.fits
reading inst file: /tproc/nandra/processing/75031000/work/75031000_sis1.effm
making an inst map...
SIS AREA DISC ENABL OFF
CHIP: 0 1 2 3
CCD POWER ON/OFF: OFF OFF ON ON
AREA DISC IN/OUT: OUT OUT OUT OUT
AREA DISC H START: 6 6 6 6
AREA DISC H STOP: 425 425 425 103
AREA DISC V START: 2 2 2 2
AREA DISC V STOP: 422 422 422 422
multiply inst map...
reading att file: /tproc/nandra/processing/75031000/aux/fa970622_0300.0730
making a sky image...
writing sky image: /tproc/nandra/processing/75031000/work/75031000_sis1_sky_
making an exposure map...
Aspect RA/DEC/ROLL : 187.9170 14.3866 65.3816
Mean RA/DEC/ROLL : 187.9182 14.3911 65.3816
Pnt RA/DEC/ROLL : 188.1312 14.4907 65.3816
Image rebin factor : 1
Attitude Records : 89629
Hot Pixels : 123
GTI intervals : 98
Total GTI (secs) : 31165.086
Max attitude excursion (arcsecs) : 15.000
0 Percent Complete: Total/live time: 0.00 0.00
10 Percent Complete: Total/live time: 31165.09 31165.09
100 Percent Complete: Total/live time: 31165.09 31165.09
Number of attitude steps used: 4
Number of attitude steps avail: 87228
Mean RA/DEC pixel offset: -33.8042 -10.1389
writing expo file: /tproc/nandra/processing/75031000/work/75031000_sis1_raw.
closing attitude file...
closing data file...
gnt_infrm: Creating exposure map for gis2...
instfile=/tproc/nandra/processing/75031000/work/75031000_gis2.effmap
ASCAEXPO_V0.9b
reading data file: /tproc/nandra/processing/75031000/work/75031000_gis2.evt
reading gti ext: STDGTI
querying CALDB...
reading cal file: /FTP/caldb/data/asca/gis/bcf/gis2_ano_on_flf_180295.fits
reading inst file: /tproc/nandra/processing/75031000/work/75031000_gis2.effm
making an inst map...
rebin gis: 1
multiply inst map...
reading att file: /tproc/nandra/processing/75031000/aux/fa970622_0300.0730
making a sky image...
writing sky image: /tproc/nandra/processing/75031000/work/75031000_gis2_sky_
making an exposure map...
Aspect RA/DEC/ROLL : 187.9170 14.3866 65.3833
Mean RA/DEC/ROLL : 187.9261 14.4013 65.3833
Pnt RA/DEC/ROLL : 188.1182 14.4719 65.3833
Image rebin factor : 1
Attitude Records : 89629
GTI intervals : 70
Total GTI (secs) : 34694.766
Max attitude excursion (arcsecs) : 15.000
0 Percent Complete: Total/live time: 0.00 0.00
10 Percent Complete: Total/live time: 6966.04 6966.04
20 Percent Complete: Total/live time: 13264.04 13264.04
30 Percent Complete: Total/live time: 13264.04 13264.04
40 Percent Complete: Total/live time: 20606.52 20606.52
50 Percent Complete: Total/live time: 20606.52 20606.52
60 Percent Complete: Total/live time: 29162.96 29162.96
70 Percent Complete: Total/live time: 29162.96 29162.96
80 Percent Complete: Total/live time: 34694.77 34694.77
100 Percent Complete: Total/live time: 34694.77 34694.77
Number of attitude steps used: 9
Number of attitude steps avail: 86864
Mean RA/DEC pixel offset: -9.8526 -2.8098
writing expo file: /tproc/nandra/processing/75031000/work/75031000_gis2_raw.
closing attitude file...
closing data file...
gnt_infrm: Creating exposure map for gis3...
instfile=/tproc/nandra/processing/75031000/work/75031000_gis3.effmap
ASCAEXPO_V0.9b
reading data file: /tproc/nandra/processing/75031000/work/75031000_gis3.evt
reading gti ext: STDGTI
querying CALDB...
reading cal file: /FTP/caldb/data/asca/gis/bcf/gis3_ano_on_flf_180295.fits
reading inst file: /tproc/nandra/processing/75031000/work/75031000_gis3.effm
making an inst map...
rebin gis: 1
multiply inst map...
reading att file: /tproc/nandra/processing/75031000/aux/fa970622_0300.0730
making a sky image...
writing sky image: /tproc/nandra/processing/75031000/work/75031000_gis3_sky_
making an exposure map...
Aspect RA/DEC/ROLL : 187.9170 14.3866 65.3801
Mean RA/DEC/ROLL : 187.9122 14.3794 65.3801
Pnt RA/DEC/ROLL : 188.1312 14.4933 65.3801
Image rebin factor : 1
Attitude Records : 89629
GTI intervals : 72
Total GTI (secs) : 34676.766
Max attitude excursion (arcsecs) : 15.000
0 Percent Complete: Total/live time: 0.00 0.00
10 Percent Complete: Total/live time: 6958.04 6958.04
20 Percent Complete: Total/live time: 13254.04 13254.04
30 Percent Complete: Total/live time: 13254.04 13254.04
40 Percent Complete: Total/live time: 20590.52 20590.52
50 Percent Complete: Total/live time: 20590.52 20590.52
60 Percent Complete: Total/live time: 29146.96 29146.96
70 Percent Complete: Total/live time: 29146.96 29146.96
80 Percent Complete: Total/live time: 34676.77 34676.77
100 Percent Complete: Total/live time: 34676.77 34676.77
Number of attitude steps used: 9
Number of attitude steps avail: 86864
Mean RA/DEC pixel offset: 0.8839 -1.7432
writing expo file: /tproc/nandra/processing/75031000/work/75031000_gis3_raw.
closing attitude file...
closing data file...
gnt_infrm: ========================
gnt_infrm: End of procedure do_expo
gnt_infrm: ========================
Tue May 2 17:28:54 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_lcvs
gnt_infrm: *************************
Tue May 2 17:28:54 EDT 2000
gnt_infrm: Making lightcurves with 3 binsizes and 3 energy bands...
gnt_infrm: Time ordering...
gnt_infrm: Source, full-band, 16s bin, SIS/GIS...
nbint = 6127
gnt_infrm: Command...
lcurve nser=1 cfile1=@/tproc/nandra/processing/75031000/work/lcvs.tmp
window=/home/rosserv/nandra/tartarus/scripts3.2/win_full2.wi dtnb=16 nbint=6127 tunits=1 clobber=yes
outfile=/tproc/nandra/processing/75031000/work/75031000_sis_src_16s.flc rescale=2.0 plot=no
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_src.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 2011 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_src.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 1521 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.5517E-01 Chisq 1832. Var 0.1658E-02 Newbs. 1906
Min-0.3125E-01 Max 0.2500 expVar 0.1725E-02 Bins 3533
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_16s
nbint = 6309
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_src.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 1852 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_gis3_src.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 2218 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS3
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 72 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 512
(giving 13 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6309 analysis results per interval
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.5855E-01 Chisq 2054. Var 0.1761E-02 Newbs. 2135
Min 0.000 Max 0.2500 expVar 0.1831E-02 Bins 4071
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_src_16s
gnt_infrm: Source, full-band, 256/5760s bin, SIS/GIS...
nbint = 383
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis_src_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 06:34:01.750
No. of Rows ....... 1906 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363136975 (days) 6:34: 1:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6126
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 256.00000 (s)
Maximum Newbin No. 383
Default Newbins per Interval are: 383
(giving 1 Interval of 383 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 383 Newbins of 256.000 (s)
383 analysis results per interval
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Intv 1 Start 10621 3:23: 5
Ser.1 Avg 0.1122 Chisq 67.99 Var 0.4520E-03 Newbs. 66
Min 0.7812E-01 Max 0.1562 expVar 0.4388E-03 Bins 1906
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_256
nbint = 395
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis_src_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 07:22:33.750
No. of Rows ....... 2135 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507339 (days) 7:22:33:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6308
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 256.00000 (s)
Maximum Newbin No. 395
Default Newbins per Interval are: 395
(giving 1 Interval of 395 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 395 Newbins of 256.000 (s)
395 analysis results per interval
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Intv 1 Start 10621 3:22:33
Ser.1 Avg 0.1187 Chisq 111.9 Var 0.5642E-03 Newbs. 92
Min 0.6641E-01 Max 0.1992 expVar 0.4639E-03 Bins 2135
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_src_256
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis_src_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 06:34:01.750
No. of Rows ....... 1906 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363136975 (days) 6:34: 1:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6126
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
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Intv 1 Start 10621 4: 8:57
Ser.1 Avg 0.1104 Chisq 8.611 Var 0.8570E-04 Newbs. 18
Min 0.9461E-01 Max 0.1293 expVar 0.1594E-03 Bins 1906
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_576
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis_src_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 07:22:33.750
No. of Rows ....... 2135 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507339 (days) 7:22:33:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6308
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
1% completed
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Intv 1 Start 10621 4: 8:25
Ser.1 Avg 0.1183 Chisq 11.41 Var 0.1633E-03 Newbs. 18
Min 0.9615E-01 Max 0.1518 expVar 0.1344E-03 Bins 2135
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_src_576
gnt_infrm: Source, soft-band, 16s/5760s bin, SIS...
nbint = 6127
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_src_soft
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 1399 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_src_soft
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 1056 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
1% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.3841E-01 Chisq 1763. Var 0.1111E-02 Newbs. 1906
Min-0.3125E-01 Max 0.1875 expVar 0.1201E-02 Bins 2456
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_16s
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis_src_16s_s
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 06:34:01.750
No. of Rows ....... 1906 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363136975 (days) 6:34: 1:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6126
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
1% completed
2% completed
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Intv 1 Start 10621 4: 8:57
Ser.1 Avg 0.7589E-01 Chisq 12.16 Var 0.7345E-04 Newbs. 18
Min 0.6250E-01 Max 0.9455E-01expVar 0.9886E-04 Bins 1906
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_576
gnt_infrm: Source, hard-band, 16s/5760s bin, SIS/GIS...
nbint = 6127
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_src_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 614 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_src_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 465 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
1% completed
2% completed
3% completed
4% completed
5% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.1677E-01 Chisq 1993. Var 0.5492E-03 Newbs. 1906
Min-0.3125E-01 Max 0.2188 expVar 0.5252E-03 Bins 1080
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_16s
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis_src_16s_h
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 06:34:01.750
No. of Rows ....... 1906 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363136975 (days) 6:34: 1:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6126
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
1% completed
2% completed
3% completed
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Intv 1 Start 10621 4: 8:57
Ser.1 Avg 0.3450E-01 Chisq 4.625 Var 0.2212E-04 Newbs. 18
Min 0.2719E-01 Max 0.4688E-01expVar 0.6056E-04 Bins 1906
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_src_576
nbint = 6309
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_src_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 830 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_gis3_src_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 934 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS3
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 72 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 512
(giving 13 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6309 analysis results per interval
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.2531E-01 Chisq 2051. Var 0.7606E-03 Newbs. 2135
Min-0.3125E-01 Max 0.1562 expVar 0.7918E-03 Bins 1765
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_src_16s
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis_src_16s_h
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 07:22:33.750
No. of Rows ....... 2135 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507339 (days) 7:22:33:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6308
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
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Intv 1 Start 10621 4: 8:25
Ser.1 Avg 0.5222E-01 Chisq 9.262 Var 0.7625E-04 Newbs. 18
Min 0.3935E-01 Max 0.8036E-01expVar 0.6586E-04 Bins 2135
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_src_576
gnt_infrm: Background, full-band, 16s/5760s bin, SIS/GIS...
nbint = 6127
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 678 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 657 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.2102E-01 Chisq 1861. Var 0.6424E-03 Newbs. 1906
Min 0.000 Max 0.1562 expVar 0.6579E-03 Bins 1336
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_bgd_16s
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis_bgd_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 06:34:01.750
No. of Rows ....... 1906 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363136975 (days) 6:34: 1:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6126
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
1% completed
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Intv 1 Start 10621 4: 8:57
Ser.1 Avg 0.4634E-01 Chisq 5.937 Var 0.3835E-03 Newbs. 18
Min 0.3297E-01 Max 0.1250 expVar 0.1326E-03 Bins 1906
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_bgd_576
nbint = 6309
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 3621 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_gis3_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 3897 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS3
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 72 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 512
(giving 13 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6309 analysis results per interval
1% completed
2% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.1085 Chisq 2118. Var 0.3366E-02 Newbs. 2135
Min 0.000 Max 0.3438 expVar 0.3393E-02 Bins 7519
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_bgd_16s
nbint = 18
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis_bgd_16s.f
Selected FITS extensions: 1 - RATE TABLE;
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `RATE ` Stop Time (d) ..... 10622 07:22:33.750
No. of Rows ....... 2135 Bin Time (s) ...... 16.00
Right Ascension ... Internal time sys.. Literal
Declination ....... Experiment ........
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 3- Y-axis; 4- Y-error; 5- Fractional exposure;
File contains binned data.
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507339 (days) 7:22:33:750 (h:m:s:ms)
Minimum Newbin Time 16.000000 (s)
for Maximum Newbin No.. 6308
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 5760.0000 (s)
Maximum Newbin No. 18
Default Newbins per Interval are: 18
(giving 1 Interval of 18 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 18 Newbins of 5760.00 (s)
18 analysis results per interval
1% completed
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Intv 1 Start 10621 4: 8:25
Ser.1 Avg 0.2200 Chisq 7.763 Var 0.2924E-03 Newbs. 18
Min 0.2003 Max 0.2768 expVar 0.2484E-03 Bins 2135
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_bgd_576
gnt_infrm: Background, soft-band, 16s bin, SIS...
nbint = 6127
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd_soft
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 476 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_bgd_soft
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 424 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
1% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.1415E-01 Chisq 1887. Var 0.4387E-03 Newbs. 1906
Min 0.000 Max 0.1250 expVar 0.4432E-03 Bins 901
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_bgd_16s
gnt_infrm: Background, hard-band, 16s bin, SIS/GIS...
nbint = 6127
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 204 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_sis1_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:57.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 233 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS1
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:57.751
No. of Rows ....... 98 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 191.66210 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 512
(giving 12 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6127 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6127 analysis results per interval
1% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.6886E-02 Chisq 1822. Var 0.2067E-03 Newbs. 1906
Min-0.3125E-01 Max 0.9375E-01expVar 0.2162E-03 Bins 438
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis_bgd_16s
nbint = 6309
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 1599 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Series 1 file 2:/tproc/nandra/processing/75031000/work/75031000_gis3_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 1756 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS3
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 72 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
**** Warning : Infiles for series 1 overlap in time
Having > 1 intv or using time winds. might cause data loss !
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 197.35628 (s) (to have 1 Intv. of 512 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 512
(giving 13 Intervals of 512 Newbins each)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
**** Warning: All results and errors will be multiplied by 2.000000
6309 analysis results per interval
1% completed
2% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.4827E-01 Chisq 2176. Var 0.1538E-02 Newbs. 2135
Min 0.000 Max 0.2500 expVar 0.1509E-02 Bins 3356
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis_bgd_16s
gnt_infrm: ========================
gnt_infrm: End of procedure do_lcvs
gnt_infrm: ========================
Tue May 2 17:29:15 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_cols
gnt_infrm: *************************
Tue May 2 17:29:16 EDT 2000
gnt_infrm: Determine countrates for sis0 and sis1 in 2 energy bands...
gnt_infrm: Determining scaling factor...
gnt_infrm: Calculating values...
gnt_infrm: Countrate for SIS full-band...
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 678 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 9.8021881 (s) (to have 1 Intv. of 10000 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 6126
(giving 1 Interval of 6126 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6126 Newbins of 16.0000 (s)
6126 analysis results per interval
1% completed
2% completed
3% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.2105E-01 Chisq 1948. Var 0.1295E-02 Newbs. 1980
Min 0.000 Max 0.1875 expVar 0.1316E-02 Bins 678
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis0_bgd_16
gnt_infrm: Countrate for SIS soft-band...
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd_soft
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 476 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 9.8021881 (s) (to have 1 Intv. of 10000 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 6126
(giving 1 Interval of 6126 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6126 Newbins of 16.0000 (s)
6126 analysis results per interval
1% completed
2% completed
3% completed
4% completed
5% completed
6% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.1474E-01 Chisq 1945. Var 0.9053E-03 Newbs. 1980
Min 0.000 Max 0.1875 expVar 0.9213E-03 Bins 476
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis0_bgd_16
gnt_infrm: Countrate for SIS hard-band...
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_sis0_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 06:34:01.751
No. of Rows ....... 204 Bin Time (s) ...... 8.000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA SIS0
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 7- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 86 Last GTI Stop ..... 10622 06:34:01.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.27363137200 (days) 6:34: 1:751 (h:m:s:ms)
Minimum Newbin Time 8.0000000 (s)
for Maximum Newbin No.. 12252
Default Newbin Time is: 9.8021881 (s) (to have 1 Intv. of 10000 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6126
Default Newbins per Interval are: 6126
(giving 1 Interval of 6126 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6126 Newbins of 16.0000 (s)
6126 analysis results per interval
1% completed
2% completed
3% completed
4% completed
5% completed
6% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.6376E-02 Chisq 1856. Var 0.3736E-03 Newbs. 1980
Min 0.000 Max 0.1250 expVar 0.3985E-03 Bins 204
Writing output file: /tproc/nandra/processing/75031000/work/75031000_sis0_bgd_16
gnt_infrm: Countrate for GIS full-band...
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_bgd.evt
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 3621 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 10.093406 (s) (to have 1 Intv. of 10000 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 6309
(giving 1 Interval of 6309 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
6309 analysis results per interval
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.1044 Chisq 2174. Var 0.6625E-02 Newbs. 2141
Min 0.000 Max 0.5625 expVar 0.6524E-02 Bins 3621
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis2_bgd_16
gnt_infrm: Countrate for GIS hard-band...
lcurve 1.0 (xronos5.16)
Series 1 file 1:/tproc/nandra/processing/75031000/work/75031000_gis2_bgd_hard
Selected FITS extensions: 1 - RATE TABLE; 2 - GTIs
Source ............ NGC4501 Start Time (d) .... 10621 03:20:25.751
FITS Extension .... 1 - `EVENTS ` Stop Time (d) ..... 10622 07:22:33.751
No. of Rows ....... 1599 Bin Time (s) ...... 0.5000
Right Ascension ... 1.8792E+02 Internal time sys.. Converted to TJD
Declination ....... 1.4387E+01 Experiment ........ ASCA GIS2
Filter ............ NONE
Corrections applied: Vignetting - No ; Deadtime - No ; Bkgd - No ; Clock - No
Selected Columns: 1- Time; 4- E-Channel;
File contains arrival-time data.
FITS Extension .... 2 - `STDGTI ` First GTI Start ... 10621 03:20:25.751
No. of Rows ....... 70 Last GTI Stop ..... 10622 07:22:33.751
Selected Columns: 1 - GTI Start; 2 - GTI Stop
Expected Start ... 10621.13918692755 (days) 3:20:25:751 (h:m:s:ms)
Expected Stop .... 10622.30733507570 (days) 7:22:33:751 (h:m:s:ms)
Minimum Newbin Time 0.50000000 (s)
for Maximum Newbin No.. 201857
Default Newbin Time is: 10.093406 (s) (to have 1 Intv. of 10000 Newbins)
Type INDEF to accept the default value
Newbin Time ...... 16.000000 (s)
Maximum Newbin No. 6309
Default Newbins per Interval are: 6309
(giving 1 Interval of 6309 Newbins)
Type INDEF to accept the default value
Maximum of 1 Intvs. with 6309 Newbins of 16.0000 (s)
6309 analysis results per interval
1% completed
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Intv 1 Start 10621 3:20:33
Ser.1 Avg 0.4598E-01 Chisq 2146. Var 0.2880E-02 Newbs. 2141
Min 0.000 Max 0.3125 expVar 0.2874E-02 Bins 1599
Writing output file: /tproc/nandra/processing/75031000/work/75031000_gis2_bgd_16
gnt_infrm: ========================
gnt_infrm: End of procedure do_cols
gnt_infrm: ========================
Tue May 2 17:29:24 EDT 2000
[1] 2407
gnt_infrm: Starting do_kill - checking for infinite xspec loop...
gnt_infrm: *************************
gnt_infrm: Running procedure do_fits
gnt_infrm: *************************
Tue May 2 17:29:25 EDT 2000
gnt_infrm: Performing spectral fitting to a powerlaw...
Xspec 11.0.1 17:29:31 02-May-2000
http://xspec.gsfc.nasa.gov/
Plot device not set, use "cpd" to set it
Type "help" or "?" for further information
XSPEC>@plfit.xcm
!XSPEC> set xs_return_result 1;
!XSPEC> open fit_result_pl.dat w
!XSPEC> set fileid [open fit_result_pl.dat w];
!XSPEC> log plfit.log;
!XSPEC> data 1:1 75031000_sis0_src_20;
Net count rate (cts/s) for file 1 1.8750E-02+/- 2.5980E-03( 28.8% total)
using response (RMF) file... 75031000_sis0.rmf
using auxiliary (ARF) file... 75031000_sis0.arf
using background file... 75031000_sis0_bgd.pha
1 data set is in use
!XSPEC> data 2:2 75031000_sis1_src_20;
Net count rate (cts/s) for file 2 1.7258E-02+/- 2.1100E-03( 33.6% total)
using response (RMF) file... 75031000_sis1.rmf
using auxiliary (ARF) file... 75031000_sis1.arf
using background file... 75031000_sis1_bgd.pha
2 data sets are in use
!XSPEC> data 3:3 75031000_gis2_src_20;
Net count rate (cts/s) for file 3 9.3622E-03+/- 1.5264E-03( 16.8% total)
using response (RMF) file... 75031000_gis2.rmf
using auxiliary (ARF) file... 75031000_gis2.arf
using background file... 75031000_gis2_bgd.pha
3 data sets are in use
!XSPEC> data 4:4 75031000_gis3_src_20;
Net count rate (cts/s) for file 4 1.6474E-02+/- 1.6369E-03( 24.8% total)
using response (RMF) file... 75031000_gis3.rmf
using auxiliary (ARF) file... 75031000_gis3.arf
using background file... 75031000_gis3_bgd.pha
4 data sets are in use
!XSPEC> ignore bad;
!XSPEC> ignore 1-4:0.1-0.6;
!XSPEC> ignore 1-4:10.0-20.0;
!XSPEC> ignore 1-4:5.0-7.5;
!XSPEC> setplot energy;
!XSPEC> query no;
Querying disabled - assuming answer is no
!XSPEC> model con*wabs*po ;1.0,-1, 0,0,1,1 ;0.0, 0.02,0,0,10000,10000 ;2.,0.2,-1,- ...
Model: constant[1]*wabs[2]( powerlaw[3] )
!Param# 1 : 1.0,-1, 0,0,1,1
!Param# 2 : 0.0, 0.02,0,0,10000,10000
!Param# 3 : 2.,0.2,-1,-1,3,3
!Param# 4 : .001,.0002,0,0,1e4,1e4
!Param# 5 : 0.99,0.01,0,0,2,2
!Param# 6 : =2
Equating parameter powerlaw:nH to parameter wabs:nH * 1
!Param# 7 : =3
Equating parameter constant:PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 8 : =4
Equating parameter wabs:norm to parameter constant:norm * 1
!Param# 9 : 0.99,0.01,0,0,2,2
!Param# 10 : =2
Equating parameter constant:nH to parameter wabs:nH * 1
!Param# 11 : =3
Equating parameter wabs:PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 12 : =4
Equating parameter powerlaw:norm to parameter constant:norm * 1
!Param# 13 : 0.99,0.01,0,0,2,2
!Param# 14 : =2
Equating parameter :nH to parameter wabs:nH * 1
!Param# 15 : =3
Equating parameter :PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 16 : =4
Equating parameter :norm to parameter constant:norm * 1
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Model: constant[1]*wabs[2]( powerlaw[3] )
Model Fit Model Component Parameter Unit Value Data
par par comp group
1 1 1 constant factor 1.000 frozen 1
2 2 2 wabs nH 10^22 0.000 +/- 0.000 1
3 3 3 powerlaw PhoIndex 2.000 +/- 0.000 1
4 4 3 powerlaw norm 1.0000E-03 +/- 0.000 1
5 5 4 constant factor 0.9900 +/- 0.000 2
6 2 5 wabs nH 10^22 0.000 = par 2 2
7 3 6 powerlaw PhoIndex 2.000 = par 3 2
8 4 6 powerlaw norm 1.0000E-03 = par 4 2
9 6 7 constant factor 0.9900 +/- 0.000 3
10 2 8 wabs nH 10^22 0.000 = par 2 3
11 3 9 powerlaw PhoIndex 2.000 = par 3 3
12 4 9 powerlaw norm 1.0000E-03 = par 4 3
13 7 10 constant factor 0.9900 +/- 0.000 4
14 2 11 wabs nH 10^22 0.000 = par 2 4
15 3 12 powerlaw PhoIndex 2.000 = par 3 4
16 4 12 powerlaw norm 1.0000E-03 = par 4 4
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Chi-Squared = 8338.761 using 266 PHA bins.
Reduced chi-squared = 32.07215 for 260 degrees of freedom
Null hypothesis probability = 0.00
!XSPEC> fit 25;
Chi-Squared Lvl Fit param # 1 2 3 4
5 6 7
285.452 -2 1.000 0.000 2.078 1.5376E-04
1.131 0.9715 1.387
285.387 -3 1.000 0.000 2.078 1.5279E-04
1.141 0.9772 1.421
285.383 -4 1.000 0.000 2.078 1.5285E-04
1.142 0.9778 1.426
285.383 0 1.000 0.000 2.078 1.5285E-04
1.142 0.9778 1.426
---------------------------------------------------------------------------
Variances and Principal axes :
3 4 5 6 7
7.67E-11 | 0.00 1.00 0.00 0.00 0.00
1.10E-02 | 0.46 0.00 0.77 -0.19 -0.40
6.14E-02 | 0.17 0.00 0.41 0.53 0.72
2.08E-02 | -0.84 0.00 0.49 -0.20 0.07
2.13E-02 | -0.22 0.00 0.04 0.80 -0.56
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Model: constant[1]*wabs[2]( powerlaw[3] )
Model Fit Model Component Parameter Unit Value Data
par par comp group
1 1 1 constant factor 1.000 frozen 1
2 2 2 wabs nH 10^22 0.000 +/- -1.000 1
3 3 3 powerlaw PhoIndex 2.078 +/- 0.1413 1
4 4 3 powerlaw norm 1.5285E-04 +/- 0.1895E-04 1
5 5 4 constant factor 1.142 +/- 0.1477 2
6 2 5 wabs nH 10^22 0.000 = par 2 2
7 3 6 powerlaw PhoIndex 2.078 = par 3 2
8 4 6 powerlaw norm 1.5285E-04 = par 4 2
9 6 7 constant factor 0.9778 +/- 0.1795 3
10 2 8 wabs nH 10^22 0.000 = par 2 3
11 3 9 powerlaw PhoIndex 2.078 = par 3 3
12 4 9 powerlaw norm 1.5285E-04 = par 4 3
13 7 10 constant factor 1.426 +/- 0.2013 4
14 2 11 wabs nH 10^22 0.000 = par 2 4
15 3 12 powerlaw PhoIndex 2.078 = par 3 4
16 4 12 powerlaw norm 1.5285E-04 = par 4 4
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Chi-Squared = 285.3828 using 266 PHA bins.
Reduced chi-squared = 1.097626 for 260 degrees of freedom
Null hypothesis probability = 0.134
!XSPEC> tclout param 2;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par2 [string trim $xspec_tclout];
!XSPEC> tclout param 3;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par3 [string trim $xspec_tclout];
!XSPEC> tclout param 4;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par4 [string trim $xspec_tclout];
!XSPEC> tclout dof;
!XSPEC> string trim $xspec_tclout
!XSPEC> set dof [string trim $xspec_tclout];
!XSPEC> regsub -all { +} $par2 { } cpar2;
!XSPEC> split $cpar2
!XSPEC> set lpar2 [split $cpar2];
!XSPEC> regsub -all { +} $par3 { } cpar3;
!XSPEC> split $cpar3
!XSPEC> set lpar3 [split $cpar3];
!XSPEC> regsub -all { +} $par4 { } cpar4;
!XSPEC> split $cpar4
!XSPEC> set lpar4 [split $cpar4];
!XSPEC> regsub -all { +} $dof { } cpar5;
!XSPEC> split $cpar5
!XSPEC> set lpar5 [split $cpar5];
!XSPEC> lindex $lpar2 0
!XSPEC> set nh [lindex $lpar2 0];
!XSPEC> lindex $lpar3 0
!XSPEC> set gamma [lindex $lpar3 0];
!XSPEC> lindex $lpar4 0
!XSPEC> set norm [lindex $lpar4 0];
!XSPEC> lindex $lpar5 0
!XSPEC> set dof [lindex $lpar5 0];
!XSPEC> show fit
Chi-Squared = 285.3828 using 266 PHA bins.
Reduced chi-squared = 1.097626 for 260 degrees of freedom
Null hypothesis probability = 0.134
!XSPEC> set chisq [show fit];
!XSPEC> error max 15 4.61 2
Parameter Confidence Range ( 4.610)
*WARNING*: Parameter sigma indicates possible error: -1.0000
Parameter pegged at hard limit 0.000 with delta ftstat= 0.
2 0.00000 0.115481
!XSPEC> set str [error max 15 4.61 2];
!XSPEC> lindex $str 0
!XSPEC> set nhlo [lindex $str 0];
!XSPEC> lindex $str 1
!XSPEC> set nhhi [lindex $str 1];
!XSPEC> expr ($nhhi - $nhlo)/2.0
!XSPEC> set nh_err [expr ($nhhi - $nhlo)/2.0];
!XSPEC> error max 15 4.61 3
Parameter Confidence Range ( 4.610)
3 1.79288 2.46700
!XSPEC> set str [error max 15 4.61 3];
!XSPEC> lindex $str 0
!XSPEC> set glo [lindex $str 0];
!XSPEC> lindex $str 1
!XSPEC> set ghi [lindex $str 1];
!XSPEC> expr ($ghi - $glo)/2.0
!XSPEC> set g_err [expr ($ghi - $glo)/2.0];
!XSPEC> puts $fileid "$nh $nh_err $gamma $g_err $norm $chisq $dof";
!XSPEC> close $fileid;
!XSPEC> notice 1-4:5.0-7.5;
A total of 27 more channels will be noticed
Net count rate (cts/s) for file 1 1.8678E-02+/- 2.1541E-03( 30.5% total)
using response (RMF) file... 75031000_sis0.rmf
using auxiliary (ARF) file... 75031000_sis0.arf
using background file... 75031000_sis0_bgd.pha
Net count rate (cts/s) for file 2 1.7073E-02+/- 1.7378E-03( 35.6% total)
using response (RMF) file... 75031000_sis1.rmf
using auxiliary (ARF) file... 75031000_sis1.arf
using background file... 75031000_sis1_bgd.pha
Net count rate (cts/s) for file 3 8.7310E-03+/- 1.3477E-03( 18.6% total)
using response (RMF) file... 75031000_gis2.rmf
using auxiliary (ARF) file... 75031000_gis2.arf
using background file... 75031000_gis2_bgd.pha
Net count rate (cts/s) for file 4 1.4883E-02+/- 1.4419E-03( 27.0% total)
using response (RMF) file... 75031000_gis3.rmf
using auxiliary (ARF) file... 75031000_gis3.arf
using background file... 75031000_gis3_bgd.pha
Chi-Squared = 316.8240 using 293 PHA bins.
Reduced chi-squared = 1.103916 for 287 degrees of freedom
Null hypothesis probability = 0.109
!XSPEC> ignore bad;
Chi-Squared = 316.8240 using 293 PHA bins.
Reduced chi-squared = 1.103916 for 287 degrees of freedom
Null hypothesis probability = 0.109
!XSPEC> save all 75031000_webfit;
!XSPEC> show files;
Information for file 1
belonging to plot group 1, data group 1
telescope = ASCA , instrument = SIS0 , channel type = PI
Current data file : 75031000_sis0_src_20.pha
with integration time 3.2173E+04
effective area 1.000
selected region area 6.2852E-02
Background file : 75031000_sis0_bgd.pha
with integration time 3.2173E+04
and effective area 1.000
selected region area 3.0439E-02
No current correction
Response (RMF) file : 75031000_sis0.rmf
Auxiliary (ARF) file : 75031000_sis0.arf
Weighting method is standard
Information for file 2
belonging to plot group 2, data group 2
telescope = ASCA , instrument = SIS1 , channel type = PI
Current data file : 75031000_sis1_src_20.pha
with integration time 3.1165E+04
effective area 1.000
selected region area 5.6670E-02
Background file : 75031000_sis1_bgd.pha
with integration time 3.1165E+04
and effective area 1.000
selected region area 3.7881E-02
No current correction
Response (RMF) file : 75031000_sis1.rmf
Auxiliary (ARF) file : 75031000_sis1.arf
Weighting method is standard
Information for file 3
belonging to plot group 3, data group 3
telescope = ASCA , instrument = GIS2 , channel type = PI
Current data file : 75031000_gis2_src_20.pha
with integration time 3.4695E+04
effective area 1.000
selected region area 3.6636E-02
Background file : 75031000_gis2_bgd.pha
with integration time 3.4695E+04
and effective area 1.000
selected region area 8.7402E-02
No current correction
Response (RMF) file : 75031000_gis2.rmf
Auxiliary (ARF) file : 75031000_gis2.arf
Weighting method is standard
Information for file 4
belonging to plot group 4, data group 4
telescope = ASCA , instrument = GIS3 , channel type = PI
Current data file : 75031000_gis3_src_20.pha
with integration time 3.4677E+04
effective area 1.000
selected region area 3.6636E-02
Background file : 75031000_gis3_bgd.pha
with integration time 3.4677E+04
and effective area 1.000
selected region area 8.7402E-02
No current correction
Response (RMF) file : 75031000_gis3.rmf
Auxiliary (ARF) file : 75031000_gis3.arf
Weighting method is standard
!XSPEC> setplot command ma 17 on 2;
!XSPEC> setplot command la t Energy spectrum;
!XSPEC> setplot command la y Counts;
!XSPEC> setplot command time off;
!XSPEC> setplot command cs 1.3;
!XSPEC> setplot command h web_pha.gif/gif;
!XSPEC> plot ldata ratio;
!XSPEC> ignore 1-4:5.0-7.5;
Chi-Squared = 285.3828 using 266 PHA bins.
Reduced chi-squared = 1.097626 for 260 degrees of freedom
Null hypothesis probability = 0.134
!XSPEC> query no;
Querying disabled - assuming answer is no
!XSPEC> model con*(wabs*po+wabs*po) ;1.0,-1, 0,0,1,1 ;0.03, 0.005,0,0,10,10 ;3.,0. ...
Model: constant[1]( wabs[2]( powerlaw[3] ) + wabs[4]( powerlaw[5] ) )
!Param# 1 : 1.0,-1, 0,0,1,1
!Param# 2 : 0.03, 0.005,0,0,10,10
!Param# 3 : 3.,0.05,1.5,1.5,5,5
!Param# 4 : .001,.0002,0,0,1e4,1e4
!Param# 5 : 1.0,0.01,0,0,1e5,1e5
!Param# 6 : 2.,0.05,-1,-1,3,3
!Param# 7 : .001,.0002,0,0,1e4,1e4
!Param# 8 : 0.99,0.01,0,0,2,2
!Param# 9 : =2
Equating parameter wabs:nH to parameter wabs:nH * 1
!Param# 10 : =3
Equating parameter powerlaw:PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 11 : =4
Equating parameter constant:norm to parameter wabs:norm * 1
!Param# 12 : =5
Equating parameter wabs:nH to parameter powerlaw:nH * 1
!Param# 13 : =6
Equating parameter powerlaw:PhoIndex to parameter constant:PhoIndex * 1
!Param# 14 : =7
Equating parameter wabs:norm to parameter wabs:norm * 1
!Param# 15 : 0.99,0.01,0,0,2,2
!Param# 16 : =2
Equating parameter constant:nH to parameter wabs:nH * 1
!Param# 17 : =3
Equating parameter wabs:PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 18 : =4
Equating parameter powerlaw:norm to parameter wabs:norm * 1
!Param# 19 : =5
Equating parameter wabs:nH to parameter powerlaw:nH * 1
!Param# 20 : =6
Equating parameter powerlaw:PhoIndex to parameter constant:PhoIndex * 1
!Param# 21 : =7
Equating parameter :norm to parameter wabs:norm * 1
!Param# 22 : 0.99,0.01,0,0,2,2
!Param# 23 : =2
Equating parameter :nH to parameter wabs:nH * 1
!Param# 24 : =3
Equating parameter :PhoIndex to parameter powerlaw:PhoIndex * 1
!Param# 25 : =4
Equating parameter :norm to parameter wabs:norm * 1
!Param# 26 : =5
Equating parameter :nH to parameter powerlaw:nH * 1
!Param# 27 : =6.
Equating parameter :PhoIndex to parameter constant:PhoIndex * 1
!Param# 28 : =7
Equating parameter :norm to parameter wabs:norm * 1
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Model: constant[1]( wabs[2]( powerlaw[3] ) + wabs[4]( powerlaw[5] ) )
Model Fit Model Component Parameter Unit Value Data
par par comp group
1 1 1 constant factor 1.000 frozen 1
2 2 2 wabs nH 10^22 3.0000E-02 +/- 0.000 1
3 3 3 powerlaw PhoIndex 3.000 +/- 0.000 1
4 4 3 powerlaw norm 1.0000E-03 +/- 0.000 1
5 5 4 wabs nH 10^22 1.000 +/- 0.000 1
6 6 5 powerlaw PhoIndex 2.000 +/- 0.000 1
7 7 5 powerlaw norm 1.0000E-03 +/- 0.000 1
8 8 6 constant factor 0.9900 +/- 0.000 2
9 2 7 wabs nH 10^22 3.0000E-02 = par 2 2
10 3 8 powerlaw PhoIndex 3.000 = par 3 2
11 4 8 powerlaw norm 1.0000E-03 = par 4 2
12 5 9 wabs nH 10^22 1.000 = par 5 2
13 6 10 powerlaw PhoIndex 2.000 = par 6 2
14 7 10 powerlaw norm 1.0000E-03 = par 7 2
15 9 11 constant factor 0.9900 +/- 0.000 3
16 2 12 wabs nH 10^22 3.0000E-02 = par 2 3
17 3 13 powerlaw PhoIndex 3.000 = par 3 3
18 4 13 powerlaw norm 1.0000E-03 = par 4 3
19 5 14 wabs nH 10^22 1.000 = par 5 3
20 6 15 powerlaw PhoIndex 2.000 = par 6 3
21 7 15 powerlaw norm 1.0000E-03 = par 7 3
22 10 16 constant factor 0.9900 +/- 0.000 4
23 2 17 wabs nH 10^22 3.0000E-02 = par 2 4
24 3 18 powerlaw PhoIndex 3.000 = par 3 4
25 4 18 powerlaw norm 1.0000E-03 = par 4 4
26 5 19 wabs nH 10^22 1.000 = par 5 4
27 6 20 powerlaw PhoIndex 2.000 = par 6 4
28 7 20 powerlaw norm 1.0000E-03 = par 7 4
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Chi-Squared = 10540.88 using 266 PHA bins.
Reduced chi-squared = 41.01512 for 257 degrees of freedom
Null hypothesis probability = 0.00
!XSPEC> chatter 0;
!XSPEC> fit 100;
!XSPEC> chatter 10;
!XSPEC> fit 100;
Chi-Squared Lvl Fit param # 1 2 3 4
5 6 7 8 9
10
281.842 -2 1.000 0.2383 3.788 2.9766E-04
2.625 1.909 1.4430E-04 1.127 1.002
1.457
281.827 -2 1.000 0.2706 4.103 3.1838E-04
2.020 1.927 1.4929E-04 1.124 0.9967
1.449
281.680 -2 1.000 0.2887 4.112 3.3818E-04
2.508 2.006 1.7019E-04 1.126 1.002
1.457
281.625 -2 1.000 0.3185 4.393 3.6006E-04
2.108 2.036 1.7824E-04 1.123 0.9974
1.449
281.535 -2 1.000 0.3396 4.462 3.8288E-04
2.386 2.101 1.9780E-04 1.124 1.001
1.454
281.469 -2 1.000 0.3671 4.685 4.0785E-04
2.194 2.137 2.0900E-04 1.122 0.9984
1.448
281.416 -2 1.000 0.3907 4.804 4.3439E-04
2.300 2.188 2.2601E-04 1.122 1.000
1.450
281.356 -2 1.000 0.4163 4.983 4.6256E-04
2.230 2.224 2.3925E-04 1.121 0.9994
1.448
281.347 -1 1.000 0.4185 4.994 4.6652E-04
2.242 2.227 2.4134E-04 1.122 1.001
1.448
---------------------------------------------------------------------------
Variances and Principal axes :
2 3 4 5 6 7 8 9 10
5.82E-10 | 0.00 0.00 0.34 0.00 0.00 0.94 0.00 0.00 0.00
1.36E-09 | 0.00 0.00 -0.94 0.00 0.00 0.34 0.00 0.00 0.00
4.43E-03 | -0.98 0.12 0.00 0.07 -0.09 0.00 0.10 -0.05 -0.08
1.54E-02 | 0.13 -0.01 0.00 0.00 0.00 0.00 0.93 -0.16 -0.32
2.74E-02 | 0.00 0.00 0.00 0.00 0.00 0.00 0.06 -0.81 0.58
7.26E-02 | 0.06 0.00 0.00 0.01 -0.03 0.00 -0.36 -0.56 -0.74
1.86E-01 | 0.13 0.14 0.00 0.40 -0.89 0.00 0.00 0.02 0.03
2.75E+02 | 0.09 0.89 0.00 -0.44 -0.04 0.00 0.00 0.00 0.00
5.90E+00 | 0.07 0.41 0.00 0.80 0.44 0.00 0.00 0.00 0.00
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Model: constant[1]( wabs[2]( powerlaw[3] ) + wabs[4]( powerlaw[5] ) )
Model Fit Model Component Parameter Unit Value Data
par par comp group
1 1 1 constant factor 1.000 frozen 1
2 2 2 wabs nH 10^22 0.4185 +/- 1.426 1
3 3 3 powerlaw PhoIndex 4.994 +/- 14.85 1
4 4 3 powerlaw norm 4.6652E-04 +/- 0.1538E-02 1
5 5 4 wabs nH 10^22 2.242 +/- 7.539 1
6 6 5 powerlaw PhoIndex 2.227 +/- 1.315 1
7 7 5 powerlaw norm 2.4134E-04 +/- 0.4242E-03 1
8 8 6 constant factor 1.122 +/- 0.1508 2
9 2 7 wabs nH 10^22 0.4185 = par 2 2
10 3 8 powerlaw PhoIndex 4.994 = par 3 2
11 4 8 powerlaw norm 4.6652E-04 = par 4 2
12 5 9 wabs nH 10^22 2.242 = par 5 2
13 6 10 powerlaw PhoIndex 2.227 = par 6 2
14 7 10 powerlaw norm 2.4134E-04 = par 7 2
15 9 11 constant factor 1.001 +/- 0.2031 3
16 2 12 wabs nH 10^22 0.4185 = par 2 3
17 3 13 powerlaw PhoIndex 4.994 = par 3 3
18 4 13 powerlaw norm 4.6652E-04 = par 4 3
19 5 14 wabs nH 10^22 2.242 = par 5 3
20 6 15 powerlaw PhoIndex 2.227 = par 6 3
21 7 15 powerlaw norm 2.4134E-04 = par 7 3
22 10 16 constant factor 1.448 +/- 0.2266 4
23 2 17 wabs nH 10^22 0.4185 = par 2 4
24 3 18 powerlaw PhoIndex 4.994 = par 3 4
25 4 18 powerlaw norm 4.6652E-04 = par 4 4
26 5 19 wabs nH 10^22 2.242 = par 5 4
27 6 20 powerlaw PhoIndex 2.227 = par 6 4
28 7 20 powerlaw norm 2.4134E-04 = par 7 4
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Chi-Squared = 281.3474 using 266 PHA bins.
Reduced chi-squared = 1.094737 for 257 degrees of freedom
Null hypothesis probability = 0.142
!XSPEC> notice 1-4:5.0-7.5;
A total of 27 more channels will be noticed
Net count rate (cts/s) for file 1 1.8678E-02+/- 2.1541E-03( 30.5% total)
using response (RMF) file... 75031000_sis0.rmf
using auxiliary (ARF) file... 75031000_sis0.arf
using background file... 75031000_sis0_bgd.pha
Net count rate (cts/s) for file 2 1.7073E-02+/- 1.7378E-03( 35.6% total)
using response (RMF) file... 75031000_sis1.rmf
using auxiliary (ARF) file... 75031000_sis1.arf
using background file... 75031000_sis1_bgd.pha
Net count rate (cts/s) for file 3 8.7310E-03+/- 1.3477E-03( 18.6% total)
using response (RMF) file... 75031000_gis2.rmf
using auxiliary (ARF) file... 75031000_gis2.arf
using background file... 75031000_gis2_bgd.pha
Net count rate (cts/s) for file 4 1.4883E-02+/- 1.4419E-03( 27.0% total)
using response (RMF) file... 75031000_gis3.rmf
using auxiliary (ARF) file... 75031000_gis3.arf
using background file... 75031000_gis3_bgd.pha
Chi-Squared = 313.2776 using 293 PHA bins.
Reduced chi-squared = 1.103090 for 284 degrees of freedom
Null hypothesis probability = 0.112
!XSPEC> ignore bad;
Chi-Squared = 313.2776 using 293 PHA bins.
Reduced chi-squared = 1.103090 for 284 degrees of freedom
Null hypothesis probability = 0.112
!XSPEC> save all 75031000_2plfit;
!XSPEC> open fit_result_flux.dat w
!XSPEC> set fileid [open fit_result_flux.dat w];
!XSPEC> flux 0.5 2.0
Model flux 2.1737E-04 photons ( 3.2281E-13 ergs)cm**-2 s**-1 ( 0.500- 2.000) DtSet : 1
Model flux 2.4381E-04 photons ( 3.6208E-13 ergs)cm**-2 s**-1 ( 0.500- 2.000) DtSet : 2
Lower range 0.500 reset by matrix bound to 0.564
Model flux 1.8782E-04 photons ( 2.9827E-13 ergs)cm**-2 s**-1 ( 0.564- 2.000) DtSet : 3
Lower range 0.500 reset by matrix bound to 0.564
Model flux 2.7189E-04 photons ( 4.3177E-13 ergs)cm**-2 s**-1 ( 0.564- 2.000) DtSet : 4
!XSPEC> set flux1 [flux 0.5 2.0];
!XSPEC> flux 2.0 10.0
Model flux 5.9326E-05 photons ( 3.8668E-13 ergs)cm**-2 s**-1 ( 2.000- 10.000) DtSet : 1
Model flux 6.6543E-05 photons ( 4.3373E-13 ergs)cm**-2 s**-1 ( 2.000- 10.000) DtSet : 2
Model flux 5.9360E-05 photons ( 3.8690E-13 ergs)cm**-2 s**-1 ( 2.000- 10.000) DtSet : 3
Model flux 8.5929E-05 photons ( 5.6007E-13 ergs)cm**-2 s**-1 ( 2.000- 10.000) DtSet : 4
!XSPEC> set flux2 [flux 2.0 10.0];
!XSPEC> lindex $flux1 1
!XSPEC> set s0_flux1 [lindex $flux1 1];
!XSPEC> lindex $flux2 1
!XSPEC> set s0_flux2 [lindex $flux2 1];
!XSPEC> puts $fileid "$s0_flux1 $s0_flux2";
!XSPEC> close $fileid;
!XSPEC> tclout param 2;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par2 [string trim $xspec_tclout];
!XSPEC> tclout param 3;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par3 [string trim $xspec_tclout];
!XSPEC> tclout param 4;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par4 [string trim $xspec_tclout];
!XSPEC> tclout param 5;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par5 [string trim $xspec_tclout];
!XSPEC> tclout param 6;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par6 [string trim $xspec_tclout];
!XSPEC> tclout param 7;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par7 [string trim $xspec_tclout];
!XSPEC> tclout dof;
!XSPEC> string trim $xspec_tclout
!XSPEC> set par8 [string trim $xspec_tclout];
!XSPEC> regsub -all { +} $par2 { } cpar2;
!XSPEC> split $cpar2
!XSPEC> set lpar2 [split $cpar2];
!XSPEC> regsub -all { +} $par3 { } cpar3;
!XSPEC> split $cpar3
!XSPEC> set lpar3 [split $cpar3];
!XSPEC> regsub -all { +} $par4 { } cpar4;
!XSPEC> split $cpar4
!XSPEC> set lpar4 [split $cpar4];
!XSPEC> regsub -all { +} $par5 { } cpar5;
!XSPEC> split $cpar5
!XSPEC> set lpar5 [split $cpar5];
!XSPEC> regsub -all { +} $par6 { } cpar6;
!XSPEC> split $cpar6
!XSPEC> set lpar6 [split $cpar6];
!XSPEC> regsub -all { +} $par7 { } cpar7;
!XSPEC> split $cpar7
!XSPEC> set lpar7 [split $cpar7];
!XSPEC> regsub -all { +} $par8 { } cpar8;
!XSPEC> split $cpar8
!XSPEC> set lpar8 [split $cpar8];
!XSPEC> lindex $lpar2 0
!XSPEC> set nhs [lindex $lpar2 0];
!XSPEC> lindex $lpar3 0
!XSPEC> set gs [lindex $lpar3 0];
!XSPEC> lindex $lpar4 0
!XSPEC> set norms [lindex $lpar4 0];
!XSPEC> lindex $lpar5 0
!XSPEC> set nhh [lindex $lpar5 0];
!XSPEC> lindex $lpar6 0
!XSPEC> set gh [lindex $lpar6 0];
!XSPEC> lindex $lpar7 0
!XSPEC> set normh [lindex $lpar7 0];
!XSPEC> show fit
Chi-Squared = 313.2776 using 293 PHA bins.
Reduced chi-squared = 1.103090 for 284 degrees of freedom
Null hypothesis probability = 0.112
!XSPEC> set chisq [show fit];
!XSPEC> error max 15 4.61 2
Parameter Confidence Range ( 4.610)
Chi-Squared when model parameter 2= 0.4135
is 312.9472, which is < previous minimum 313.2776
(critical delta = 0.0100)
!XSPEC> set str [error max 15 4.61 2];
!XSPEC> lindex $str 0
!XSPEC> set nhs_lo [lindex $str 0];
!XSPEC> lindex $str 1
!XSPEC> set nhs_hi [lindex $str 1];
!XSPEC> expr ($nhs_hi - $nhs_lo)/2.0
XSPEC>exit
XSPEC: quit
gnt_infrm: ========================
gnt_infrm: End of procedure do_fits
gnt_infrm: ========================
Tue May 2 17:30:19 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_mosa
gnt_infrm: *************************
Tue May 2 17:30:19 EDT 2000
gnt_infrm: Creating the exposure corrected sky image and sky images...
[1] 3194
Executing: /usr/local/saord/bin.linux/SAOtng -title SAO050200165675031000 -xrm *cmapDir1:/usr/local/saord/Colormaps/ -xrm *port:-1 -xrm *geometry:+5+5 -xrm *errorlog:SAO050200165675031000_error.log
Warning: Cannot allocate colormap entry for "whitesmoke"
Warning: Cannot allocate colormap entry for "DarkSlateGray"
Warning: Cannot allocate colormap entry for "purple"
Warning: Cannot allocate colormap entry for "darkslategray"
Warning: Cannot allocate colormap entry for "#B2B2B2"
Warning: Cannot allocate colormap entry for "#D3B5B5"
Welcome to SAOtng 1.9.1
Setting current scaling limits: data
Setting current scale: linear
Resetting zoom factor: 2 centered at: 256.5,256.5
Setting current scale: log
gnt_infrm: Making sis0 detector image...
Received new filename '/tproc/nandra/processing/75031000/work/75031000_sis0_det.img'
No WCS information available for image '/tproc/nandra/processing/75031000/work/75031000_sis0_det.img'
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis0_det.img' complete!
Setting current scaling limits: data
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis0_det.img' complete!
Setting current scaling limits: user 1 5
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis0_det.img' complete!
Executing GIF creation command '(/usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' colormap display > /tmp/saotng.lut; /usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' display_data | /usr/local/saord/bin.linux/fits2gif -luts /tmp/saotng.lut > /tproc/nandra/processing/75031000/work/75031000_sis0.gif; echo "GIF file created!" | /usr/local/saord/bin.linux/xpaset SAO050200165675031000 message) &'
Destroying image '75031000_sis0_det.img-3203'
gnt_infrm: Making sis1 detector image...
Received new filename '/tproc/nandra/processing/75031000/work/75031000_sis1_det.img'
No WCS information available for image '/tproc/nandra/processing/75031000/work/75031000_sis1_det.img'
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis1_det.img' complete!
Setting current scaling limits: data
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis1_det.img' complete!
Setting current scaling limits: user 1 4
Display of image '/tproc/nandra/processing/75031000/work/75031000_sis1_det.img' complete!
Executing GIF creation command '(/usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' colormap display > /tmp/saotng.lut; /usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' display_data | /usr/local/saord/bin.linux/fits2gif -luts /tmp/saotng.lut > /tproc/nandra/processing/75031000/work/75031000_sis1.gif; echo "GIF file created!" | /usr/local/saord/bin.linux/xpaset SAO050200165675031000 message) &'
Destroying image '75031000_sis1_det.img-3203'
gnt_infrm: Making gis2 detector image...
Received new filename '/tproc/nandra/processing/75031000/work/75031000_gis2_det.img'
No WCS information available for image '/tproc/nandra/processing/75031000/work/75031000_gis2_det.img'
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis2_det.img' complete!
Setting current scaling limits: data
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis2_det.img' complete!
Setting current scaling limits: user 1 7
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis2_det.img' complete!
Executing GIF creation command '(/usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' colormap display > /tmp/saotng.lut; /usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' display_data | /usr/local/saord/bin.linux/fits2gif -luts /tmp/saotng.lut > /tproc/nandra/processing/75031000/work/75031000_gis2.gif; echo "GIF file created!" | /usr/local/saord/bin.linux/xpaset SAO050200165675031000 message) &'
Destroying image '75031000_gis2_det.img-3203'
gnt_infrm: Making gis3 detector image...
Received new filename '/tproc/nandra/processing/75031000/work/75031000_gis3_det.img'
No WCS information available for image '/tproc/nandra/processing/75031000/work/75031000_gis3_det.img'
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis3_det.img' complete!
Setting current scaling limits: data
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis3_det.img' complete!
Setting current scaling limits: user 1 9
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis3_det.img' complete!
Executing GIF creation command '(/usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' colormap display > /tmp/saotng.lut; /usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' display_data | /usr/local/saord/bin.linux/fits2gif -luts /tmp/saotng.lut > /tproc/nandra/processing/75031000/work/75031000_gis3.gif; echo "GIF file created!" | /usr/local/saord/bin.linux/xpaset SAO050200165675031000 message) &'
Destroying image '75031000_gis3_det.img-3203'
gnt_infrm: Adding images for the SIS...
gnt_infrm:adding and smoothing
gnt_infrm: Adding images for the GIS...
****** successfully exited ******
****** successfully exited ******
gnt_infrm: Making web page image with target marker...
Setting current colormap: Heat
Received new filename '/tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.img'
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.img' complete!
circle(187.9979d,14.4214d,10.0)
Setting current scaling limits: data
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.img' complete!
Setting current scaling limits: user 1 4.97637
Display of image '/tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.img' complete!
Executing GIF creation command '(/usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' colormap display > /tmp/saotng.lut; /usr/local/saord/bin.linux/xpaget 'SAO050200165675031000' display_data | /usr/local/saord/bin.linux/fits2gif -luts /tmp/saotng.lut > /tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.gif; echo "GIF file created!" | /usr/local/saord/bin.linux/xpaset SAO050200165675031000 message) &'
gnt_infrm: ========================
gnt_infrm: End of procedure do_mosa
gnt_infrm: ========================
Tue May 2 17:32:51 EDT 2000
[1] + Done /home/rosserv/nandra/tartarus/scripts3.2/do_kill ...
XPA$ERROR no 'xpaset' access points match template: 05_02_00.16:56
gnt_infrm: *************************
gnt_infrm: Running procedure do_html
gnt_infrm: *************************
Tue May 2 17:32:52 EDT 2000
gnt_infrm: Creating the web page for sequence 75031000...
gnt_infrm: Setting all variables...
spectrum
spectrum: /tproc/nandra/processing/75031000/work/web_pha.gif
lightcurve
lightcurve: /tproc/nandra/processing/75031000/work/75031000_sis_src_5760s.flc
sky image
sky image: /tproc/nandra/processing/75031000/work/75031000_gis_sky_sm.gif
countrate
countrate: 0.0354 0.0748 0.0261 0.0093 0.0260 0.0101
general info (.evt)
All done!
centroid
datamode
ccdmode
bitfix
spectral fit
gnt_warng(html): File fit_result_2pl.dat does not exist
warning
fatal
sds
name
object
version
gnt_infrm: Making veron.96 table...
gnt_infrm: Making images for the web page...
pha
flc
gnt_infrm: Creating the web page...
gnt_infrm: Creating the download web page...
gnt_infrm: Writing an entry into browse.table...
gnt_infrm: ========================
gnt_infrm: End of procedure do_html
gnt_infrm: ========================
Tue May 2 17:33:18 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_tran
gnt_infrm: *************************
Tue May 2 17:33:18 EDT 2000
gnt_infrm: Copying the files to the database (universe)...
gnt_infrm: Transferring web page files to html area...
(remove /www/tartarus/restricted/html/75031000)
(create /www/tartarus/restricted/html/75031000)
(set permissions)
75031000.html
75031000_gis_sky_sm.gif
75031000_flc.gif
75031000_pha.gif
75031000_sis0.gif
75031000_sis1.gif
75031000_gis2.gif
75031000_gis3.gif
veron96.txt
gnt_infrm: Tarring selected files...
75031000.tar ...
75031000_spectral.tar ...
gnt_infrm: Gzipping the tar files...
gnt_infrm: Transferring tar files to ftp area...
(remove /www/tartarus/restricted/ftp/75031000/*.tar)
gnt_infrm: Removing tar files, attitude file(s), raw exposure maps and raw sky images...
gnt_infrm: Gzipping all files in /tproc/nandra/processing/75031000/work/...
gnt_infrm: ========================
gnt_infrm: End of procedure do_tran
gnt_infrm: ========================
Tue May 2 17:35:01 EDT 2000
gnt_infrm: ========================
gnt_infrm: End of procedure do_proc
gnt_infrm: ========================
Tue May 2 17:35:01 EDT 2000
gnt_infrm: *************************
gnt_infrm: Running procedure do_rslt
gnt_infrm: *************************
Tue May 2 17:35:03 EDT 2000
gnt_infrm: Quality control procedure...
gnt_infrm: Finding warng/error/fatal messages...
down up up
gnt_infrm: Updating the web pages...
gnt_infrm: Updating sequence index...
gnt_infrm: Transferring web page and sum,log files...
rm: No match.
rm: No match.
| en |
converted_docs | 502575 | **Application Form**{width="1.3895833333333334in"
height="1.0729166666666667in"}
**Summer 2009**
**Goddard Space Flight Center's**
**New York City Research Initiative (NYCRI)**
**<http://education.gsfc.nasa.gov/nycri>**
**High School Intern Program**
**A Career Experience for High School Students**
**[The Program]{.underline}**
The Goddard Space Flight Center (GSFC) High School Intern Program (HIP)
engages high school students in 'real-time' applications of science,
technology, engineering and math (STEM) in a research-focused work
world.
The Summer 2009 HIP is designed to attract and motivate outstanding
young women and men to choose a summer career experience from which to
learn more about space exploration in general, and GSFC-specific areas
of earth science, space science, engineering, and technology. Clear
expectations and mentored research lead to valued results for the
students and NASA.
This summer intern program is for a minimum of six weeks and a maximum
of eight weeks at the NASA Goddard Institute for Space Studies (GISS-
112^th^ Street at Broadway, New York, NY) or at one of the following
NYCRI academic partners: The City College of New York, Hunter College,
LaGuardia Community College, Medgar Evers College, Queensborough
Community College, New York City College of Technology, State University
of New York at Stony Brook, New Jersey Institute of Technology, Stevens
Institute of Technology, Dowling College, and Southern Connecticut State
University. Students learn and apply research protocols and processes to
a NASA research project. Some knowledge of computer applications is
essential for all placements. Participation in HIP will provide students
with an increased understanding of the relevance of high school
requirements as preparation for STEM opportunities.
Evidence of a strong aptitude in academics and demonstrated interest in
STEM are primary considerations for selection. All applicants must
submit a completed 2009 NYCRI High School Intern Program Application
Form and meet the following eligibility criteria:
- Must be a U.S. citizen.
- Live (maintain permanent, year-round residence) within reasonable
commuting distance from an NYCRI academic partner or GISS.
- Have completed the sophomore year and be 16 years of age by June 29,
2009.
- Be able to provide demonstration of interest in science,
engineering, math or technology
- Have maintained a GPA equivalent of a B or higher in science and
math.
- Be available to participate Monday through Friday for the duration
of the Program.
- Be in a position to provide daily transportation to/from GSFC.
A HIP Selection Committee will conduct the selection process to fill the
small number of available positions. To be considered in this highly
competitive process, the completed Application Form ***must be
received*** at the address listed below and postmarked no later than
**March 1, 2009*.***
**[The Application]{.underline}**
***Note: You must use the current year's NYCRI High School Intern
Program application form. Previous year's forms [will not]{.underline}
be accepted. All completed information on the Application Form should be
typed or printed legibly in black ink.***
Use the following checklist to be certain that all requested information
has been completed. Make a copy of all information for your personal
records. Submit the original Application Form to the address indicated
below.
A completed HIP application package includes forms and documentation for
the following eight (8) areas:
> \_\_\_ Student Information Form
>
> \_\_\_ Student's Education Career Information
>
> \_\_\_ Educational transcript
>
> \_\_\_ Personal Essay (Maximum of 300 words)
>
> \_\_\_ Interest and Career Preferences
>
> \_\_\_ Computer Applications/Skills Inventory
>
> \_\_\_ Parental Consent Form
>
> \_\_\_ 2 Teacher Recommendations
**Special Instructions for submission of applications.**
1. **Materials must be sent by mail and postmarked no later than March
1, 2009.**
2. Applications will not be processed unless they are complete and all
materials have been received.
3. An incomplete application package *[will not]{.underline}* be
forwarded to the Selection Committee.
4. There are no provisions for accepting applications by fax or E-mail.
5. Applicants are usually notified of their selection status by the end
of March.
6. Assignments are made based upon the information provided in the
application.
7. You will be contacted to acknowledge receipt of the application
package.
8. Notification of selections usually is made in April, 2009.
9. If selected, you will receive an information packet confirming your
internship and providing instructions for any preparatory work need
to be completed and forms to be signed.
Questions related to the NYCRI High School Intern Program may be sent by
e-mail (please note High School Intern Program in the subject line) to:
<Frank.Scalzo-1@nasa.gov> or by phone at 212.678.6038.
Retain these instructions for your information and mail the completed
application package, including all required documentation to: **Frank
Scalzo, Ph.D.\
Education Programs Specialist\
NASA GSFC @ GISS, Room 788\
2880 Broadway at 112th Street\
New York, NY 10025**
**NYCRI <http://education.gsfc.nasa.gov/nycri>\
212-678-6038 (voice)**
**212-678-5622 (fax)\
**
**STUDENT INFORMATION FORM**
**Date Received \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date Notified of results
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**
**[student Information FORM]{.underline}**
***Note: All fields must be completed on this page. All information must
be typed or printed legibly using black ink.***
LAST NAME:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
First Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
M.I.:\_\_\_\_\_\_\_\_
Date of Birth: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ AGE(as
of 6/28): \_\_\_\_\_\_\_\_ GENDER: \_\_\_FEMALE \_\_\_MALE
HOME ADDRESS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
STREET CITY STATE ZIP
HOME PHONE NO: (\_\_\_\_\_\_\_\_) \_\_\_\_\_\_\_\_ -
\_\_\_\_\_\_\_\_\_\_\_\_\_\_ E-MAIL ADDRESS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
U.S. CITIZEN? \_\_\_\_\_\_ YES \_\_\_\_\_\_ NO SOCIAL SECURITY NUMBER:
\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_\_\_\_\_\_
***Note: Completion of this section is optional. It is useful for
demographic information.***
Ethnic Group (Check one that best applies)
\_\_\_\_ Black or African American \_\_\_\_ Asian (Not Pacific Islander)
\_\_\_ Native Hawaiian
\_\_\_\_ Caucasian (Not Hispanic) \_\_\_\_ Hispanic or Latino \_\_\_
American Indian or Alaska Native
\_\_\_\_ Pacific Islander \_\_\_\_ Multiracial (Please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_ Other (Please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Do you have a disability? \_\_\_\_\_ Yes \_\_\_\_\_No If yes, list
special needs required to complete the internship.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**[Student's Education Career Information]{.underline}**
HIGH SCHOOL:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
SCHOOL SYSTEM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
SCHOOL ADDRESS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
STREET CITY STATE ZIP
GRADE LEVEL AS OF 2007-2008 ACADEMIC YEAR: \_\_\_\_\_\_ SOPHOMORE
\_\_\_\_\_\_ JUNIOR \_\_\_\_\_\_ SENIOR
CUMULATIVE GRADE POINT AVERAGE AS OF THE END OF THE 2008-2009 FIRST
SEMESTER ACADEMIC YEAR \_\_\_\_\_\_
NAME OF GUIDANCE OR CAREER
COUNSELOR\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
TELEPHONE NUMBER
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**[EDUCATIONAL TRANSCRIPT]{.underline}**
***Note: Include your current educational transcript in the application
package.***
Your transcript should include all high school courses with final grades
through the fall semester of the 2008-2009 academic year. Photocopies
are acceptable. If the transcript does not include 2008-2009 fall
semester final grades, include a copy of your current report card.
**[PERSONAL ESSAY]{.underline}**
Your personal essay is an opportunity to describe your career goals,
explain your special talents and skills, and tell why you wish to
participate in this program. Tell how you will share what you learn with
others. The essay must be typed on standard-sized paper (8 ½" x 11") and
be **signed and dated** by you, the applicant. The essay should have no
more than 300 words. Submit this essay as a part of the complete High
School Intern Program Application Package.
**[Interest and career Preferences]{.underline}**
***Note: The choices listed in this preference chart are areas highly
relevant to Goddard.***
Please rate each choice by using the numerical scale.
> **3** = Very strong interest
>
> **2** = Strong interest
>
> **1** = Some interest
>
> **0** = No desire to pursue
**[COMPUTER APPLICATIONS/SKILLS INVENTORY]{.underline}**
***Note: This information is not used as primary selection criteria, but
it is very helpful in choosing appropriate placements for selected
students.***
Use the definitions below to rate your computer applications/skill level
within the categories listed including specific software you have used.
You may add other relevant software experience in the extra spaces.
+---------+------------------------------------------------------------+
| **a | **Definitions** |
| PPLICAT | |
| IONs/** | |
| | |
| **Skill | |
| Level** | |
+---------+------------------------------------------------------------+
| **4** | Am very experienced with the software's basic, |
| | intermediate, and advanced features. Have completed many |
| | varied assignments and projects using the advanced |
| | features of this software and am able to instruct others. |
+---------+------------------------------------------------------------+
| **3** | have mastered all the basic and intermediate functions. |
| | Have completed several assignments and projects of varied |
| | types using the software and am able to instruct others |
| | about basic and intermediate software features. |
+---------+------------------------------------------------------------+
| **2** | Am familiar with basic features as well as some |
| | intermediate features. Have completed assignments using |
| | the software and am able to instruct beginners about |
| | software basics. |
+---------+------------------------------------------------------------+
| **1** | Am familiar with basic features only. |
+---------+------------------------------------------------------------+
| **0** | Have not used this type of software. |
+---------+------------------------------------------------------------+
+-----------------------+---------+-----------------------+-----------+
| **Software** | * | **Software** | **Expe |
| | *Experi | | rience/** |
| | ence/** | | |
| | | | **Skill |
| | **Skill | | Level** |
| | Level** | | |
+-----------------------+---------+-----------------------+-----------+
| **Operating Systems** | | **Desktop | |
| | | Publishing/WebPage | |
| | | Design** | |
+-----------------------+---------+-----------------------+-----------+
| Windows (*Version* | | MS Front Page | |
| \_\_\_\_\_\_\_\_\_): | | | |
+-----------------------+---------+-----------------------+-----------+
| MAC (*Version* | | GoLive | |
| \_\_\_\_\_\_\_\_\_): | | | |
+-----------------------+---------+-----------------------+-----------+
| Linux | | HTML | |
+-----------------------+---------+-----------------------+-----------+
| Unix | | XML | |
+-----------------------+---------+-----------------------+-----------+
| | | Dreamweaver | |
+-----------------------+---------+-----------------------+-----------+
| **Word Processing** | | **Computer Graphics** | |
+-----------------------+---------+-----------------------+-----------+
| MS Word | | Adobe PhotoShop | |
+-----------------------+---------+-----------------------+-----------+
| WordPerfect | | Adobe Illustrator | |
+-----------------------+---------+-----------------------+-----------+
| Other: | | Corel Draw | |
+-----------------------+---------+-----------------------+-----------+
| **Spreadsheets** | | InDesign | |
+-----------------------+---------+-----------------------+-----------+
| MS Excel | | | |
+-----------------------+---------+-----------------------+-----------+
| | | | |
+-----------------------+---------+-----------------------+-----------+
| | | **Programming | |
| | | Languages** | |
+-----------------------+---------+-----------------------+-----------+
| **Data Bases** | | C++ | |
+-----------------------+---------+-----------------------+-----------+
| MS Access | | JAVA | |
+-----------------------+---------+-----------------------+-----------+
| MySQL | | JAVAScript | |
+-----------------------+---------+-----------------------+-----------+
| FileMaker | | Visual Basic | |
+-----------------------+---------+-----------------------+-----------+
| **Internet Browsers** | | | |
+-----------------------+---------+-----------------------+-----------+
| MS Internet Explorer | | | |
+-----------------------+---------+-----------------------+-----------+
| Netscape | | | |
+-----------------------+---------+-----------------------+-----------+
| | | | |
+-----------------------+---------+-----------------------+-----------+
| **Presentation** | | | |
+-----------------------+---------+-----------------------+-----------+
| MS PowerPoint | | | |
+-----------------------+---------+-----------------------+-----------+
**Student, read the following statement carefully. Your signature
indicates agreement and acceptance of all provisions and the type of
internship for which you are applying.**
I hereby certify by my signature below that I understand and agree that
any misrepresentation or inaccurate information on my application form
or any other submitted materials will be cause for my disqualification
from consideration and participation in the Goddard High School Intern
Program. I also understand that if selected to participate, I must
participate for the full duration of the Program within the dates
specified. I understand that failure to do so may result in the
immediate termination of my internship.
Student's Signature
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Student's Name Printed
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**[PARENTAL CONSENT FORM]{.underline}**
*Note: Parent(s) or the student's legal guardian(s) are asked to read
and sign this form.*
***Parent(s), please read the following statements carefully. Your
signature indicates your agreement with these provisions and gives your
permission for your student's participation.***
- I hereby grant my permission for teachers (selected by my
son/daughter) to complete the recommendation forms to be submitted
as a part of the complete application package for the Goddard High
School Intern Program -- Summer 2009. I understand that the
recommendations may be used in the selection process.
- I grant my permission for school officials to provide a current
educational transcript and understand that the transcript may be
used in the selection process.
- I am aware that this is a highly competitive program with only a few
students receiving selection. If selected, I understand that my
son/daughter will be offered the opportunity to participate in this
program**. If the offer is accepted, my son/daughter agrees to
participate for the duration of the program.**
- I understand that my son/daughter will be responsible for his/her
own transportation to and from GISS or an NYCRI academic partner
campus.
- I have reviewed and concur with the information provided by my
son/daughter in completing the application materials and will attest
to its accuracy and truthfulness.
> Parent's
> Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Parent's Printed
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Mailing
Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Home Phone \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Work Phone
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**Teacher Recommendation Form**
***Note: Two recommendations are required using the forms provided. The
recommendations must be from the applicant's teacher of science, math,
or computer science.***
+----------------+------+---+----+------------+---+--------------------+
| **Teacher | | | | | | |
| Re | | | | | | |
| commendation - | | | | | | |
| 1** | | | | | | |
| | | | | | | |
| **- Science, | | | | | | |
| Mathematics, | | | | | | |
| or Computer | | | | | | |
| Science -** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Teacher's | | | | | | |
| Name/Position | | | | | | |
| /Discipline:** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Name of | | | | | | |
| School:** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **How long | | | | | | |
| have you known | | | | | | |
| the student? | | | | | | |
| In what | | | | | | |
| capacity?** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Please rate | | | | | | |
| the student in | | | | | | |
| the following | | | | | | |
| areas.** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **1. Ability | | * | | | * | |
| to follow | | * | | | * | |
| rules and | | 2 | | | 3 | |
| directions** | | . | | | . | |
| | | A | | | L | |
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+----------------+------+---+----+------------+---+--------------------+
| **4. | | * | | | * | |
| Initiative/ | | * | | | * | |
| Independence** | | 5 | | | 6 | |
| | | . | | | . | |
| - Seeks | | A | | | O | |
| extra | | b | | | r | |
| tasks | | i | | | a | |
| | | l | | | l | |
| - Prepares | | i | | | c | |
| assigned | | t | | | o | |
| tasks | | y | | | m | |
| | | t | | | m | |
| - Needs | | o | | | u | |
| occasional | | w | | | n | |
| reminders | | o | | | i | |
| | | r | | | c | |
| - Needs | | k | | | a | |
| constant | | w | | | t | |
| reminding | | e | | | i | |
| | | l | | | o | |
| ```{=html} | | l | | | n | |
| <!-- --> | | w | | | s | |
| ``` | | i | | | k | |
| - Seldom | | t | | | i | |
| shows | | h | | | l | |
| initiative | | o | | | l | |
| | | t | | | s | |
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| | | w | | | | |
| | | e | | | | |
| | | l | | | | |
| | | l | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **7. Written | **8. | | | **9. | | **10. Maturity** |
| C | L | | | Mo | | |
| ommunication** | evel | | | tivation** | | - Always |
| | of | | | | | exhibits |
| - Excellent | in | | | - Highly | | maturity |
| writing | tere | | | self | | |
| skills | st** | | | -motivated | | - Sometimes |
| | | | | | | exhibits |
| - Good | - | | | - | | maturity |
| writing | Exhi | | | Sometimes | | |
| skills | bits | | | | | - Seldom |
| | | | | motivated | | exhibits |
| - Average | high | | | | | maturity |
| writing | | | | - Seldom | | |
| skills | inte | | | | | - Immature |
| | rest | | | motivated | | |
| - Poor | | | | | | |
| writing | - | | | - Lacks | | |
| skills | O | | | | | |
| | ften | | | motivation | | |
| | | | | | | |
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| | | | | | | |
| | - | | | | | |
| | L | | | | | |
| | acks | | | | | |
| | | | | | | |
| | inte | | | | | |
| | rest | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Identify the | | | | | | |
| strengths and | | | | | | |
| skills that | | | | | | |
| will most | | | | | | |
| promote this | | | | | | |
| student's | | | | | | |
| success in our | | | | | | |
| Program: | | | | | | |
| (check all | | | | | | |
| that apply)** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| - Oral | | | | - Time | | |
| | | | | | | |
| Communication | | | | Management | | |
| | | | | | | |
| - Leadership | | | | - Int | | |
| Skills | | | | erpersonal | | |
| | | | | Skills | | |
| - Written | | | | | | |
| | | | | - | | |
| Communication | | | | Research | | |
| | | | | | | |
| - Career | | | | Technique | | |
| Awareness | | | | | | |
| | | | | - | | |
| | | | | Computer/ | | |
| | | | | Technology | | |
+----------------+------+---+----+------------+---+--------------------+
| **[Overall | | * | | | | |
| Recommendation | | * | | | | |
| for the | | T | | | | |
| Program] | | e | | | | |
| {.underline}** | | a | | | | |
| | | c | | | | |
| - Very | | h | | | | |
| Highly | | e | | | | |
| | | r | | | | |
| Recommended | | C | | | | |
| (top 5%) | | o | | | | |
| | | m | | | | |
| - Highly | | m | | | | |
| | | e | | | | |
| Recommended | | n | | | | |
| (top 10%) | | t | | | | |
| | | s | | | | |
| - | | * | | | | |
| Recommended | | * | | | | |
| | | : | | | | |
| - | | | | | | |
| Recommended | | | | | | |
| with | | | | | | |
| | | | | | | |
| reservations | | | | | | |
| | | | | | | |
| - Not | | | | | | |
| | | | | | | |
| Recommended | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| Signature: | | | | | | Date: |
| \_\_\_\_ | | | | | | \_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | \_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | \_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| May we contact | - | | T | | | E-mail: |
| you for | Yes | | el | | | |
| additional | | | ep | | | \_\_ |
| information? | - | | ho | | | \_\_\_\_\_\_\_\_\_ |
| | No | | ne | | | \_\_\_\_\_\_\_\_\_ |
| | | | N | | | \_\_\_\_\_\_\_\_\_ |
| | | | o. | | | |
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| | | | \_ | | | |
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+----------------+------+---+----+------------+---+--------------------+
| ***This form | | | | | | |
| should be | | | | | | |
| returned as | | | | | | |
| part of the | | | | | | |
| student's | | | | | | |
| application | | | | | | |
| package*** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
**Teacher Recommendation Form**
*Note: Two recommendations are required using the forms provided. The
recommendations must be from the applicant's teacher of science, math,
or computer science.*
+----------------+------+---+----+------------+---+--------------------+
| **Teacher | | | | | | |
| Re | | | | | | |
| commendation - | | | | | | |
| 2** | | | | | | |
| | | | | | | |
| **- Science, | | | | | | |
| Mathematics, | | | | | | |
| or Computer | | | | | | |
| Science -** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Teacher's | | | | | | |
| Name/Position | | | | | | |
| /Discipline:** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Name of | | | | | | |
| School:** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **How long | | | | | | |
| have you known | | | | | | |
| the student? | | | | | | |
| In what | | | | | | |
| capacity?** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Please rate | | | | | | |
| the student in | | | | | | |
| the following | | | | | | |
| areas.** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **1. Ability | | * | | | * | |
| to follow | | * | | | * | |
| rules and | | 2 | | | 3 | |
| directions** | | . | | | . | |
| | | A | | | L | |
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+----------------+------+---+----+------------+---+--------------------+
| **4. | | * | | | * | |
| Initiative/ | | * | | | * | |
| Independence** | | 5 | | | 6 | |
| | | . | | | . | |
| - Seeks | | A | | | O | |
| extra | | b | | | r | |
| tasks | | i | | | a | |
| | | l | | | l | |
| - Prepares | | i | | | c | |
| assigned | | t | | | o | |
| tasks | | y | | | m | |
| | | t | | | m | |
| - Needs | | o | | | u | |
| occasional | | w | | | n | |
| reminders | | o | | | i | |
| | | r | | | c | |
| - Needs | | k | | | a | |
| constant | | w | | | t | |
| reminding | | e | | | i | |
| | | l | | | o | |
| ```{=html} | | l | | | n | |
| <!-- --> | | w | | | s | |
| ``` | | i | | | k | |
| - Seldom | | t | | | i | |
| shows | | h | | | l | |
| initiative | | o | | | l | |
| | | t | | | s | |
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+----------------+------+---+----+------------+---+--------------------+
| **7. Written | **8. | | | **9. | | **10. Maturity** |
| C | L | | | Mo | | |
| ommunication** | evel | | | tivation** | | - Always |
| | of | | | | | exhibits |
| - Excellent | in | | | - Highly | | maturity |
| writing | tere | | | self | | |
| skills | st** | | | -motivated | | - Sometimes |
| | | | | | | exhibits |
| - Good | - | | | - | | maturity |
| writing | Exhi | | | Sometimes | | |
| skills | bits | | | | | - Seldom |
| | | | | motivated | | exhibits |
| - Average | high | | | | | maturity |
| writing | | | | - Seldom | | |
| skills | inte | | | | | - Immature |
| | rest | | | motivated | | |
| - Poor | | | | | | |
| writing | - | | | - Lacks | | |
| skills | O | | | | | |
| | ften | | | motivation | | |
| | | | | | | |
| | in | | | | | |
| | tere | | | | | |
| | sted | | | | | |
| | | | | | | |
| | - | | | | | |
| | Se | | | | | |
| | ldom | | | | | |
| | | | | | | |
| | in | | | | | |
| | tere | | | | | |
| | sted | | | | | |
| | | | | | | |
| | - | | | | | |
| | L | | | | | |
| | acks | | | | | |
| | | | | | | |
| | inte | | | | | |
| | rest | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| **Identify the | | | | | | |
| strengths and | | | | | | |
| skills that | | | | | | |
| will most | | | | | | |
| promote this | | | | | | |
| student's | | | | | | |
| success in our | | | | | | |
| Program: | | | | | | |
| (check all | | | | | | |
| that apply)** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| - Oral | | | | - Time | | |
| | | | | | | |
| Communication | | | | Management | | |
| | | | | | | |
| - Leadership | | | | - Int | | |
| Skills | | | | erpersonal | | |
| | | | | Skills | | |
| - Written | | | | | | |
| | | | | - | | |
| Communication | | | | Research | | |
| | | | | | | |
| - Career | | | | Technique | | |
| Awareness | | | | | | |
| | | | | - | | |
| | | | | Computer/ | | |
| | | | | Technology | | |
+----------------+------+---+----+------------+---+--------------------+
| **[Overall | | * | | | | |
| Recommendation | | * | | | | |
| for the | | T | | | | |
| Program] | | e | | | | |
| {.underline}** | | a | | | | |
| | | c | | | | |
| - Very | | h | | | | |
| Highly | | e | | | | |
| | | r | | | | |
| Recommended | | C | | | | |
| (top 5%) | | o | | | | |
| | | m | | | | |
| - Highly | | m | | | | |
| | | e | | | | |
| Recommended | | n | | | | |
| (top 10%) | | t | | | | |
| | | s | | | | |
| - | | * | | | | |
| Recommended | | * | | | | |
| | | : | | | | |
| - | | | | | | |
| Recommended | | | | | | |
| with | | | | | | |
| | | | | | | |
| reservations | | | | | | |
| | | | | | | |
| - Not | | | | | | |
| | | | | | | |
| Recommended | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| Signature: | | | | | | Date: |
| \_\_\_\_ | | | | | | \_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | \_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | \_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
| \_\_\_\_\_\_\_ | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| May we contact | - | | T | | | E-mail: |
| you for | Yes | | el | | | |
| additional | | | ep | | | \_\ |
| information? | - | | ho | | | _\_\_\_\_\_\_\_\_\ |
| | No | | ne | | | _\_\_\_\_\_\_\_\_\ |
| | | | N | | | _\_\_\_\_\_\_\_\_l |
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| | | | \_ | | | |
| | | | \_ | | | |
| | | | \_ | | | |
| | | | \_ | | | |
| | | | \_ | | | |
+----------------+------+---+----+------------+---+--------------------+
| ***This form | | | | | | |
| should be | | | | | | |
| returned as | | | | | | |
| part of the | | | | | | |
| student's | | | | | | |
| application | | | | | | |
| package*** | | | | | | |
+----------------+------+---+----+------------+---+--------------------+
| en |
converted_docs | 266127 | **Security Descriptor Framework**
1. **Overview**
Security descriptors in the toolkit have schemas defined for them and
each of them (container, service, resource and client) has an
independent namespace. If a security descriptor file is configured at
the container or service level, they are initialized at container start
up and service initialization respectively.
The descriptors are validated against the schema and then parsed using
Apache Commons Digester. A Java object representation of the descriptor
is created.
A single ContainerSecurityDescriptor object is created per JVM and
contains all security properties for the container. This poses issues
when multiple notification consumers are started up in same JVM with
different security properties.
If a service is configured with security descriptor file, a
ServiceSecurityDescriptor object is created for it and stored using
JNDI. It is keyed on the service name (just the name of service without
wsrf/services.) and ServiceSecurityHelper API can be used to set and
retrieve security properties for a particular service.
To set up security in a resource, ResourceSecurityDescriptor is used and
the security properties can also be read from a descriptor file. The
resource security descriptor is stored in the resource itself.
2. **Configuring descriptors**
1. Container Security Descriptor
1. In global security descriptor section
> \<parameter name="containerSecDesc"
> value="path/container/descriptor"/\>
2. Command line argument at container start up
> -containerSecDesc "path/container/descriptor"
2. Service Security Descriptor
1. In service security descriptor section
> \<parameter name="securityDescriptor"
> value="path/service/descriptor"/\>
2. Programmatically, using get/set methods.
> ServiceSecurityDescriptor descriptor = new
> ServiceSecurityDescriptor();
>
> // use set methods to set properties
>
> ServiceSecurityHelper.setSecurityDescriptor("servicePath",
> descriptor);
3. Programmatically, but from file
> ServiceSecurityDescriptor descriptor =
>
> new ServiceSecurityDescriptor("servicePath",
>
> "path/service/descriptor");
3. Resource Security Descriptor
1. Programmatically, from file
> ResourceSecurityDescriptor desc =
>
> new ResourceSecurityDescriptor("/path/resource/descriptor");
2. Programatically, using get/set methods.
> ResourceSecurityDescriptor desc =
>
> new ResourceSecurityDescriptor();
>
> // use set methods to set properties
3. **Security Descriptor Namespaces**
> Since validation is done, each security descriptor is defined with its
> own namespace
- Container security descriptor:
<http://www.globus.org/security/descriptor/container>
- Service security descriptor:
<http://www.globus.org/security/descriptor/service>
- Resource security descriptor:
http://www.globus.org/security/descriptor/service
4. **Configuration Common to Container, Service and Resource
descriptor**
1. Reject Limited Proxy: This property determines if limited
proxies are accepted by the server. By default limited proxies
are accepted.
> \<reject-limited-proxy value="true"/\>
2. Credentials: This property can be used to configure a proxy or
certificate/key file to use.
> To set proxy file:
>
> \<credential\>
>
> \<proxy-file value="/tmp/proxyFile"/\>
>
> \</credential\>
>
> To set certificate and key file:
>
> \<credential\>
>
> \<cert-key-files\>
>
> \<key-file value="/home/user1/keyFile"/\>
>
> \<cert-file value="/home/user1/certFile"/\>
>
> \</cert-key-files\>
>
> \</credential\>
3. Replay Attack Filter: Property determines whether a reply attack
filter should be used when Secure Message security is used. By
default the value is true.
> \<replay-attack-filter value="false"/\>
4. Replay Attack Window: Value of the replay window in minutes. If
configured value is x minutes, the window is --x to +x and only
unique messages with in that window is accepted. By default the
window is set to 5 minutes.
> \<replay-attack-window value="10"/\>
5. Authorization: Specifies the authorization chain configuration to
use. Each chain can contain an optional list of Bootstrap PIPs, an
optional list of PIPs and a list of PDPs (with atleast one PDP).
> The Bootstrap PIP configuration allows for setting a boolean attribute
> called 'overwrite". If this is set to true, then the X509BootstrapPIP
> is not invoked by the framework. If the "overwrite" attribute is not
> set or set to false, the X509BootstrapPIP is invoked prior to invoking
> the configured Bootstrap PIPs.
>
> \<authzChain combiningAlg="org.globus.sample.SampleAlg\>
>
> \<bootstrapPips overwrite="true"\>
>
> \<interceptor name="scope1:org.globus.sample.BootstrapPIP1"/\>
>
> \</bootstrapPips\>
>
> \<pips\>
>
> \<interceptor name="scope2:org.globus.sample.PIP1"/\>
>
> \</pips\>
>
> \<pdps\>
>
> \<interceptor name="scope3:org.globus.sample.PDP1"/\>
>
> \<interceptor name="scope4:org.globus.sample.PDP2"/\>
>
> \</pdps\>
>
> \</authzChain\>
Each interceptor can specify a parameter value and the schema defines it
as xsd:any to allow for any user defined parameters. The parser extracts
the elements in \<parameter\> element and returns them as DOM Element.
It is left up to the Interceptor to parse the Element. The DOM object
created is placed in the ChainConfig object passed to the authorization
engine as a parameter called "parameterObject". The prefix will be the
scope specified in the interceptor name.
> Since schema validation is done, a schema must be supplied for the
> user defined parameters. The schema location is loaded as a resource
> and hence can be included in some jar placed in GLOBUS_LOCATION lib
> directory.
>
> For example, the toolkit provides for a schema that allows a list of
> name value pairs as parameter.
>
> \<?xml version=\"1.0\" encoding=\"UTF-8\"?\>
>
> \<containerSecurityConfig
> xmlns=\"http://www.globus.org/security/descriptor/container\"
> xmlns:xsi=\"http://www.w3.org/2001/XMLSchema-instance\"
> xsi:schemaLocation=[http://www.globus.org/security/descriptor
> name_value_type.xsd](http://www.globus.org/security/descriptor name_value_type.xsd)
>
> xmlns:param=\"http://www.globus.org/security/descriptor\" \>
>
> \<authzChain\>
>
> \<pdps\>
>
> \<interceptor
> name=\"gridmapAuthz:org.globus.wsrf.impl.security.GridMapAuthorization\"\>
>
> \<parameter\>
>
> \<param:nameValueParam\>
>
> \<param:parameter name=\"gridmap-file\"
>
> value="/home/user1/grid-mapfile\"/\>
>
> \</param:nameValueParam\>
>
> \</parameter\>
>
> \</interceptor\>
>
> \</pdps\>
>
> \</containerSecurityConfig\>
>
> When the above is parsed, a DOM Element is constructed with element
> \<param:nameValuParam\> and stored in the ChainConfig object as
> parameter with name "gridmapAuthz:parameterObject". The
> GridMapAuthorization PDP, uses ObjectDeserializer to retrieve the
> name/value pairs.
6. Context Lifetime: Sets the lifetime of the context created when GSI
Secure Conversation is used. By default the lifetime of the
credential used to create the context is used.
> \<context-lifetime value="1000"/\>
5. **Container Descriptor Specific Configuration**
1. Trusted Certificates: This is used to set up location of trusted
certificates to be used. The value should be a comma separated
list of locations.
> \<trusted-certificates
>
> value="/home/user1/trustedCerts /home/user1/newCerts"/\>
2. Admin Authorization Chain: This configured the administrator
authorization chain and is configured just like the authorization
chain described in 8.3.5. But the element is \<adminAuthzChain\>
3. Default Authorization Parameters: This element is used to configure
default properties for any interceptor configured in authorization
chains. The schema for this is similar to the authorization chain
specification and allows for xsd:any as interceptor parameter.
> \<defaultAuthzParam\>
>
> \<interceptor name="scope1:org.globus.sample.SamplePDP"/\>
>
> \<parameter\>
>
> \<param:nameValueParam\>
>
> \<param:parameter name=\"policy-file\"
>
> value="/home/user1/samplePDPConfig\"/\>
>
> \</param:nameValueParam\>
>
> \</parameter\>
>
> \</interceptor\>
>
> \</defaultAuthzParam\>
4. Replay Timer Interval: Sets the interval on the timer thread that
collects expired message digest ids, stored to prevent replay
attack. The value is set in seconds and the default value is 1
minute.
> \<replay-timer-interval value="1000"/\>
5. Context Timer Interval: Sets the interval on the timer thread that
collects expired contexts established when GSI Secure Conversation
is used. The value is the number of seconds between each run and
defaults to 10minutes.
> \<context-timer-interval value="1000"/\>
6. **Service/Resource Descriptor Specific Configuration**
1. Method Authentication: This element allows for per method
configuration of required security mechanism
> \<methodAuthenticaiton\>
>
> \<method name="add"\>
>
> \<GSISecureMessage\>
>
> \<protection-level\>
>
> \<privacy/\>
>
> \<integrity/\>
>
> \</protection\>
>
> \</GSISecureMessage\>
>
> \<GSISecureTransport/\>
>
> \</method\>
>
> \<method name="create"\>
>
> \<GSISecureConversation/\>
>
> \</method\>
2. Default Authentication: This element specifies the default security
mechanism required by methods in this service. A per method
configuration override this.
> \<auth-method\>
>
> \<GSISecureTransport/\>
>
> \</auth-method\>
3. Method Run As: This element determines the credentials to associate
with the thread in which the actual operation is invoked. By default
resource credentials are used.
> \<methodAuthentication\>
>
> \<method name="add"\>
>
> \<run-as value="service"/\>
>
> \</method\>
>
> \</methodAuthentication\>
4. Default Run As: This element determines the credentials to use when
a run-as configuration is not done for a method.
> \<run-as value="system"\>
7. **Descriptor Processing Details.**
1. Container Descriptor: If container security descriptor is
configured at start up on command line or in server-config.wsdd,
it is initialized when container is started. If not, the first
call to ContainerSecurityDescriptor.getInstance() creates an
object and a single instance of ContainerSecurityDescriptor
object is maintained per JVM.
1. Loading descriptor files: The configured file is loaded in
the following order:
- If path specified is absolute, it is loaded as a file
- If not, it is loaded as resource
- If load as resource is null, it is loaded relative to config
directory (retrieved using MC_CONFIGPATH)
> The initialization step sets up the following if container security
> configuration file is configured: credentials, container-levl
> authorization and default authorization, and trusted certificates. The
> rest of the parameters in the file are also parsed and stored.
> Credentials are loaded per configuration file and if not specified, an
> attempt is made to load default credentials. If it is a secure
> container, then default credentials must be present if none is
> specified in the configuration file, otherwise an error is thrown.
>
> Notification consumers can be configured with a
> ContainerSecurityDescriptor object to set up properties for the
> container it starts up. If the consumer is started up with in the same
> JVM as the container, the descriptor object is overwritten.
1. Service Descriptor: Each service can be configured with a descriptor
in its service descriptor section in sever-config.wsdd. At container
startup, when the service is initialized, the service security
descriptor is also initialized using
ServiceSecurityHelper.initialize(). Initialization steps include the
following:
- Load descriptor from configured file. It is loaded as described in
Section 7.1.1
- Validate and parse it to create a ServiceSecurityDescriptor object.
- Load credential, if configured
- Create AuthorizationEngine instance, if configured. Initialize all
component PDPs and PIPs.
- Store ServiceSecurityDescriptor object in JNDI, with service name as
path. (just the service name without wsrf/services)
- Set initialized property for this service to true in JNDI, so that
the descriptor is not initialized each time service is access.
> The ServiceSecurityHelper provides API to get and set security
> properties for various services. The setSecurityDescriptor method
> allows to set a completely different security descriptor object, while
> the other methods manipulate the existing descriptor. Note that, if
> setSubject is used to set a new subject and credential paths are also
> configured, a refresh overwrites the subject with one that is
> configured as credential paths.
1. Resource Descriptor: Each resource, that implements the
SecureResource, interface can be configured with a resource security
descriptor. The descriptor can either be created programmatically or
loaded from a file. This descriptor is identical to the service
security descriptor and the ResourceSecurityDescriptor class defines
it.
> If the descriptor is setup from a file, then the constructed in
> ResourceSecurityDescriptor loads it from the file and initializes it
> like described in previous section. The descriptors are not stored in
> JNDI though and are stored in the resource itself.
>
> SecureResourcePropertiesHelper provides API to get and set security
> properties for various resources.
| en |
markdown | 326674 | # Presentation: 326674
## Lesson 1
**Taxpayer Identification Numbers and Exemptions**
**Notes:**
This lesson contains information for all courses and has been updated for tax year 2007.
References:
Form 1040, Form 1040A, and Form 1040EZ and applicable instructions
Form W-7 and Form W-7A, Application for Taxpayer Identification Number
Form SS-4, Application for Social Security Card
Form 2120, Multiple Support Declaration
Form 8332, Release of Claim of Exemption for Child of Divorced or Separated Parents
Publication 4012, Volunteer Resource Guide
Publication 17, Income Tax Guide for Individuals
Additional References:
Publication 501, Exemptions, Standard Deduction, and Filing Information
Publication 555, Community Property
Progress to the next slide.
## Objectives
- Explain the importance of the taxpayer identification number (TIN)
- Identify the three types of taxpayer identification numbers (TINs)
- Define the terms “personal’’ and “dependency’’ exemption
- Apply the dependency exemption
- tests for qualifying child/relative
**Notes:**
State the objectives and provide highlights of what will be discussed under each objective. For example:
Taxpayer Identification Numbers (TINs). All taxpayers and dependents on a return (Form 1040, 1040A, or Form 1040EZ) must have a taxpayer identification number. Returns that do not have TINs will incur processing delays.
Three types of TINs. State the three types of TINs,--SSN, ITIN, ATIN—that will be discussed.
Exemptions. Share the two types—personal and dependency—that will be discussed and explain that each allowable exemption reduces a taxpayer’s taxable income by $3,400 this year.
Dependency tests. Advise the students to make sure that they apply the rules for the dependency tests.
Show the students a completed Form 13614 in Publication 678 and discuss the information in the text.
Tell the students that worksheets are available to assist them in applying the dependency tax law.
Progress to the next slide.
## Form 13614–Intake and Interview Sheet: Part I
**Notes:**
Use Form 13614, Intake and Interview Sheet, to engage the taxpayer in preparing an accurate return.
Use the Intake Sheet as a starting point for comprehensive interaction with the taxpayer, in combination with all of the source documents provided by the taxpayer, to ensure quality and accuracy on each return.
Confirm each item on Form 13614 (or similar tool used at your site) to make sure you and the taxpayer have considered all of the necessary information to ensure that all of the questions and issues have been addressed. If items are incorrect or incomplete, revisit the issue and make corrections to the return, as needed.
Ensure the accurate reporting of the taxpayer’s information by confirming the name, date of birth, and taxpayer identification number. If filing a joint return, include the spouse’s information.
Refer students to Determination of Residency Status in the Volunteer Resource Guide, TAB A (Who Must File/Which Form to File) to determine if they should continue to assist the taxpayer or refer him or her to the site coordinator.
Students should understand that they should not try to assist nonresident alien taxpayers unless they have been trained and certified in preparing tax returns such as Form 8843, Form 1040NR, or Form 1040NR-EZ.
Progress to the next slide.
## Form 13614–Intake and Interview Sheet: Part II
**Notes:**
Ensure the accurate reporting of the taxpayer’s dependency information by completing columns (a) thru (g) for each person listed on the return as a dependent. A taxpayer’s return cannot be prepared without this information.
Progress to the next slide.
## Form 13614–Intake and Interview Sheet: Part III
**Notes:**
Probe to ensure that the taxpayer is entitled to claim the dependency exemption for individuals listed on the return.
Progress to the next slide.
## Taxpayer Identification Numbers
- The Taxpayer Will Need
- TINs – What Are They?
- TINs – Who Needs One?
- TINs – How to Obtain Them
**Notes:**
Read the PowerPoint slide and test the students’ knowledge by seeking their responses to the questions. For example:
The taxpayer will need. Restate the critical documents that taxpayers need to bring with them using Form 13614 in Publication 4012 or the text. Note: Using the form in Publication 4012 will make the students aware of where they can find the information at the tax preparation site.
TINs—What are they? Restate the three types of TINs.
TINs—Who needs one? Ask individual students when each type of TIN is required.
TINs—How to obtain them. Ask students which government agency issues SSNs and which agency issues ITINs and ATINs. Which forms are required to request ITINs and ATINs?
Teach from pages 1-2 and 1-3.
Emphasize the need for filing returns with correct TINs and the advantages of looking at the taxpayer’s actual documentation from the IRS and/or the Social Security Administration (SSA). For example, social security card(s) are from the SSA and ITIN/ATIN documents are from the IRS.
Discuss the Social Security Cards and Determining the Last Name of Taxpayer to Use in Tax Preparation Software chart in the Volunteer Resource Guide, TAB 1 (Starting TaxWise).
Progress to the next slide.
## Individual Taxpayer Identification Numbers
- Who Needs an ITIN?
- Assisting Taxpayers without an ITIN
- Assisting Taxpayers with an ITIN
**Notes:**
Teach from pages 1-4 and 1-5.
Test the students’ knowledge—ask them the purpose of the ITIN.
Discuss critical points on pages 1-4.
A tax return is required regardless of immigration status unless the taxpayer meets 1 of 4 exceptions (see Form W-7 or Form W-7SP).
Supporting documentation for an ITIN.
IRS is the source of ITINs.
Discuss critical points on page 1-5.
Do not electronically file returns that require an ITIN to be issued by the IRS.
You may assist the taxpayer with his or her return.
ITINs are nine-digit numbers with the fourth and fifth digits in the range of 70-89.
Temporary ITIN numbers are required for TaxWise.
ITIN acceptance agents.
Summarize by having students read the Alerts and Potential Pitfalls aloud on pages 1-2 through 1-4. You may provide additional insights.
Use the Potential Pitfall on page 1-5 to begin discussions on SSN/ITIN mismatches.
Progress to the next slide.
## Individual Taxpayer Identification Numbers
- SSN/ITIN Mismatches
- ITIN Resources for Volunteers
**Notes:**
Teach from page 1-6.
Read the slide.
Ask the students to name some of the reporting documents that contain SSN/ITIN information.
Discuss the SSN/ITIN mismatch information on page 1-6.
Emphasize that returns with SSN/ITIN mismatches can be filed electronically.
Discuss the Incorrect SSN/ITIN Usage Alert on page 1-6.
Ask the student to state the key messages in the narrative.
Provide insights into the resources available to the volunteers.
Progress to the next slide.
## Summing Up Taxpayer Identification Numbers
- Required Supporting Documentation
- TINs – SSNs, ATINs, ITINs
- ITIN/SSN Mismatches
- ITIN Support
**Notes:**
Summarize this topic by recapping critical points.
Refer to page 1-6.
Progress to the next slide.
## Exemptions
- Personal Exemptions
- Dependency Exemptions
- $3,400 each for Tax Year 2007
**Notes:**
Restate the objectives on page 1-1 as they relate to this topic:
Define the terms “personal” and “dependency” exemption.
Apply the tests to determine whether an individual can be claimed as a dependent on a taxpayer’s tax return.
Advise students that an exemption reduces the taxpayer’s taxable income and, for tax year 2007, each exemption is worth $3,400. You may refer to the phaseout for certain adjusted gross incomes (if you like).
Discuss the meaning of the Potential Pitfall on page 1-7.
Explain that this is one of the key areas where tax law is applied incorrectly.
Define the two types of exemptions—personal and dependency.
Progress to the next slide.
## Personal Exemptions
** **Taxpayer Exemption
- Exemption for a Spouse
** **
**Notes:**
Read the information on the slide.
Discuss personal exemptions in detail using the information in the text on pages 1-7 and 1-8.
Go over the interview tips for personal exemptions and ask the students if they have any questions. Refer to Interview Tips for the Personal Exemption chart in the Volunteer Resource Guide, TAB C (Personal Exemptions/Dependency). Key points:
Establish if the taxpayer was considered married on 12/31/2007.
State or local laws determine the validity of a marriage.
If the taxpayer’s spouse died during the year and the taxpayer did not remarry by 12/31/2007, the taxpayer can generally claim the deceased spouse’s personal exemption.
Progress to the next slide.
## Dependency Exemptions
- Qualifying Child
- Qualifying Relative
**Notes:**
Read the information on this slide and emphasize the following under each topic:
A dependent is either a qualifying child or qualifying relative.
Note: Obtain a copy of the latest Publication 501 or Publication 17 for additional information on this topic.
Inform students that a taxpayer’s spouse is never the taxpayer’s dependent (even if he or she has no income or does not provide family support).
Ask students how exemptions impact the taxpayer’s taxable income.
Progress to the next slide.
## Tax Year 2007 Dependency Tests
- Qualifying Child
- Tie-Breaker Rule
- Qualifying Relative
- The Dependent Worksheets
**Notes:**
Ask the students to refer to pages 1-8 through 1-10.
Note: All of the tests will be discussed in detail.
Introduce the Qualifying Child Dependency Tests on page 1-9 and the critical narrative points.
Discuss the tiebreaker rule.
Introduce the Qualifying Relative Dependency Tests on page 1-10, and the critical narrative points.
Introduce all three pages of Exhibits 1, 2, and 3 on pages 1-12 through 1-14.
Note: The “Definitions and Special Rules” are in alphabetical order.
Read the title of each step in the exhibits (especially Steps 1 and 4).
Point out that Step 3—Child Tax Credit will be discussed later in Lesson 6, Child Tax Credit.
Inform the students that the exhibits are drafts of the worksheets from Form 1040 instruction booklet. They should use the worksheets in the applicable Form 1040 or Form 1040A instruction booklet at the tax preparation site. Dependents are not claimed on Form 1040EZ.
Make sure to explain the significance of the words “AND” and “OR” used in the worksheet.
Progress to the next slide.
## Tax Year 2007 Dependency Test Qualifying Child
- Qualifying Child
- – Relationship Test
- – Age Test
- – Residence Test
- – Support Test
- - Special Test for Qualifying Child of More Than one Person
**Notes:**
Ask the students to look at Step 1 on page 1-12.
Show the students where each test for qualifying child is shown in Step 1.
Explain that support will be discussed in detail later.
Encourage students (especially returning students) to obtain a copy of Publication 501 for more details about the dependency tax law.
Fully discuss the meaning of each test (using the Definitions and Special Rules reference in the narrative of each test).
Note: You may teach from the Interview Tips instead of the worksheet. Refer to Interview Tips for the Personal Exemption chart in the Volunteer Resource Guide, TAB C (Exemptions/Dependency).
Progress to the next slide.
## Tax Year 2007 Dependency Test Qualifying Relative
- Qualifying Relative
- – Not a Qualifying Child Test
- – Member of Household or Relationship Test
- – Gross Income Test
- – Support Test
**Notes:**
Refer to page 1-10.
Read the information on this slide and show the students where each test for a qualifying relative is shown in Step 4.
Point out how the words “AND” and “OR” are used in the worksheet.
Discuss each test in detail using the information in the exhibit.
Gross income is discussed on page 1-11.
Progress to the next slide.
## Tax Year 2007 Dependency Test Overview of the Rules
- Dependents on more than one return
- Joint Returns and Dependents
- Residency Requirement
- Dependent – Qualifying Child
- Dependent – Qualifying Relative
**Notes:**
Refer to pages 1-14 and 1-15.
Read the information on this slide.
Discuss the information in detail using Exhibit 3 and the Overview of the Rules for Claiming an Exemption for a Dependent chart in the Volunteer Resource Guide, TAB C (Exemptions/Dependency).
Close by discussing gross income information on page 1-15.
Progress to the next slide.
## Tax Year 2007 Dependency Support Test
- A qualifying child must not have provided more than half of his or her own support
- The taxpayer must provide more than half of the support of a qualifying relative
**Notes:**
Refer to pages 1-15 and 1-16.
Read the information on the slide.
Introduce the expenses included in support.
Progress to the next slide.
## Support Test
- Sources of Support
- The individual’s contributions
- The taxpayer’s contributions
- State contributions
**Notes:**
Teach from page 1-16.
Discuss information in detail regarding sources of support.
Progress to the next slide.
## Determining Support
- Worksheet for Determining Support
- What’s Included
- What’s Not included
**Notes:**
Read the information on the slide.
Introduce Exhibit 4, Worksheet for Determining Support.
Show the students how the exhibit can be used to determine what’s included and what’s not included in support.
Allow the students to complete the exercises.
Progress to the next slide.
## Support Exceptions
- Multiple Support
- Custodial and Noncustodial Parents
**Notes:**
Teach from pages 1-19 through 1-21.
Read the slide and define the terms.
Teach from the text.
Go over the examples with the class.
Discuss the tiebreaker rule again: If more than one person claims the same qualifying child on their return, the IRS will apply the tiebreaker rule.
Share: Specific documentation will be required to determine who will be allowed to claim the exemption if more than one individual claims the same qualifying relative.
Progress to the next slide.
## Form 8158 Quality Review Sheet
** **
**Notes:**
Use Form 8158, Quality Review Sheet, or an approved alternative form to review all returns prepared.
Apply the quality review tools in combination with the Intake and Interview Sheet and all the source documents to the returns you prepare to ensure quality and accuracy for every taxpayer.
Consider each box in the Quality Review Sheet which applies to the taxpayer’s situation to confirm that all the necessary questions and issues have been addressed.
If items are incorrect or incomplete, revisit the issue and make corrections to the return, as needed.
To ensure accurate reporting, verify that the dependency exemption information matches the Intake Sheet.
To ensure accurate reporting, verify that the names and taxpayer identification numbers match the Intake Sheet and supporting documents.
Progress to the next slide.
## Tax Year 2007 Tools for Determining Dependency
- Tools for Determining Personal and Dependency Exemptions
- Claiming the Exemption on the return
- Apply what you have learned
**Notes:**
Refer to the Interview Tips for Personal Exemptions chart in the Volunteer Resource Guide, TAB C (Exemptions/Dependency).
Go over each interview tip (especially those with footnotes and notes).
Show the students where the tips are located in Publication 4012 for this topic.
Teach the information on page 1-21—Exemption Section of the Return.
Allow the students time to complete and discuss the exercises on page 1-23.
Encourage the students to use the interview tips to complete the exercises (where possible).
Discuss the answers to the exercises.
Progress to the next slide.
## Summing Up Exemptions
- Exemptions impact taxable income
- Use the Dependency Tools
**Notes:**
Summarize this lesson using the information on page 1-26.
Progress to the next slide for the Military/International course; others go to Lesson 2.
## Military Matters
- Explain how to obtain an SSN for children born abroad
- Determine whether an individual is a nonresident alien or a resident alien
- Determine if an exemption can be claimed for a nonresident spouse
- Determine if an individual can be claimed as a dependent
**Notes:**
Refer to page M-1-1.
References:
Publication 3, Armed Forces’ Tax Guide
Form 1040NR, U.S. Nonresident Alien Income Tax Return
Publication 519, U.S. Tax Guide for Aliens
State the objectives.
Teach from the text.
Progress to the next slide.
## Children Born Abroad
- Must have a Tax Identification Number to be claimed as a dependent
**Notes:**
Refer to page M-1-1.
Review the “Children Born Abroad Obtaining an SSN” section of the student text.
Stress that each dependent must have a Tax Identification Number.
Progress to the next slide.
## Determining Residency Status
- Resident
- Nonresident
- Dual Status
**Notes:**
Refer to page M-1-2.
Discuss the three types of residency statuses for aliens.
Tell students that Publication 519 is a good resource for further information on determining residency.
Progress to the next slide.
## Residency Status Tests
- Green Card
- Substantial Presence
**Notes:**
Refer to pages M-1-2 through M-1-4.
Teach from the text.
Optional Guided Question: When a green card has been issued, what is the residency status? (Resident alien)
Allow the students to review Example 1.
Discuss with the students.
Progress to the next slide.
## Exceptions to the Substantial Presence Test
- Commuter
- Short stay
- Medical condition
- Exempt individual
**Notes:**
Refer to pages M-1-5 through M-1-6.
Teach from the text.
Inform the students that these exceptions do not occur very often on military returns.
Progress to the next slide.
## Residency Status
- Part-Year Resident
- Enlistees as Resident Aliens
- Choices – Nonresident Spouse
- Dual-Status Aliens
- Undocumented Aliens
**Notes:**
Refer to pages M-1-6 through M-1-8.
Teach from the text.
Discuss key points about the information on the slides.
Progress to the next slide.
## Exemptions
- Foreign Spouse
- Married Filing Separately
**Notes:**
Refer to page M-1-9.
Teach from the text.
Progress to the next slide.
## Dependents – Armed Forces Members
- Claiming a Dependent
- Citizen and Residency Test
**Notes:**
Refer to pages M-1-9 through M-1-11.
Teach from the text.
Progress to the next slide.
## Summing Up This Military Segment
- Resident or Nonresident
- Personal Exemptions
- Dependents
**Notes:**
Refer to page M-1-11.
Review the summary points with the class.
Solicit questions/concerns from the class.
Progress to the next lesson.
| en |
all-txt-docs | 030304 | Magalie Roman Salas
Office of the Secretary
Federal Communications Commission
1919 M Street, NW, Room 222
Washington, DC 20554
IN THE MATTER OF
1998 Biennial Regulatory Review - )
Amendment of Part 97 of the Commission's ) WT Docket 98-143
Amateur Service Rules. )
)
COMMENTS OF DATE: September 5, 1998
Michael J. Dinelli, N9BOR
9423 Kolmar Ave.
Skokie, IL 60076-1321
I file these comments on September 5, 1998, regarding the FCC's proposed Amendment of Part
97 of the Commission's Amateur Service Rules, WT Docket 98-143. I appreciate the opportunity
to offer my comments in this matter. My comments are similar (not identical) to the comments
filed on August 17, 1998 by Alan Wormser, N5LF. In summary, I have five concerns:
1. To increase technical proficiency and operating skills, and encourage upgrading;
2. To encourage use of digital modes over less-challenging modes such as SSB and FM;
3. To reserve HF voice modes and power output privileges as incentives to upgrade.
4. To reform the testing procedures; and
5. To reverse the 11-year trend to "dumb down" the license exams.
MY COMMENTS CAN BE SUMMARIZED AS FOLLOWS:
A. License Classes (Docket para. 12)
I agree that there should be 4 license classes. However, I believe a more workable
scheme would combine the Novice, Tech Plus and pre-1987 Techs into a new Intermediate
Class, and grandfather the Generals to the Advanced Class. Any licensees grandfathered to a
higher class should be required to take the additional exam elements before renewal. Below, I
outline a scheme that retains the current tests, but enhances privileges in a manner that
encourages upgrading and the use of digital modes. Specifically, I propose 4 classes as follows
(parentheses indicate equivalent current license, boldface indicates changes from current
privileges): 1. Technician Class (Current No-Code Technicians)
a. Technician written exam.
b. Privileges: Same as current No-Code Technician VHF privileges
2. Intermediate Class (Pre-1987 Tech, Tech Plus, Novice) -- adds 80 meter voice for
traffic handling
a. Written General Class exam and 5 wpm Morse Code exam
b. HF digital and CW privileges: Same as Advanced Class
c. HF SSB privileges: 28,300-28,500 kHz, and 3850-4000 kHz (traffic handling)
d. Power limit: 200 watts output
e. Pre-1987 Technicians grandfathered automatically, but Tech Plus and Novices
must take the missing written element(s) before renewal
3. Advanced Class (Advanced Class and grandfathered Generals)
a. Written Advanced Class exam and 12 wpm Morse Code exam
b. Privileges (mode, bands, and power): Same as current Advanced Class.
c. Generals must take the missing written element before renewal
4. Extra Class (Extra Class)
a. Written Extra Class exam and 20 wpm Morse Code exam
b. Privileges (modes, bands, power): Same as current Extra Class
5. Grandfathering (would only apply to current Novice, Tech Plus, and General
Classes)
a. During a 2-year grace period after the new regulations take effect renewals will
not require additional testing.
b. After the 2-year grace period, those who do not pass the additional exams will
be reclassified upon renewal as follows: grandfathered Novices and Tech Pluses
to Technician Class, and grandfathered Generals to Intermediate Class.
6. Discussion: The outline I propose is similar to the ARRL's July 1998 proposal, but has
several elements that should enhance technical skills. As with both the ARRL proposal and the
NPRM, higher power levels and voice operating modes are used as motivation for licensees to
enhance their skills.
a. For Intermediate Class (pre-1987 Technician, and grandfathered Novices and
Tech Plus), adding the upper 150 kHz of 80 meters to their voice privileges
allows them to get on-the-air training in emergency service nets and long-range
traffic handling. In addition, it allows them to explore propagation and antenna
designs that they might not encounter on 10 meters. b. By giving Intermediate Class all of the CW and digital privileges of the
Advanced Class (but at 200 watts), they can enhance their skills in the modes
that represent, respectively, the most basic and the most modern, computer-
oriented modes. This will also encourage building equipment and
experimentation.
c. For Technicians and Tech Pluses, voice privileges have proven to be a severe
distraction to upgrading and acquiring additional skills. As noted in the
WT Docket 98-143, paragraph 13, Technicians and Tech Pluses overutilize FM
voice modes to the exclusion of other modes and technologies. Packet activity
among Technicians and Tech Pluses has been in decline for the past five years.
d. Technician and Intermediate licenses should be for learning, upgrading skills,
and experimentation. They should be stepping-stones, not terminal licenses:
Our goal should be to have a core of operators who have mastered the skills
required of at least the Advanced Class license.
e. My proposed 2-year grace period for renewal without additional testing will
give each affected licensee a 2 to 12 year period of enhanced operating
privileges. In a decade's time most of these individuals would have upgraded
anyway, so the effect on them is nominal and we will have increased skill levels
across the board.
B. Comment on the notion that digital modes are "replacing" CW (Docket para. 12)
1. While it is true overall that digital modes are on the rise and CW is in decline, the
Docket incorrectly states that digital modes are "replacing" CW on military and commercial
frequencies. CW is a backup for voice, not digital modes. Digital modes serve new roles in
modern communications involving unattended bulletin boards, automated forwarding, bulk
messages, and data transmission -- tasks for which CW and voice were never used.
2. On the other hand, CW and voice modes are more efficient for low-volume traffic,
"live" message turnaround times, and critical emergency operations. As an adjunct to HF voice,
CW is irreplaceable during auroral disturbances, solar blackouts, under low power (or to
conserve batteries), or where interference and noise are a problem. CW transmissions are also
more secure than voice since few non-amateurs can decode them. As an experienced traffic
handler, I often have used a combination of SSB and CW to get a message through.
3. The commercial and military sectors must conserve limited resources by focusing
training and equipment dollars on only a few transmission modes. For them, any backup for
voice communications (such as CW) must take a lower priority than the advanced digital modes
and global positioning systems that compete for the same dollars. 4. In contrast, the Amateur Service is not limited by the same resource constraints.
Using volunteer labor, personal equipment, and peer-training, the Amateur Service thrives on the
very redundancy that would "break the budget" of a military or commercial entity. Therefore, in
the Amateur Service, CW continues to be used day-to-day as a practical and inexpensive
supplement to HF voice communications.
C. Deleting the Novice Bands (Docket para. 12)
I concur with the deletion, but with the stipulation that the Novice bands should be
released for digital and CW modes, not voice/image modes.
D. How the Novice bands should be distributed (Docket para. 12)
The Novice portions of 80, 40, 15, and Novice CW subband on 10 meters should be
released to digital and CW modes. The 10 meter Novice phone subband should remain as it is
for voice/image/CW modes.
E. Should Novices be allowed to use all CW bands on 80, 40, 15, and 10 at 200 watts?
Yes and, as Intermediate Class licensees, so should Tech Plus and pre-1987 Technicians
F. Upgrading of Tech Plus and Technician (Docket para. 13)
If grandfathered, they should take the additional exam elements before renewal.
G. Allow General and Advanced VE's to test applicants of lower license class (Docket para. 14)
I concur completely. Good proposal.
H. Should the FCC Privatize Enforcement? (Docket para. 17)
Recent cutbacks have forced the closing of many field-monitoring stations, and the
Amateur Service is willing to assist the FCC to fill this void. But Amateur Radio operators can
only gather evidence and assist as expert witnesses. To get the FCC to enforce its own
regulations, Amateurs should not be required to accept the liability and personal risks that are
within the province of FCC investigators and Federal marshals. I sympathize with the FCC's
manpower problems, but legal matters must remain the duty of the federal enforcement
agency -- not Amateurs. I. How many levels of CW exam? (Docket para. 24)
1. I favor three levels: 5, 12, and 20 wpm. I am willing to accept a 12-wpm exam instead
of 13 wpm to be in line with the Europeans under CEPT.
2. In no case should there be less than a 12-wpm requirement for the current General
Class HF privileges. While the 5-wpm exam allows a beginner to get on the air to improve their
skills, only at about 12-13 wpm does the operator become competent enough at CW to handle an
emergency or to accurately relay messages.
J. Type of CW exam (Docket para. 24)
I favor a test of 1-minute solid copy out of 5 minutes or a fill-in the blank exam. It is too
easy for a bright person to guess at 7 of 10 multiple-choice questions.
K. CW Exam Waivers (Docket para. 25)
1. Eliminate the current waiver system. The array of accommodations that VE's may
already choose from are more than adequate to address the needs of disabled examinees.
There are many skilled operators in the Amateur Service who are blind, deaf, severely arthritic,
quadriplegic, or suffer other severe multiple handicaps who nevertheless were able to
demonstrate their abilities to a VE.
2 In the rare situation where no fair accommodation seems appropriate, the FCC field
office should make the determination following explicit guidelines and after discussion with the
attending physician. The FCC would then issue a waiver certificate, and a candidate who
presented an FCC waiver certificate to the VE would not need to explain further -- thus
preserving their right to privacy.
3. I agree with the ARRL that the candidates for a CW exam waiver should attempt an
accommodated test before being allowed a waiver, but where is their motivation to pass? I
recommend a rule that the candidate who fails the accommodated test, and wants a waiver, must
then appeal to the FCC for a ruling and waiver certificate.
4. A physician can only provide expert information to the FCC regarding the patient's
medical condition. As a volunteer, a VE does not have the authority (or skill) to judge the merits
of a physician's medical waiver. Therefore, as the regulator, the FCC represents the best
combination of technical expertise, confidentiality, and legal authority to decide waiver requests.
L. Provide VE's w/ flexible question content? (Docket para. 26)
The VE's should be allowed to choose from among many distracters for each question in
the pool, and to arrange them in any order. The VE Coordinators can provide sufficient check-
and-balance to ensure fair (non-ambiguous) versions of each question on the exam. M. Re-taking a failed element at the same VE session.
1. There is a common practice for examinees that fail a written or Morse code element to
re-take another version of the same exam by simply paying a second fee.
2. I recommend a rule that examinees can only fail one written and one Morse code
element per VE session.
N. Are the Categories of the Questions Adequate? (Docket para. 27)
Overall, the current question categories are adequate. I would suggest adding more
questions on identifying circuit schematics (especially oscillators, buffers, amplifiers, and active
and passive filters) and circuit elements (e.g., voltage dividers, diode crowbar circuits, and the
input/output impedance and effect of loads between stages of a circuit), on using specific types of
test equipment, and on digital data compression and TCP/IP. I would also suggest some of these
topics be introduced earlier in the testing series -- in the Technician and General exams.
I hope these comments prove helpful. Once again, thank you for the opportunity to comment on
the restructuring proposal.
Sincerely,
Michael J. Dinelli, N9BOR
9423 Kolmar Ave.
Skokie, IL 60076-1321
September 5, 1998 | en |
markdown | 109285 | # Presentation: 109285
## Research-Based Instruction in Reading
- Dr. Bonnie B. Armbruster
- University of Illinois
- at Urbana-Champaign
- Archived Information
## National Reading Panel Elements of Reading Instruction
- Phonemic awareness
- Phonics
- Fluency
- Vocabulary
- Text comprehension
## Phonemic Awareness
- The ability to hear, identify, and manipulate the individual sounds--phonemes--in spoken words.
- A part of phonological awareness.
## Slide 4
## Important Points about Phonemic Awareness :
- Phonemic awareness can be taught and learned.
- Phonemic awareness can help students learn to read and spell.
- The relationship between phonemic awareness and learning to read and spell is reciprocal: having phonemic awareness helps children learn to read and spell; learning to read and spell words by working with letter-sound relationships improves children’s phonemic awareness.
## Important Points about Phonemic Awareness, continued
- Phonemic awareness instruction can help preschoolers, kindergartners, first graders, and older, less able readers.
- The most important forms of phonemic awareness to teach are blending and segmentation, because they are the processes that are centrally involved in reading and spelling words.
## Two Important Phonemic Awareness Activities
**Phoneme blending**. Children listen to a sequence of separately spoken phonemes and then combine the phonemes to form a word. /d/ /o/ /g/ is *dog*. (This is the process used in decoding words.)
**Phoneme segmentation**. Children break a spoken word into its separate phonemes. There are four sounds in *truck*: /t/ /r/ /u/ /k/. (This is the process used in spelling words phonetically: “invented spelling.)
## Some Cautions About Phonemic Awareness Instruction
- Phonemic awareness instruction is a means to an end, not an end in itself. It should be oriented toward helping children gain insight about the relationship between spoken sounds and letters.
- Phonemic awareness should not be the entire reading program.
## Phonics
- The relationship between the letters (graphemes) of written language and the sounds (phonemes) of spoken language.
- Phonics instruction is teaching children these letter-sound relationships.
## Important Points about Phonics Instruction
- Systematic and explicit phonics instruction is more effective than non-systematic or no phonics instruction.
- Systematic and explicit phonics instruction significantly improves kindergarten and first-grade children’s word recognition and spelling.
- Systematic and explicit phonics instruction significantly improves children’s reading comprehension.
## Important Points about Phonics Instruction, continued
- Systematic and explicit phonics instruction is effective for children from various social and economic levels.
- Systematic and explicit phonics instruction is particularly beneficial for children who are having difficulty learning to read and who are at risk for developing future reading problems.
- Systematic and explicit phonics instruction is most effective when introduced early (K or 1).
## What is Systematic and Explicit Phonics Instruction?
- Systematic and explicit phonics instruction provides instruction in a carefully selected and useful set of letter-sound relationships and then organizes the introduction of these relationships into a logical instructional sequence.
- Children have ample opportunities to practice and review the relationships they are learning.
## Some Approaches to Phonics Instruction
**Synthetic (explicit) phonics**--Children learn how to convert letters or letter combinations into sounds, and then how to blend the sounds together to form recognizable words. Children have learned the letters *m, a, n* and the corresponding sounds /m/ /a/ /n/. They blend them to make the word *man*.
**Analytic (implicit) phonics**--Children learn to analyze letter-sound relationships in previously learned words. They do not pronounce sounds in isolation. Children see and say the word *man*. The teacher tells the students that the letter *m* makes the beginning sound in *man*.
## Some Approaches to Phonics Instruction, continued
**Analogy-based phonics**. Children learn to use parts of word families they know to identify words they don’t know that have similar parts. Children use their knowledge of key words such as *must* and *ate* to read the word *frustrate*.
## Some Cautions about Phonics Instruction
- Phonics instruction is not an entire reading program for beginning readers.
- “The best way to get children to refine and extend their knowledge of letter-sound correspondences is through repeated opportunities to read.”-*Becoming a Nation of Readers*.
- Approximately two years of phonics instruction is sufficient for most students. If phonics instruction begins early in kindergarten, it should be completed by the end of first grade. If phonics instruction begins early in first grade, it should be completed by the end of second grade.
## Fluency
- Oral reading fluency is the ability to read with accuracy, and with an appropriate rate, expression, and phrasing.
## Important Points about Fluency
- Fluency is important because it provides a bridge between word recognition and comprehension.
- Repeated and monitored oral reading improves reading fluency and overall reading achievement.
- Attention to fluency is often neglected in reading instruction.
## Why Fluency is Important
- More fluent readers focus their attention on making connections among the ideas in a text and between these ideas and their background knowledge. Therefore, they are able to focus on comprehension.
- Less fluent readers must focus their attention primarily on decoding and accessing the meaning of individual words. Therefore, they have little attention left for comprehending the text.
## Improving Fluency
- Model fluent reading, then have students reread the text on their own.
- Have students repeatedly read passages aloud with guidance.
- Have students reread text that is reasonably easy (at their independent reading level).
- Have students practice orally rereading text using methods such as student-adult reading, choral reading, partner reading, tape-assisted reading, or readers’ theatre.
## Vocabulary
- Vocabulary refers to the words we must know to communicate effectively in listening, speaking, reading, and writing.
- Vocabulary plays an important part in learning to read. Children use words in their oral vocabulary to make sense of the words they see in print.
- Vocabulary is also important in reading comprehension. Readers cannot understand what they are reading unless they know what most of the words mean.
## How Vocabulary is Learned
**Indirectly**. Children learn the meanings of most words indirectly, through everyday experiences with oral and written language--e.g., through conversations with adults, through being read to, and through reading extensively on their own.
**Directly**. Children learn vocabulary directly when they are explicitly taught both individual words and word-learning strategies.
## Teaching Individual Words
- Teaching specific words before reading helps both vocabulary learning and reading comprehension.
- Extended instruction that promotes active engagement with vocabulary improves word learning.
- Repeated exposures to vocabulary in many contexts aids word learning.
## Teaching Word Learning Strategies
- How to use dictionaries and other reference aids to learn word meanings and to deepen knowledge of word meanings.
- How to use information about word parts (affixes, base words, word roots) to figure out the meanings of words in text (structural analysis).
- How to use context clues to determine word meanings.
## Text Comprehension
- Comprehension is the reason for reading. If readers can read the words but do not understand what they are reading, they are not really reading.
- Instruction in comprehension can help students understand what they read, remember what they read, and communicate with others about what they read.
- Research on text comprehension suggests _what_ should be taught about text comprehension and _how_ it should be taught.
## What Should be Taught-- Key Comprehension Strategies
- Monitoring comprehension
- Using graphic and semantic organizers
- Answering questions
- Generating questions
- Recognizing story structure (and other text structures)
- Summarizing
## How to Teach Comprehension Strategies
- Provide explicit (or direct) instruction: direct explanation, modeling, guided practice, application.
- Make use of cooperative learning.
- Help readers use comprehension strategies flexibly and in combination. | en |
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tehac avenue pelona 72 729 207.5 27003.3272 / 26988.0002 $ -0.0032 720.16 1479.90 1
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tehac avenue pelona 79 3 7 1505 207.5 27003.3255 + 26987.9897 27002.436 0.405 247.139 292.52 894.31 7.52 + 720.16 1.407 1.188 rfw/ sn104 1479.90 0.000 1.524 jgh 1 a a1 75 95 2 27003.3250
tehac avenue pelona 791125 1547 207.5 27003.3318 + 26987.9960 27002.563 0.475 250.401 288.49 893.39 5.55 + 1479.90 0.476 1.226 ml sn104 720.16 -.026 1.478 bf 2 c c1 a1 97 2 27003.3310
tehac avenue pelona 801210 0904 207.5 27003.3425 + 26988.0067 27002.954 0.477 263.764 277.93 905.92 1.62 + 720.16 0.475 1.160 2199 6898 este sn123 1479.90 -.026 1.529 4093 spot af 1 c a1 d2 102 2 27003.3426
tehac avenue pelona 82 126 0951 207.5 27003.3440 + 26988.0082 27002.786 0.470 256.946 281.33 894.03 5.17 + 720.16 0.477 1.160 2198 6950 warn sn104 1479.90 -.048 1.558 6899 ckdl f 1 c a1 76 90 2 27003.3441
tehac avenue pelona 821116 1525 207.5 27003.3275 + 26987.9917 27002.669 0.477 253.456 283.34 887.97 5.09 + 1479.90 0.476 1.389 2198 6950 latz sn104 720.16 -.049 1.578 6899 a rg gf 2 c 76 a1 100 2 27003.3276
tehac avenue pelona 84 520 1121 207.5 27003.3420 + 26988.0062 9.9999 27002.343 0.471 241.697 297.69 890.40 8.06 + 720.16 0.478 1.220 7600 0868 wwp/ sn104 1479.90 -.026 1.330 6899 kmk cf 1 164 500 450 90 2 27003.3398
tehac avenue pelona 861023 0742 207.5 27003.3443 + 26988.0086 0.0051 27002.631 0.476 251.750 286.82 893.13 5.56 + 1479.90 0.477 1.157 7594 7595 wkg sn104 720.16 -.048 1.534 7601 jms hf 2 164 413 460 90 2 27003.3426
tehac avenue pelona 891015 1504 207.5 27003.3393 + 26988.0035 0.0055 27003.980 1.984 245.376 292.53 888.09 8.88 + 720.16 0.477 1.258 7601 gh k sn104 1479.90 -.048 1.517 c df 1 353 525 585 90 2 27003.3395
tehac avenue rit rid 731020 178.5 18887.7223 + 18882.6715 18887.263 0.470 254.033 291.17 914.97 7.53 + 720.16 1.477 1.321 weg- sn104 1025.30 0.000 1.460 z 1 52 71 100 2 18887.7219
tehac avenue rit rid 741030 178.5 18887.7200 + 18882.6692 18887.340 0.474 258.049 286.77 915.50 8.28 + 720.16 1.477 1.430 ham- sn104 1025.30 0.000 1.515 west 1 65 104 2 18887.7198
tehac avenue rit rid 7411 1 178.5 18887.7187 + 18882.6678 18887.404 0.479 261.059 282.82 913.19 7.07 + 720.16 1.476 1.425 ham- sn104 1025.30 0.000 1.680 kino 1 54 100 2 18887.7188
tehac avenue rit rid 76 218 178.5 18887.7059 + 18882.6551 18887.316 0.488 256.878 289.47 919.13 2.88 + 720.16 1.476 1.315 wp-g sn104 1025.30 0.000 1.310 h 1 68 73 90 2 18887.7059
tehac avenue rit rid 77 616 0910 178.5 18887.7121 + 18882.6613 18887.170 0.449 250.751 294.90 914.76 6.68 + 720.16 1.476 1.337 kwg sn104 1025.30 0.000 1.447 1 b 68 75 120 2 18887.7116
tehac avenue rit rid 78 316 1650 178.5 18887.7055 + 18882.6547 18887.234 0.430 255.230 292.35 922.62 4.30 + 720.16 1.469 1.174 wao/ sn104 1025.30 0.000 1.518 kwg 1 b 58 69 105 2 18887.7051
tehac avenue rit rid 79 3 7 1531 178.5 18887.6933 + 18882.6424 18887.130 0.404 251.777 294.62 917.81 8.27 + 720.16 1.476 1.188 rfw/ sn104 1025.30 0.000 1.580 jgh 1 a a1 75 95 2 18887.6928
tehac avenue rit rid 791124 1306 178.5 18887.7130 + 18882.6622 18887.310 0.472 257.154 289.51 920.75 6.84 + 1025.30 0.476 1.287 ml sn104 720.16 -.026 1.481 bf 2 c c1 a1 94 2 18887.7132
tehac avenue rit rid 801121 0845 178.5 18887.7008 + 18882.6500 18887.473 0.478 266.248 280.90 924.37 2.38 + 1025.30 0.475 1.120 2199 6898 este sn123 720.16 -.026 1.430 4093 spot af1 2 c a1 d2 95 2 18887.7012
tehac avenue rit rid 82 122 1228 178.5 18887.6998 + 18882.6490 18887.550 0.473 269.332 277.21 922.89 3.88 + 720.16 0.477 1.600 2198 6950 latz sn104 1025.30 -.048 1.485 4093 a se f 1 c a1 76 90 2 18887.7006
tehac avenue rit rid 821111 1220 178.5 18887.6982 + 18882.6474 18887.473 0.492 264.261 282.21 922.04 4.69 + 1025.30 0.476 1.280 2198 6950 rog sn104 720.16 -.049 1.372 6899 fw gf 2 c 76 a1 100 2 18887.6985
tehac avenue rit rid 84 520 1000 178.5 18887.6943 + 18882.6435 9.9999 18887.097 0.472 246.648 299.45 913.62 7.03 + 720.16 0.478 1.074 7600 0868 wwp/ sn104 1025.30 -.026 1.335 6899 kmk cf 1 164 500 450 90 2 18887.6938
tehac avenue rit rid 861110 0738 178.5 18887.6808 + 18882.6300 0.0002 18887.530 0.484 268.535 278.05 922.53 2.24 + 720.16 0.477 1.233 7594 7595 wkg sn104 1025.30 -.048 1.370 7601 kwc if 1 352 413 460 100 2 18887.6824
tehac avenue rit rid 891015 1139 178.5 18887.6822 + 18882.6313 0.0014 18887.190 0.461 251.465 293.47 912.91 7.67 + 720.16 0.477 1.258 7601 gh k sn104 1025.30 -.048 1.609 c if 1 353 525 585 90 2 18887.6819
tehac avenue soledad 731020 7.1 23012.0536 + 23001.6927 23011.370 0.465 249.192 292.41 901.46 7.76 + 1277.84 1.480 1.390 kino sn104 720.16 0.000 1.399 2 52 71 100 2 23012.0531
tehac avenue soledad 741111 7.1 23012.0529 + 23001.6921 23011.440 0.477 251.869 292.27 910.19 4.28 + 1277.84 1.476 1.460 ham- sn104 720.16 0.000 1.635 cha 2 71 65 100 1 23012.0525
tehac avenue soledad 76 510 1535 7.1 23012.0459 + 23001.6850 23011.251 0.477 243.967 298.90 901.72 4.86 + 1277.84 1.476 1.265 ml-j sn104 720.16 0.000 1.420 s 2 68 57 115 2 23012.0453
tehac avenue soledad 77 615 1342 7.1 23012.0470 + 23001.6861 23011.246 0.450 244.897 297.68 901.90 7.50 + 1277.84 1.476 1.330 kwg sn104 720.16 0.000 1.549 2 b 68 75 120 2 23012.0462
tehac avenue soledad 78 314 1047 7.1 23012.0457 + 23001.6848 23011.545 0.439 258.415 283.80 906.85 6.39 + 1277.84 1.469 1.210 wao sn104 720.16 0.000 1.454 2 b 58 69 96 2 23012.0456
tehac avenue soledad 79 3 7 1106 7.1 23012.0403 + 23001.6795 23011.390 0.411 253.194 290.21 909.12 8.47 + 1277.84 1.476 1.281 rfw/ sn104 720.16 0.000 1.493 jgh 2 a a1 75 90 2 23012.0398
tehac avenue soledad 791129 1108 7.1 23012.0386 + 23001.6777 23011.679 0.509 261.561 282.56 913.28 2.00 + 1277.84 0.476 1.230 ham sn104 720.16 -.026 1.435 sm af 2 c c1 a1 95 2 23012.0388
tehac avenue soledad 801125 1559 7.1 23012.0309 + 23001.6700 23011.575 0.475 259.043 285.25 913.34 2.49 + 1277.84 0.475 1.122 2199 6898 este sn123 720.16 -.026 1.530 4093 spot af1 2 c a1 d2 100 2 23012.0311
tehac avenue soledad 82 129 1008 7.2 23012.0387 + 23001.6779 23011.689 0.476 263.053 278.57 905.82 3.80 + 720.16 0.477 1.180 2198 6950 este sn104 1277.84 -.026 1.375 4093 s dl bf 1 c a1 76 87 2 23012.0393
tehac avenue soledad 8212 2 1225 7.1 23012.0432 + 23001.6824 9.9999 23011.631 0.473 260.399 280.16 902.00 4.03 + 1277.84 0.476 1.100 2199 4079 gh j sn104 720.16 -.048 1.816 0868 b df ef 2 164 76 201 90 2 23012.0427
tehac avenue soledad 84 519 1032 7.1 23012.0369 + 23001.6761 9.9999 23011.272 0.476 245.682 297.88 905.07 6.30 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 720.16 -.026 1.425 6899 kmk bf 2 164 500 450 100 2 23012.0360
tehac avenue soledad 861027 0806 7.1 23012.0445 + 23001.6836 0.0068 23011.426 0.471 251.067 292.04 906.91 5.09 + 1277.84 0.477 1.324 7594 7595 wgh sn104 720.16 -.048 1.547 7601 jls hf 2 352 413 460 90 2 23012.0426
tehac avenue soledad 891017 1001 7.1 23012.0237 + 23001.6628 0.0007 23011.262 0.321 251.598 291.37 906.44 4.34 + 1277.84 0.477 1.228 7601 gh k sn104 720.16 -.048 1.668 c if 2 353 525 585 95 2 23012.0230
tehac avenue thumb 82 326 1615 297.6 20549.1491 + 20546.3166 20548.870 0.475 263.589 283.35 923.90 9.29 + 720.16 0.476 1.240 2198 6950 latz sn104 837.20 -.048 1.514 4093 a se f 1 c a1 76 90 2 20549.1501
tehac avenue thumb 821110 1317 297.7 20549.1536 + 20546.3211 20548.882 0.493 264.273 282.57 923.07 4.79 + 837.20 0.476 1.440 2198 6950 rog sn104 720.16 -.026 1.756 4093 fw bf 2 c 76 a1 100 2 20549.1550
tehac avenue thumb 84 612 0825 297.7 20549.1489 + 20546.3164 9.9999 20548.657 0.480 253.264 293.73 919.85 6.31 + 837.20 0.478 1.240 7600 0868 wwp/ sn104 720.16 -.048 1.690 6899 kmk if ef 2 164 500 450 105 2 20549.1493
tehac avenue thumb 861110 0853 297.6 20549.1497 + 20546.3172 0.0029 20548.955 0.477 267.656 282.30 933.75 2.47 + 720.16 0.477 1.233 7594 7595 wkg sn104 837.20 -.048 1.552 kwc gf 1 352 413 460 100 2 20549.1505
tehac avenue thumb 891015 1406 297.6 20549.1313 + 20546.2988 0.0020 20548.605 0.460 252.274 295.16 921.30 9.28 + 720.16 0.477 1.258 7601 gh k sn104 837.20 -.048 1.793 c if 1 353 525 585 90 2 20549.1313
tehac bald soledad 731020 194.9 33290.0072 + 33281.7129 33288.704 0.467 239.861 290.12 859.98 6.99 + 1277.84 1.477 1.390 kino sn104 1532.80 0.000 1.430 2 52 71 100 1 33290.0144
tehac bald soledad 741111 194.9 33289.9999 + 33281.7056 33288.842 0.476 243.896 288.34 868.46 3.61 + 1277.84 1.476 1.460 ham- sn104 1532.80 0.000 1.605 cha 2 71 65 100 2 33290.0080
tehac bald soledad 76 510 1416 194.9 33289.9953 + 33281.7009 33288.600 0.477 236.726 294.55 861.28 4.13 + 1277.84 1.476 1.265 ml-j sn104 1532.80 0.000 1.545 s 2 68 57 115 2 33290.0025
tehac bald soledad 77 615 1135 194.9 33290.0051 + 33281.7108 33288.596 0.451 237.150 293.55 860.36 7.21 + 1277.84 1.476 1.330 kwg sn104 1532.80 0.000 1.378 2 b 68 75 117 2 33290.0121
tehac bald soledad 78 314 1019 194.9 33290.0001 + 33281.7057 33288.980 0.439 249.142 280.53 863.26 5.11 + 1277.84 1.476 1.210 kwg sn104 1532.80 0.000 1.563 2 b 58 69 105 2 33290.0092
tehac bald soledad 79 3 7 1300 194.9 33289.9873 + 33281.6930 33288.712 0.407 241.847 289.16 864.22 7.44 + 1277.84 1.407 1.281 rfw/ sn104 1532.80 0.000 1.357 jgh 2 a a1 75 96 2 33289.9950
tehac bald soledad 791129 1036 194.9 33290.0015 + 33281.7071 33289.121 0.511 251.197 280.08 868.50 1.72 + 1277.84 0.476 1.230 ham sn104 1532.80 -.026 1.400 sm cf 2 c c1 a1 97 2 33290.0107
tehac bald soledad 801125 1200 194.9 33289.9945 + 33281.7001 33289.116 0.475 252.243 279.52 870.36 1.89 + 1277.84 0.475 1.122 2199 6898 este sn123 1532.80 -.026 1.558 6899 spot bf 2 c a1 d2 98 2 33290.0039
tehac bald soledad 82 423 1330 194.9 33289.9912 + 33281.6969 33288.736 0.476 240.219 290.22 861.24 5.06 + 1277.84 0.476 1.200 2198 6950 warn sn104 1532.80 -.048 1.871 ockl f-bf 2 c e2 b2 90 2 33289.9988
tehac bald soledad 8212 2 1055 194.9 33289.9858 + 33281.6915 9.9999 33289.123 0.454 252.707 275.22 858.84 3.88 + 1277.84 0.476 1.100 2199 4079 gh j sn104 1532.80 -.049 1.550 6899 b gf 2 164 76 201 95 2 33289.9958
tehac bald soledad 84 519 1107 194.9 33289.9888 + 33281.6945 9.9999 33288.578 0.475 236.390 295.69 863.57 5.53 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 1532.80 -.026 1.420 4995 kmk cf 2 164 500 450 100 2 33289.9957
tehac bald soledad 861027 0840 194.9 33289.9802 + 33281.6859 0.0037 33288.710 0.471 240.027 291.63 864.79 4.58 + 1277.84 0.477 1.324 7594 7595 wgh sn104 1532.80 -.048 1.695 jls gf 2 352 413 460 100 2 33289.9867
tehac bald soledad 891017 0918 194.9 33289.9796 + 33281.6853 0.0165 33288.560 0.319 240.169 291.16 863.74 3.97 + 1277.84 0.477 1.228 7601 gh k sn104 1532.80 -.048 1.336 c hf 2 353 525 585 95 2 33289.9870
tehac black bu lit rock 7711 1 1613 264.1 16233.6529 + 16231.2709 16233.188 0.452 250.709 294.22 912.33 5.99 + 930.32 1.476 1.353 dwr sn104 943.10 0.000 1.762 2 b 58 15 97 2 16233.6523
tehac black bu lit rock 78 3 3 1211 264.1 16233.6448 + 16231.2629 16233.246 0.435 255.788 286.57 906.92 7.95 + 930.32 1.476 1.250 wao/ sn104 943.10 0.000 1.942 kwg 2 b 58 69 107 3 16233.6447
tehac black bu lit rock 79 227 264.1 16233.6482 + 16231.2663 + 0.0000 930.32 943.10 2
tehac black bu lit rock 7912 1 0938 264.1 16233.6577 + 16231.2758 16233.402 0.505 260.279 285.08 917.17 3.00 + 930.32 0.476 1.260 ham sn104 943.10 -.026 1.824 cs af 2 c c1 a1 95 2 16233.6578
tehac black bu lit rock 801124 1535 264.0 16233.6581 + 16231.2762 16233.339 0.474 258.317 287.13 916.74 2.53 + 943.10 0.475 1.580 2199 6898 ham sn123 930.32 -.026 1.588 6899 bf 1 c a1 d2 95 2 16233.6580
tehac black bu lit rock 82 122 0944 264.0 16233.6745 + 16231.2926 16233.573 0.477 270.290 274.49 917.05 3.96 + 943.10 0.477 1.630 2198 6950 latz sn104 930.32 -.048 1.515 4093 a se f 1 c a1 76 87 2 16233.6750
tehac black bu lit rock 821117 1519 264.1 16233.6656 + 16231.2837 16233.267 0.488 252.591 288.61 901.63 6.28 + 930.32 0.476 1.329 2198 6950 latz sn104 943.10 -.026 1.975 4093 a rg bf 2 c 76 a1 100 2 16233.6654
tehac black bu lit rock 861111 0757 264.1 16233.6825 + 16231.3005 0.0003 16234.924 2.005 258.919 286.17 915.80 3.12 + 930.32 0.477 1.161 7594 7595 gh k sn104 943.10 -.048 1.529 6950 wc hf 2 352 413 460 90 2 16233.6829
tehac black bu lit rock 891114 1245 264.1 16233.6804 + 16231.2984 0.0006 16233.279 0.475 251.880 292.17 910.33 6.71 + 930.32 0.477 1.385 7601 wk/g sn104 943.10 -.048 2.045 /h hf 2 353 525 585 100 2 16233.6797
tehac bull diorite 82 430 1509 336.3 14125.9290 + 14074.9239 14125.333 0.476 236.512 291.29 853.36 6.06 + 2033.30 0.476 1.349 2198 6950 latz sn104 872.28 -.027 1.537 a rf rg-rd2 c e2 b2 85 2 14125.9237
tehac bull diorite 8212 5 1517 336.3 14125.9240 + 14074.9189 9.9999 14125.539 0.512 243.429 284.27 857.26 6.30 + 872.28 0.475 0.990 2199 4079 gh j sn123 2033.30 -.049 1.470 6899 b gf 1 164 310 291 95 2 14125.9184
tehac bull diorite 84 612 1316 336.3 14125.9344 + 14074.9293 9.9999 14125.347 0.466 235.924 291.20 851.56 5.83 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 872.28 -.048 1.290 4995 kmk if 2 164 500 450 85 2 14125.9268
tehac bull diorite 8611 8 1458 336.3 14125.9232 + 14074.9181 0.0002 14125.501 0.474 246.164 282.72 861.72 4.52 + 2033.30 0.477 1.353 7594 7595 kwc sn104 872.28 -.048 1.305 7601 wkg gf 2 352 413 460 75 2 14125.9183
tehac bull diorite 891117 1039 336.3 14125.9086 + 14074.9034 0.0018 14125.424 0.491 241.032 286.34 854.51 2.78 + 2033.30 0.477 1.387 7601 gh k sn104 872.28 -.048 1.413 c if 2 353 525 585 100 2 14125.9030
tehac bull fairmont 82 3 4 1036 119.9 15411.4887 + 15409.0006 15411.267 0.475 263.530 279.72 911.62 5.75 + 964.10 0.476 1.435 2198 6950 este sn104 872.28 -.026 1.380 6899 s bf 2 c a1 76 90 2 15411.4889
tehac bull fairmont 821112 1604 119.9 15411.4846 + 15408.9965 15411.201 0.438 260.533 284.03 915.01 4.98 + 964.10 0.476 1.313 2198 6950 rog sn104 872.28 -.049 1.443 6899 fw gf 2 c 76 a1 90 2 15411.4845
tehac bull fairmont 84 530 1503 119.9 15411.4844 + 15408.9963 9.9999 15410.888 0.464 240.102 305.47 907.85 9.98 + 964.10 0.478 1.225 0868 7600 wwp/ sn104 872.28 -.026 1.365 4995 kmk cf 2 164 500 450 100 2 15411.4834
tehac bull fairmont 861110 1216 119.9 15411.4834 + 15408.9953 0.0009 15411.167 0.473 256.257 289.07 915.87 3.56 + 964.10 0.477 1.191 7594 7595 wkg sn104 872.28 -.048 1.325 6950 kwc hf 2 352 413 460 90 2 15411.4827
tehac bull fairmont 891015 1838 119.9 15411.4806 + 15408.9925 0.0003 15411.117 0.475 252.982 289.64 906.65 8.51 + 964.10 0.477 1.322 7601 gh k sn104 872.28 -.048 1.307 c if 2 353 525 585 90 2 15411.4800
tehac denis tom 72 729 90.0 22449.9908 / 22445.9352 62 $ 0.0008 789.07 993.80 1
tehac denis tom 7711 1 1232 90.1 22450.0019 + 22445.9463 22449.436 0.450 254.262 291.98 918.10 7.34 + 789.07 1.476 1.300 dwr sn104 993.80 0.000 1.410 1 b 58 15 100 2 22450.0030
tehac denis tom 78 3 3 0949 90.1 22450.0054 + 22445.9497 22449.561 0.435 260.263 283.41 912.15 7.55 + 789.07 1.476 1.204 wao/ sn104 993.80 0.000 1.519 kwg 1 b 58 69 105 1 22450.0068
tehac denis tom 79 226 0926 90.1 22450.0070 + 22445.9514 22449.622 0.418 262.803 281.68 915.24 6.48 + 789.07 0.477 1.289 rfw/ sn104 993.80 -.048 1.493 jgh f 1 a a1 75 95 2 22450.0088
tehac denis tom 791124 1602 90.1 22450.0119 + 22445.9563 22449.552 0.475 258.029 288.03 919.14 7.83 + 789.07 0.476 1.395 ml sn104 993.80 -.025 1.250 qlm 1 c c1 a1 95 2 22450.0132
tehac denis tom 80 327 90.1 22450.0164 + 22445.9607 62 + 0.0000 789.07 993.80 1
tehac denis tom 801123 0940 90.1 22450.0089 + 22445.9533 22449.575 0.474 259.040 286.48 917.63 6.97 + 789.07 0.475 1.246 2199 6898 este sn123 993.80 -.026 1.431 6899 spot bf 1 c a1 d2 98 2 22450.0104
tehac denis tom 82 119 1023 90.1 22450.0272 + 22445.9716 22449.700 0.477 263.598 280.22 913.08 5.76 + 789.07 0.477 1.280 2198 6950 wood sn104 993.80 -.026 1.772 4093 ymon bf-af 1 c a1 76 90 2 22450.0289
tehac denis tom 821111 0853 90.1 22450.0125 + 22445.9569 22449.821 0.507 267.397 278.42 920.21 5.32 + 789.07 0.476 1.235 2198 6950 rog sn104 993.80 -.049 1.447 6899 fw gf 1 c 76 a1 100 2 22450.0148
tehac denis tom 861111 0953 90.1 22450.0146 + 22445.9590 0.0013 red 62 22457.029 0.475 261.722 284.71 920.68 3.22 + 789.07 0.477 1.128 7594 7595 gh k sn104 993.80 -.048 1.409 6950 wc hf 1 352 413 460 90 2
tehac denis tom 891114 0753 90.1 22450.0165 + 22445.9609 0.0018 red 62 22456.970 0.490 258.358 286.55 915.35 6.05 + 789.07 0.477 1.363 7601 wk/g sn104 993.80 -.048 1.558 /h if 1 353 525 585 80 2
tehac denis tom rm3 861111 0953 90.1 22457.3808 + 22453.3245 0.0013 22457.029 0.475 261.722 284.71 920.68 3.22 + 789.07 0.477 1.128 7594 7595 gh k sn104 993.80 -.048 1.409 6950 wc hf 1 352 413 460 90 2 22457.3834
tehac denis tom rm3 891114 0753 90.1 22457.3827 + 22453.3264 0.0018 22456.970 0.490 258.358 286.55 915.35 6.05 + 789.07 0.477 1.363 7601 wk/g sn104 993.80 -.048 1.558 /h if 1 353 525 585 80 2 22457.3838
tehac digorgio tej32rm2 731022 195.0 13053.6971 / 13052.0913 13053.539 0.464 266.796 297.80 983.57 11.91 / 325.60 1.480 1.499 wege sn104 155.00 0.000 1.845 ner 2 52 71 100 2 13053.6962
tehac diorite fairmont 891117 1014 137.3 28338.9745 + 28312.1591 9.9999 28337.923 0.491 240.250 286.03 850.05 2.72 + 2033.30 0.477 1.387 7601 gh k sn104 964.10 -.048 1.403 c df 1 353 525 585 100 2 28338.9694
tehac diorite gneiss 731021 288.8 8494.8645 + 8488.9514 8494.460 0.467 228.776 285.46 808.52 8.64 + 2033.30 1.477 1.400 ziag sn104 1794.10 0.000 1.034 os 1 52 71 100 4 8494.8636
tehac diorite gneiss 741112 288.8 8494.8702 + 8488.9571 8494.454 0.476 226.683 290.87 815.56 3.32 + 2033.30 1.477 1.545 weg- sn104 1794.10 0.000 1.291 cha 1 71 65 100 2 8494.8689
tehac diorite gneiss 76 515 1046 288.8 8494.8682 + 8488.9550 8494.441 0.476 225.614 289.77 808.43 3.23 + 1794.10 1.476 1.305 ml-j sn104 2033.30 0.000 1.445 s 2 57 74 105 2 8494.8675
tehac diorite gneiss 77 623 1251 288.8 8494.8753 + 8488.9622 8494.394 0.450 222.715 294.52 812.50 12.73 + 2033.30 1.476 1.433 olso sn104 1794.10 0.000 1.416 n 1 b 58 75 80 3 8494.8745
tehac diorite gneiss 78 710 1337 288.8 8494.8735 + 8488.9604 8494.371 0.415 224.787 291.77 812.14 11.16 + 2033.30 1.476 1.370 dwr sn104 1794.10 0.000 1.478 1 b 58 69 91 3 8494.8727
tehac diorite gneiss 79 3 8 1540 288.8 8494.8729 + 8488.9598 8494.415 0.415 227.953 286.00 806.84 6.88 + 2033.30 1.407 1.390 rfw/ sn104 1794.10 0.000 1.591 dcr 1 a a1 75 92 2 8494.8720
tehac diorite gneiss 791127 1315 288.8 8494.8783 + 8488.9652 8494.510 0.479 232.691 282.87 814.19 3.68 + 2033.30 0.476 1.425 ham sn104 1794.10 -.026 1.390 cs af 1 c c1 a1 90 2 8494.8771
tehac diorite gneiss 801212 1228 288.8 8494.8736 + 8488.9604 8494.511 0.474 232.947 281.46 810.56 1.85 + 1794.10 0.475 1.020 2199 6898 este sn123 2033.30 -.026 1.350 4093 s je bf 2 c a1 d2 97 2 8494.8730
tehac diorite gneiss 82 430 1405 288.8 8494.8812 + 8488.9681 8494.472 0.474 228.461 285.57 807.43 7.39 + 2033.30 0.476 1.349 2198 6950 latz sn104 1794.10 -.026 1.307 a rf bf 1 c e2 b2 95 3 8494.8805
tehac diorite gneiss 8212 3 1617 288.8 8494.8810 + 8488.9678 9.9999 8494.511 0.468 232.151 283.42 813.78 3.89 + 2033.30 0.476 1.215 2199 4079 gh j sn104 1794.10 -.049 1.515 6899 b gf 1 164 310 17 85 2 8494.8802
tehac diorite gneiss 84 612 1159 288.8 8494.8908 + 8488.9776 9.9999 8494.475 0.466 229.371 283.83 805.68 6.89 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 1794.10 -.026 1.320 6899 kmk cf 1 164 500 450 80 2 8494.8899
tehac diorite gneiss 8611 8 1116 288.8 8494.8821 + 8488.9689 0.0012 8496.095 2.003 237.001 277.61 813.79 4.09 + 2033.30 0.477 1.353 7594 7595 kwc sn104 1794.10 -.048 1.345 7600 wkg if 1 352 413 460 65 2 8494.8813
tehac diorite gneiss 891117 1238 288.8 8494.8911 + 8488.9779 0.0024 8496.041 2.013 228.694 285.14 806.59 2.62 + 2033.30 0.477 1.387 7601 gh k sn104 1794.10 -.048 1.470 c gf 1 353 525 585 85 2 8494.8898
tehac diorite police 73 628 262.6 0.0000 / 26663.0088 red 51 0.0054 2033.30 1467.67 1
tehac diorite police 731022 262.6 26676.3020 + 26663.0140 red 26662.014 0.473 235.361 283.28 824.35 5.17 + 1467.67 1.477 1.521 wege sn104 2033.30 0.000 1.530 ner 2 52 71 100 2
tehac diorite police 741112 262.4 26676.2960 + 26663.0079 red 26661.875 0.474 230.329 291.95 831.31 3.37 + 2033.30 1.477 1.545 weg- sn104 1467.67 0.000 1.516 cha 1 71 65 100 2
tehac diorite police 76 515 1252 262.4 26676.2952 + 26663.0072 red 26661.824 0.473 228.614 291.94 825.00 3.53 + 2033.30 1.476 1.435 ml-j sn104 1467.67 0.000 1.579 s 1 57 74 115 2
tehac diorite police 77 623 0814 262.6 26676.3095 + 26663.0215 red 26661.803 0.450 228.113 293.33 828.37 11.90 + 1467.67 1.476 1.500 kwg sn104 2033.30 0.000 1.399 2 b 58 75 120 2
tehac diorite police 78 315 1052 262.6 26676.3101 + 26663.0221 red 26662.064 0.439 238.101 282.72 832.02 3.03 + 1467.67 1.469 1.415 wao sn104 2033.30 0.000 1.475 2 b 58 69 97 2
tehac diorite police 79 3 8 1714 262.4 26676.3183 + 26663.0303 red 26661.889 0.415 232.344 286.22 822.39 6.22 + 2033.30 1.476 1.390 rfw/ sn104 1467.67 0.000 1.504 dcr 1 a a1 75 95 2
tehac diorite police 791127 1432 262.4 26676.3214 + 26663.0334 red 26662.083 0.477 237.285 283.11 830.37 3.65 + 2033.30 0.476 1.425 ham sn104 1467.67 -.026 1.700 cs af 1 c c1 a1 90 2
tehac diorite police 801211 262.6 26676.3088 + 26663.0208 red 51 + 0.0000 1467.67 2033.30 2
tehac diorite police 82 5 6 1325 262.6 26676.3347 + 26663.0468 red 26662.011 0.474 233.703 287.42 830.89 8.15 + 1467.67 0.476 1.380 2198 6950 flak sn104 2033.30 -.027 1.710 e ml rg 2 d e2 b2 95 2
tehac diorite police 8212 6 0954 262.4 26676.3269 + 26663.0389 9.9999 red 51 26662.151 0.513 237.155 282.12 826.88 2.99 + 1467.67 0.475 1.295 2199 4079 gh j sn123 2033.30 -.049 1.390 6899 b gf 2 164 310 291 100 2
tehac diorite police 84 612 1412 262.4 26676.3603 + 26663.0723 9.9999 red 51 26661.991 0.465 232.444 285.68 821.33 7.42 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 1467.67 -.048 1.930 6899 kmk ef if 1 164 500 450 90 2
tehac diorite police 8611 9 0702 262.4 26676.3633 + 26663.0753 0.0015 red 51 26662.232 0.483 240.281 279.61 830.18 2.07 + 1467.67 0.477 1.776 7594 7595 wkg sn104 2033.30 -.048 1.505 7601 kwc if 2 352 413 460 100 2
tehac diorite police 891117 0944 262.4 26676.3783 + 26663.0903 0.0026 red 51 26662.063 0.492 233.197 285.81 823.71 2.66 + 2033.30 0.477 1.387 7601 g kc sn104 1467.67 -.048 1.830 gf 1 353 525 585 90 2
tehac diorite policeec 73 628 262.6 26663.1623 / 26649.8750 0.0054 2033.30 1467.67 1
tehac diorite policeec 731022 262.5 26663.1676 + 26649.8802 26662.014 0.473 235.361 283.28 824.35 5.17 + 1467.67 1.477 1.521 wege sn104 2033.30 0.000 1.530 ner 2 52 71 100 2 26663.1686
tehac diorite policeec 741112 262.3 26663.1615 + 26649.8741 26661.875 0.474 230.329 291.95 831.31 3.37 + 2033.30 1.477 1.545 weg- sn104 1467.67 0.000 1.516 cha 1 71 65 100 2 26663.1614
tehac diorite policeec 76 515 1252 262.3 26663.1608 + 26649.8734 26661.824 0.473 228.614 291.94 825.00 3.53 + 2033.30 1.476 1.435 ml-j sn104 1467.67 0.000 1.579 s 1 57 74 115 2 26663.1614
tehac diorite policeec 77 623 0814 262.5 26663.1751 + 26649.8877 26661.803 0.450 228.113 293.33 828.37 11.90 + 1467.67 1.476 1.500 kwg sn104 2033.30 0.000 1.399 2 b 58 75 120 2 26663.1758
tehac diorite policeec 78 315 1052 262.5 26663.1756 + 26649.8883 26662.064 0.439 238.101 282.72 832.02 3.03 + 1467.67 1.469 1.415 wao sn104 2033.30 0.000 1.475 2 b 58 69 97 2 26663.1764
tehac diorite policeec 79 3 8 1714 262.3 26663.1839 + 26649.8965 26661.889 0.415 232.344 286.22 822.39 6.22 + 2033.30 1.476 1.390 rfw/ sn104 1467.67 0.000 1.504 dcr 1 a a1 75 95 2 26663.1848
tehac diorite policeec 791127 1432 262.3 26663.1870 + 26649.8996 26662.083 0.477 237.285 283.11 830.37 3.65 + 2033.30 0.476 1.425 ham sn104 1467.67 -.026 1.700 cs af 1 c c1 a1 90 2 26663.1881
tehac diorite policeec 801211 262.5 26663.1744 + 26649.8870 + 0.0000 1467.67 2033.30 2
tehac diorite policeec 82 5 6 1325 262.5 26663.2003 + 26649.9130 26662.011 0.474 233.703 287.42 830.89 8.15 + 1467.67 0.476 1.380 2198 6950 flak sn104 2033.30 -.027 1.710 e ml rg 2 d e2 b2 95 2 26663.2015
tehac diorite policeec 8212 6 0954 262.5 26663.1925 + 26649.9051 9.9999 26662.151 0.513 237.155 282.12 826.88 2.99 + 1467.67 0.475 1.295 2199 4079 gh j sn123 2033.30 -.049 1.390 6899 b gf 2 164 310 291 100 2 26663.1940
tehac diorite policeec 84 612 1412 262.3 26663.2259 + 26649.9385 9.9999 26661.991 0.465 232.444 285.68 821.33 7.42 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 1467.67 -.048 1.930 6899 kmk ef if 1 164 500 450 90 2 26663.2268
tehac diorite policeec 8611 9 0702 262.5 26663.2289 + 26649.9415 0.0015 26662.232 0.483 240.281 279.61 830.18 2.07 + 1467.67 0.477 1.776 7594 7595 wkg sn104 2033.30 -.048 1.505 7601 kwc if 2 352 413 460 100 2 26663.2304
tehac diorite policeec 891117 0944 262.3 26663.2439 + 26649.9565 0.0026 26662.063 0.492 233.197 285.81 823.71 2.66 + 2033.30 0.477 1.387 7601 g kc sn104 1467.67 -.048 1.830 gf 1 353 525 585 90 2 26663.2448
tehac diorite saw ecc 731021 169.5 27236.1595 + 27225.9370 27234.889 0.476 231.853 284.21 814.44 4.55 + 1680.00 1.477 1.519 weg- sn104 2033.30 0.000 1.610 z 2 52 71 100 2 27236.1622
tehac diorite saw ecc 741112 169.6 27236.1488 + 27225.9264 27234.819 0.473 229.781 289.09 820.81 3.02 + 2033.30 1.476 1.545 weg- sn104 1680.00 0.000 1.460 cha 1 71 65 100 2 27236.1513
tehac diorite saw ecc 76 515 1324 169.6 27236.1421 + 27225.9196 27234.704 0.472 226.028 291.56 814.34 3.42 + 2033.30 1.476 1.435 ml-j sn104 1680.00 0.000 1.825 s 1 57 74 104 2 27236.1446
tehac diorite saw ecc 77 623 1227 169.6 27236.1281 + 27225.9056 27234.595 0.450 223.251 296.22 818.59 12.14 + 2033.30 1.476 1.433 olso sn104 1680.00 0.000 1.530 n 1 b 58 75 117 2 27236.1294
tehac diorite saw ecc 78 710 1509 169.6 27236.1144 + 27225.8920 27234.596 0.417 225.141 293.43 817.23 8.46 + 2033.30 1.476 1.370 dwr sn104 1680.00 0.000 1.838 1 b 58 69 95 2 27236.1159
tehac diorite saw ecc 79 3 8 1156 169.5 27236.1122 + 27225.8897 27234.761 0.411 230.540 285.73 814.17 4.96 + 1680.00 1.407 1.288 rfw/ sn104 2033.30 0.000 1.369 dcr 2 a a1 75 97 2 27236.1151
tehac diorite saw ecc 791129 1534 169.5 27236.1284 + 27225.9060 27234.944 0.509 233.740 283.96 820.22 3.38 + 1680.00 0.476 1.399 ham sn104 2033.30 -.026 1.635 sm cf 2 c c1 a1 97 2 27236.1306
tehac diorite saw ecc 801211 0918 169.5 27236.1130 + 27225.8906 27234.962 0.475 236.255 281.89 822.75 1.68 + 1680.00 0.475 1.367 2199 6898 pott sn123 2033.30 -.026 1.470 4093 sest af 2 c a1 d2 102 2 27236.1154
tehac diorite saw ecc 82 430 1130 169.6 27236.1023 + 27225.8799 27234.769 0.476 229.838 286.31 813.36 4.80 + 2033.30 0.476 1.349 2198 6950 latz sn104 1680.00 -.027 1.857 a rf rg-rd1 c e2 b2 90 2 27236.1049
tehac diorite saw ecc 8212 3 1502 169.6 27236.1036 + 27225.8812 9.9999 27234.911 0.483 233.943 283.42 819.45 4.49 + 2033.30 0.476 1.215 2199 4079 gh j sn104 1680.00 -.048 1.700 0868 b df 1 164 310 17 100 2 27236.1061
tehac diorite saw ecc 8212 5 1205 169.5 27236.0988 + 27225.8764 9.9999 27234.944 0.512 233.924 282.22 815.90 4.63 + 1680.00 0.475 1.260 2199 4079 gh j sn123 2033.30 -.049 1.470 6899 b gf 2 164 310 291 100 2 27236.1019
tehac diorite saw ecc 84 612 1130 169.6 27236.0950 + 27225.8726 9.9999 27234.750 0.466 229.028 286.35 810.95 6.14 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 1680.00 -.048 1.680 4995 kmk if ef 1 164 500 450 95 2 27236.0963
tehac diorite saw ecc 8611 8 1135 169.6 27236.0823 + 27225.8599 0.0027 27235.529 0.985 238.952 277.55 819.38 3.39 + 2033.30 0.477 1.353 7594 7595 kwc sn104 1680.00 -.048 1.738 7601 wkg gf 1 352 413 460 100 2 27236.0861
tehac diorite saw ecc 891117 1107 169.6 27236.0698 + 27225.8474 0.0068 27234.821 0.490 231.479 284.16 812.62 2.42 + 2033.30 0.477 1.387 7601 gh k sn104 1680.00 -.048 1.446 c df 1 353 525 585 90 2 27236.0729
tehac diorite sawmill 731021 169.6 27236.1851 + 27225.9659 red 27234.889 0.476 231.853 284.21 814.44 4.55 + 1680.30 1.477 1.519 weg- sn104 2033.30 0.000 1.610 z 2 52 71 100 2
tehac diorite sawmill 741112 169.6 27236.1744 + 27225.9553 red 27234.819 0.473 229.781 289.09 820.81 3.02 + 2033.30 1.476 1.545 weg- sn104 1680.30 0.000 1.460 cha 1 71 65 100 2
tehac diorite sawmill 76 515 1324 169.6 27236.1677 + 27225.9485 red 27234.704 0.472 226.028 291.56 814.34 3.42 + 2033.30 1.476 1.435 ml-j sn104 1680.30 0.000 1.825 s 1 57 74 104 2
tehac diorite sawmill 77 623 1227 169.6 27236.1537 + 27225.9345 red 27234.595 0.450 223.251 296.22 818.59 12.14 + 2033.30 1.476 1.433 olso sn104 1680.30 0.000 1.530 n 1 b 58 75 117 2
tehac diorite sawmill 78 710 1509 169.6 27236.1401 + 27225.9209 red 27234.596 0.417 225.141 293.43 817.23 8.46 + 2033.30 1.476 1.370 dwr sn104 1680.30 0.000 1.838 1 b 58 69 95 2
tehac diorite sawmill 79 3 8 1156 169.6 27236.1378 + 27225.9186 red 27234.761 0.411 230.540 285.73 814.17 4.96 + 1680.30 1.407 1.288 rfw/ sn104 2033.30 0.000 1.369 dcr 2 a a1 75 97 2
tehac diorite sawmill 791129 1534 169.6 27236.1540 + 27225.9349 red 27234.944 0.509 233.740 283.96 820.22 3.38 + 1680.30 0.476 1.399 ham sn104 2033.30 -.026 1.635 sm cf 2 c c1 a1 97 2
tehac diorite sawmill 801211 0918 169.6 27236.1387 + 27225.9195 red 27234.962 0.475 236.255 281.89 822.75 1.68 + 1680.30 0.475 1.367 2199 6898 pott sn123 2033.30 -.026 1.470 4093 sest af 2 c a1 d2 102 2
tehac diorite sawmill 82 430 1130 169.6 27236.1279 + 27225.9088 red 27234.769 0.476 229.838 286.31 813.36 4.80 + 2033.30 0.476 1.349 2198 6950 latz sn104 1680.30 -.027 1.857 a rf rg-rd1 c e2 b2 90 2
tehac diorite sawmill 8212 3 1502 169.6 27236.1292 + 27225.9101 9.9999 red 27234.911 0.483 233.943 283.42 819.45 4.49 + 2033.30 0.476 1.215 2199 4079 gh j sn104 1680.30 -.048 1.700 0868 b df 1 164 310 17 100 2
tehac diorite sawmill 8212 5 1205 169.6 27236.1245 + 27225.9053 9.9999 red 27234.944 0.512 233.924 282.22 815.90 4.63 + 1680.30 0.475 1.260 2199 4079 gh j sn123 2033.30 -.049 1.470 6899 b gf 2 164 310 291 100 2
tehac diorite sawmill 84 612 1130 169.6 27236.1207 + 27225.9015 9.9999 red 27234.750 0.466 229.028 286.35 810.95 6.14 + 2033.30 0.478 1.204 7600 0868 wwp/ sn104 1680.30 -.048 1.680 4995 kmk if ef 1 164 500 450 95 2
tehac diorite sawmill 8611 8 1135 169.6 27236.1079 + 27225.8888 0.0027 red 27235.529 0.985 238.952 277.55 819.38 3.39 + 2033.30 0.477 1.353 7594 7595 kwc sn104 1680.30 -.048 1.738 7601 wkg gf 1 352 413 460 100 2
tehac diorite sawmill 891117 1107 169.6 27236.0955 + 27225.8763 0.0068 red 27234.821 0.490 231.479 284.16 812.62 2.42 + 2033.30 0.477 1.387 7601 gh k sn104 1680.30 -.048 1.446 c df 1 353 525 585 90 2
tehac diorite tejon 41 731021 231.5 23388.4196 + 23375.5400 23387.350 0.466 233.288 285.54 824.30 8.90 + 2033.30 1.477 1.400 ziag sn104 1484.38 0.000 1.584 os 1 52 71 100 2 23388.4195
tehac diorite tejon 41 741112 231.5 23388.4247 + 23375.5452 23387.357 0.472 232.866 288.57 830.80 3.41 + 2033.30 1.477 1.545 weg- sn104 1484.38 0.000 1.501 cha 1 71 65 100 2 23388.4249
tehac diorite tejon 41 76 515 1428 231.5 23388.4207 + 23375.5411 23387.223 0.472 227.241 293.21 823.75 3.69 + 2033.30 1.476 1.435 ml-j sn104 1484.38 0.000 1.315 s 1 57 74 103 2 23388.4205
tehac diorite tejon 41 77 614 1311 231.7 23388.4237 + 23375.5442 23387.280 0.450 230.511 289.31 825.31 9.01 + 1484.38 1.476 1.300 wao sn104 2033.30 0.000 1.396 2 b 68 75 120 2 23388.4231
tehac diorite tejon 41 78 710 1311 231.5 23388.4228 + 23375.5433 23387.169 0.414 227.483 293.74 827.43 11.99 + 2033.30 1.469 1.370 dwr sn104 1484.38 0.000 1.515 1 b 58 69 96 2 23388.4223
tehac diorite tejon 41 79 3 8 1514 231.5 23388.4214 + 23375.5418 23387.256 0.413 231.208 287.53 822.23 5.78 + 2033.30 1.476 1.390 rfw/ sn104 1484.38 0.000 1.360 dcr 1 a a1 75 92 2 23388.4209
tehac diorite tejon 41 791127 1358 231.5 23388.4327 + 23375.5532 23387.535 0.476 239.821 280.05 830.24 4.07 + 2033.30 0.476 1.425 stif sn104 1484.38 -.025 1.212 fler qlm 1 c c1 a1 87 2 23388.4336
tehac diorite tejon 41 801210 1435 231.7 23388.4275 + 23375.5480 23387.556 0.475 240.727 280.15 833.38 1.56 + 1484.38 0.475 1.120 2199 6898 pott sn123 2033.30 -.026 1.540 4093 sest af 2 c a1 d2 96 2 23388.4279
tehac diorite tejon 41 82 430 1423 231.5 23388.4273 + 23375.5477 23387.321 0.474 231.348 287.59 822.65 5.12 + 2033.30 0.476 1.349 2198 6950 latz sn104 1484.38 -.026 1.511 a rf cf 1 c e2 b2 85 2 23388.4270
tehac diorite tejon 41 8212 3 1526 231.5 23388.4416 + 23375.5621 9.9999 23387.498 0.486 236.888 283.17 829.59 4.95 + 2033.30 0.476 1.215 2199 4079 gh j sn104 1484.38 -.049 1.410 6899 b gf 1 164 310 17 100 2 23388.4414
tehac diorite tejon 41 84 531 1020 231.7 23388.4400 + 23375.5605 9.9999 23387.270 0.475 228.014 292.67 825.41 5.94 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 2033.30 -.026 1.525 6899 kmk bf 2 164 500 450 90 2 23388.4397
tehac diorite tejon 41 8611 8 1344 231.5 23388.4505 + 23375.5710 0.0036 23389.107 2.000 240.544 278.83 829.32 4.32 + 2033.30 0.477 1.353 7594 7595 kwc sn104 1484.38 -.048 1.440 7600 wkg if 1 352 413 460 100 2 23388.4502
tehac diorite tejon 41 87 630 1354 231.7 23388.4512 + 23375.5717 0.0017 23388.819 2.006 227.285 293.24 825.12 10.95 + 1484.38 0.477 1.206 7595 7601 gdhj sn104 2033.30 -.048 1.731 ms hf 2 164 485 565 92 3 23388.4504
tehac diorite tejon 41 891117 1203 231.5 23388.4552 + 23375.5756 0.0019 23388.959 2.013 233.286 285.15 822.15 2.58 + 2033.30 0.477 1.387 7601 gh k sn104 1484.38 -.048 1.300 c df 1 353 525 585 85 2 23388.4557
tehac diorite thumb 731021 114.0 19658.9318 + 19618.1060 19658.154 0.469 239.206 289.32 857.10 7.45 + 2033.30 1.480 1.400 ziag sn104 837.20 0.000 1.449 os 1 52 71 100 2 19658.9251
tehac diorite thumb 741112 114.0 19658.9278 + 19618.1019 19658.219 0.475 241.543 289.30 864.95 3.68 + 2033.30 1.476 1.545 weg- sn104 837.20 0.000 1.335 cha 1 71 65 100 2 19658.9212
tehac diorite thumb 76 515 1454 114.0 19658.9398 + 19618.1140 19658.052 0.471 232.954 296.69 855.71 4.34 + 2033.30 1.476 1.435 ml-j sn104 837.20 0.000 1.340 s 1 57 74 105 2 19658.9334
tehac diorite thumb 77 615 0758 113.9 19658.9363 + 19618.1105 19658.147 0.453 239.136 289.84 858.69 6.51 + 837.20 1.476 1.386 wao sn104 2033.30 0.000 1.409 2 b 68 75 120 2 19658.9290
tehac diorite thumb 78 316 1359 113.9 19658.9219 + 19618.0961 19658.225 0.433 244.233 286.43 866.03 3.73 + 837.20 1.476 1.155 wao/ sn104 2033.30 0.000 1.387 kwg 2 b 58 69 108 2 19658.9153
tehac diorite thumb 79 3 8 1624 114.0 19658.9421 + 19618.1163 19658.088 0.414 237.510 290.56 854.92 7.22 + 2033.30 1.407 1.390 rfw/ sn104 837.20 0.000 1.612 dcr 1 a a1 75 98 2 19658.9352
tehac diorite thumb 791127 1328 114.0 19658.9396 + 19618.1138 19658.336 0.478 247.321 282.52 865.01 4.17 + 2033.30 0.476 1.425 ham sn104 837.20 -.026 1.405 cs bf 1 c c1 a1 85 2 19658.9333
tehac diorite thumb 8012 2 1545 113.9 19658.9466 + 19618.1208 19658.254 0.474 241.955 286.47 858.17 3.52 + 837.20 0.475 1.165 2199 6898 este sn123 2033.30 -.026 1.510 4093 spot af 2 c a1 d2 97 2 19658.9393
tehac diorite thumb 82 430 1058 114.0 19658.9417 + 19618.1159 19658.172 0.477 239.193 289.28 856.59 6.67 + 2033.30 0.476 1.349 2198 6950 latz sn104 837.20 -.026 1.405 a rf bf 1 c e2 b2 80 2 19658.9351
tehac diorite thumb 8212 3 1637 114.0 19658.9531 + 19618.1273 9.9999 19658.313 0.463 246.135 283.39 863.85 5.73 + 2033.30 0.476 1.255 2199 4079 gh j sn104 837.20 -.048 1.570 0868 b df 1 164 310 17 85 2 19658.9458
tehac diorite thumb 84 530 1157 113.9 19658.9653 + 19618.1396 9.9999 19658.059 0.464 232.226 298.90 860.11 8.46 + 837.20 0.478 1.264 7600 0868 wwp/ sn104 2033.30 -.026 1.445 6899 kmk bf 2 164 500 450 95 2 19658.9584
tehac diorite thumb 8611 8 1606 114.0 19658.9709 + 19618.1451 0.0005 19658.379 0.477 247.122 282.46 863.86 4.36 + 2033.30 0.477 1.353 7594 7595 kwc sn104 837.20 -.048 1.390 7601 wkg gf 1 352 413 460 85 2 19658.9661
tehac diorite thumb 891117 1137 114.0 19658.9707 + 19618.1450 0.0052 19658.259 0.489 240.741 287.35 856.04 2.98 + 2033.30 0.477 1.387 7601 gh k sn104 837.20 -.048 1.551 c if 1 353 525 585 90 2 19658.9655
tehac doub rm1 soledad 731020 101.6 27805.7027 + 27773.5512 27804.342 0.465 229.802 286.49 815.28 7.90 + 1277.84 1.477 1.390 kino sn104 2435.20 0.000 1.567 2 52 71 100 2 27805.6968
tehac doub rm1 soledad 741111 101.6 27805.7020 + 27773.5505 27804.439 0.474 232.789 286.00 823.69 3.16 + 1277.84 1.476 1.460 ham- sn104 2435.20 0.000 1.720 cha 2 71 65 100 2 27805.6966
tehac doub rm1 soledad 76 510 1658 101.6 27805.7018 + 27773.5503 27804.295 0.476 227.900 289.65 817.08 5.60 + 1277.84 1.476 1.265 ml-j sn104 2435.20 0.000 1.315 s 2 68 57 115 2 27805.6963
tehac doub rm1 soledad 77 615 1314 101.6 27805.7030 + 27773.5515 27804.256 0.450 227.306 290.61 817.83 6.26 + 1277.84 1.476 1.330 kwg sn104 2435.20 0.000 1.437 2 b 68 75 120 2 27805.6974
tehac doub rm1 soledad 79 3 7 1037 101.6 27805.7015 + 27773.5500 27804.437 0.411 234.016 284.04 822.78 6.08 + 1277.84 1.407 1.281 rfw/ sn104 2435.20 0.000 1.719 jgh 2 a a1 75 99 2 27805.6959
tehac doub rm1 soledad 791129 1230 101.6 27805.7213 + 27773.5699 27804.588 0.506 235.996 281.74 822.61 2.51 + 1277.84 0.476 1.230 ham sn104 2435.20 -.026 1.710 sm cf 2 c c1 a1 97 2 27805.7151
tehac doub rm1 soledad 801125 1503 101.6 27805.7085 + 27773.5570 27804.620 0.476 238.545 279.54 824.81 1.71 + 1277.84 0.475 1.122 2199 6898 este sn123 2435.20 -.026 1.707 6899 spot bf 2 c a1 d2 102 2 27805.7029
tehac doub rm1 soledad 82 423 1040 101.6 27805.7147 + 27773.5632 27804.477 0.478 232.181 284.99 819.01 5.61 + 1277.84 0.476 1.200 2198 6950 wavn sn104 2435.20 -.048 1.882 ockl f 2 c e2 b2 85 3 27805.7092
tehac doub rm1 soledad 8212 3 1143 101.6 27805.6414 + 27773.4899 9.9999 i 27804.508 0.504 235.119 282.48 822.06 4.82 + 1277.84 0.476 1.100 2199 4079 gh j sn104 2435.20 -.049 1.690 6899 b gf 2 164 310 17 100 2 27805.6349
tehac doub rm1 soledad 84 519 1411 101.6 27805.7189 + 27773.5674 9.9999 27804.237 0.470 224.945 294.58 819.93 5.14 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 2435.20 -.026 1.465 4995 kmk cf 2 164 500 450 105 2 27805.7155
tehac doub rm1 soledad 861027 1049 101.6 27805.7283 + 27773.5768 0.0025 27804.391 0.467 229.712 288.89 821.40 4.74 + 1277.84 0.477 1.324 7594 7595 wgh sn104 2435.20 -.048 1.560 jls gf 2 352 413 460 90 2 27805.7218
tehac doub rm1 soledad 891017 1155 101.6 27805.7271 + 27773.5756 0.0032 27805.793 1.836 230.332 288.15 820.99 3.44 + 1277.84 0.477 1.228 7601 gh k sn104 2435.20 -.048 1.846 c hf 2 353 525 585 85 2 27805.7232
tehac fairmont pelona 82 3 4 1245 167.3 21401.0895 + 21390.7712 21400.510 0.477 250.196 283.62 877.14 2.50 + 964.10 0.476 1.435 2198 6950 este sn104 1479.90 -.048 1.423 4093 s f 1 c a1 76 95 2 21401.0892
tehac fairmont pelona 821116 1319 167.3 21401.0860 + 21390.7677 21400.495 0.472 250.062 283.06 875.18 4.46 + 1479.90 0.476 1.389 2198 6950 latz sn104 964.10 -.049 1.623 6899 a rg gf 2 c 76 a1 100 2 21401.0859
tehac fairmont pelona 84 530 1623 167.3 21401.0860 + 21390.7677 9.9999 21400.161 0.464 235.444 300.73 876.60 10.63 + 964.10 0.478 1.225 0868 7600 wwp/ sn104 1479.90 -.026 1.465 6899 kmk bf 1 164 500 450 90 2 21401.0842
tehac fairmont pelona 861023 0914 167.3 21401.0742 + 21390.7559 0.0014 21400.436 0.476 248.103 286.94 880.48 5.79 + 1479.90 0.477 1.157 7594 7595 wkg sn104 964.10 -.048 1.662 7601 jms hf 2 164 413 460 90 2 21401.0735
tehac fairmont pelona 891015 1808 167.3 21401.0591 + 21390.7408 9.9999 21401.892 1.997 244.958 288.86 875.37 7.02 + 964.10 0.477 1.322 7601 gh k sn104 1479.90 -.048 1.517 c df 1 353 525 585 90 2 21401.0582
tehac fairmont saw ecc 82 3 4 1220 246.1 15435.4782 + 15415.6771 15435.052 0.476 249.593 281.12 867.82 2.52 + 964.10 0.476 1.435 2198 6950 este sn104 1680.00 -.026 1.650 6899 s bf 1 c a1 76 97 2 15435.4757
tehac fairmont saw ecc 82 415 1535 246.2 15435.4852 + 15415.6841 15435.090 0.470 251.357 278.28 865.50 5.83 + 1680.00 0.476 1.450 2198 6950 rf l sn104 964.10 -.048 1.486 atza f 2 d e2 b2 90 2 15435.4834
tehac fairmont saw ecc 8212 5 1050 246.2 15435.4802 + 15415.6791 9.9999 15435.074 0.510 248.802 283.10 871.49 4.96 + 1680.00 0.476 1.260 2199 4079 gh j sn123 964.10 -.049 1.570 6899 b gf 2 164 310 291 100 2 15435.4778
tehac fairmont saw ecc 84 530 1538 246.1 15435.4956 + 15415.6945 9.9999 15434.809 0.464 232.942 300.52 867.28 10.58 + 964.10 0.478 1.225 0868 7600 wwp/ sn104 1680.00 -.026 1.655 6899 kmk bf 1 164 500 450 80 2 15435.4916
tehac fairmont saw ecc 861110 1341 246.1 15435.4966 + 15415.6955 0.0011 15436.571 1.996 246.591 286.30 872.80 3.23 + 964.10 0.477 1.191 7594 7595 wkg sn104 1680.00 -.048 1.540 6950 kwc hf 1 352 413 460 80 2 15435.4962
tehac fairmont saw ecc 891115 0749 246.2 15435.5018 + 15415.7007 0.0000 15436.613 2.018 249.045 284.45 876.26 2.55 + 1680.00 0.477 1.376 7601 wk/g sn104 964.10 -.048 1.533 /h gf 2 353 525 585 95 2 15435.4989
tehac fairmont sawmill 82 415 1605 246.3 15431.1278 + 15411.3086 15430.734 0.482 252.050 277.67 866.00 6.12 + 1680.30 0.471 1.075 0871 4093 wood sn124 964.10 -.048 1.704 yst f 2 d e2 b2 90 2 15431.1259
tehac fairmont soledad 82 326 1250 37.7 32715.9978 + 32708.7707 32715.223 0.477 254.322 281.95 886.30 8.26 + 964.10 0.476 1.240 2198 6950 latz sn104 1277.84 -.048 1.410 4093 a se f 1 c a1 76 98 2 32716.0056
tehac fairmont soledad 8212 2 1553 37.6 32716.0032 + 32708.7760 9.9999 32715.341 0.484 257.693 279.43 889.53 4.18 + 1277.84 0.476 1.100 2199 4079 gh j sn104 964.10 -.049 1.530 6899 b gf 2 164 310 291 100 2 32716.0106
tehac fairmont soledad 84 519 1306 37.6 32715.9952 + 32708.7681 9.9999 32714.717 0.470 240.068 300.38 891.21 7.06 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 964.10 -.026 1.610 6899 kmk bf 2 164 500 450 105 2 32716.0013
tehac fairmont soledad 861027 0921 37.6 32715.9990 + 32708.7719 0.0054 32714.956 0.470 246.527 293.58 894.05 5.29 + 1277.84 0.477 1.324 7594 7595 wgh sn104 964.10 -.048 1.820 7601 jls hf 2 352 413 460 100 2 32716.0069
tehac fairmont soledad 891017 1233 37.6 32715.9903 + 32708.7631 0.0005 32714.745 0.315 245.067 294.95 893.00 4.90 + 1277.84 0.477 1.228 7601 gh k sn104 964.10 -.048 1.686 c if 2 353 525 585 90 2 32715.9969
tehac fairmont thumb 82 2 4 355.2 12954.4497 + 12951.9952 + 0.0000 964.10 837.20 1
tehac fairmont thumb 82 3 4 1533 355.2 12954.4503 + 12951.9957 12954.232 0.478 258.873 284.17 909.55 3.79 + 964.10 0.476 1.435 2198 6950 jm e sn104 837.20 -.048 1.483 4093 stes f 1 c a1 76 95 2 12954.4500
tehac fairmont thumb 821110 1338 355.2 12954.4422 + 12951.9877 12954.288 0.504 261.658 281.04 909.37 4.82 + 837.20 0.476 1.440 2198 6950 rog sn104 964.10 -.049 1.505 6899 fw gf 2 c 76 a1 100 2 12954.4418
tehac fairmont thumb 84 530 1236 355.2 12954.4414 + 12951.9868 9.9999 12953.971 0.464 242.184 304.20 911.85 9.96 + 837.20 0.478 1.264 7600 0868 wwp/ sn104 964.10 -.026 1.385 4995 kmk cf 2 164 500 450 100 2 12954.4407
tehac fairmont thumb 861110 1242 355.2 12954.4333 + 12951.9787 0.0000 12955.695 1.997 256.100 289.71 917.36 3.71 + 964.10 0.477 1.191 7594 7595 wkg sn104 837.20 -.048 1.400 gf 1 352 413 460 80 2 12954.4328
tehac fairmont thumb 891015 1729 355.2 12954.4074 + 12951.9528 0.0013 12955.600 1.990 251.463 291.86 908.25 7.52 + 964.10 0.477 1.322 7601 gh k sn104 837.20 -.048 1.793 c ef 1 353 525 585 90 2 12954.4059
tehac gneiss police 731022 251.4 19430.3258 + 19422.6279 red 19427.330 0.473 236.581 285.78 836.16 4.14 + 1467.67 1.477 1.521 wege sn104 1794.10 0.000 1.380 ner 2 52 71 100 2
tehac gneiss police 76 515 1313 251.3 19430.3176 + 19422.6197 red 19427.231 0.476 231.890 291.51 835.64 3.55 + 1794.10 1.476 1.305 ml-j sn104 1467.67 0.000 1.579 s 1 57 74 102 2
tehac gneiss police 77 623 0745 251.4 19430.3251 + 19422.6273 red 19427.191 0.449 230.663 293.99 839.69 11.86 + 1467.67 1.476 1.500 kwg sn104 1794.10 0.000 1.445 2 b 58 75 120 2
tehac gneiss police 78 315 1005 251.4 19430.3235 + 19422.6257 red 19427.380 0.440 240.857 283.48 844.01 3.04 + 1467.67 1.476 1.415 wao sn104 1794.10 0.000 1.423 2 b 58 69 98 3
tehac gneiss police 79 4 5 0931 251.4 19430.3269 + 19422.6291 red 19427.281 0.416 236.855 286.65 839.47 4.23 + 1467.67 1.476 1.420 rfw/ sn104 1794.10 0.000 1.401 jgh 2 c c1 a1 90 2
tehac gneiss police 791130 0940 251.3 19430.3340 + 19422.6362 red 19427.437 0.510 240.072 283.87 842.64 4.26 + 1794.10 0.476 1.093 ham sn104 1467.67 -.026 1.550 sm cf 1 c c1 a1 94 2
tehac gneiss police 801211 1255 251.4 19430.3307 + 19422.6329 red 19427.377 0.474 238.566 285.75 842.59 2.08 + 1467.67 0.475 1.334 2199 6898 pott sn123 1794.10 -.026 1.390 4093 sest af 2 c a1 d2 97 2
tehac gneiss police 82 5 5 1045 251.4 19430.3292 + 19422.6314 red 19427.406 0.476 238.711 284.91 841.36 7.43 + 1467.67 0.476 1.450 2198 6950 flak sn104 1794.10 -.048 1.756 e se f-bf 2 d e2 b2 80 2
tehac gneiss police 8212 6 1034 251.3 19430.3287 + 19422.6309 9.9999 red 19427.420 0.475 239.710 282.94 838.38 3.17 + 1467.67 0.475 1.295 2199 4079 gh j sn123 1794.10 -.049 1.300 6899 b gf 2 164 310 291 100 2
tehac gneiss police 84 531 1444 251.3 19430.3560 + 19422.6582 9.9999 red 19427.262 0.473 231.550 292.15 837.00 8.61 + 1467.67 0.478 1.340 7600 0868 wwp/ sn104 1794.10 -.026 1.360 6899 kmk bf 2 164 500 450 100 2
tehac gneiss police 8611 9 0802 251.3 19430.3611 + 19422.6632 0.0001 red 19427.532 0.482 243.903 279.48 842.43 2.22 + 1467.67 0.477 1.776 7594 7595 wkg sn104 1794.10 -.048 1.335 7601 kwc if 2 352 413 460 90 2
tehac gneiss police 891116 0924 251.3 19430.3655 + 19422.6677 0.0018 red 19427.412 0.477 237.662 286.22 840.90 2.71 + 1467.67 0.477 1.624 7601 wk/g sn104 1794.10 -.048 1.295 /h gf 2 353 525 585 95 2
tehac gneiss policeec 731022 251.3 19428.1425 + 19420.4449 19427.330 0.473 236.581 285.78 836.16 4.14 + 1467.67 1.477 1.521 wege sn104 1794.10 0.000 1.380 ner 2 52 71 100 2 19428.1415
tehac gneiss policeec 76 515 1313 251.2 19428.1343 + 19420.4367 19427.231 0.476 231.890 291.51 835.64 3.55 + 1794.10 1.476 1.305 ml-j sn104 1467.67 0.000 1.579 s 1 57 74 102 2 19428.1342
tehac gneiss policeec 77 623 0745 251.3 19428.1419 + 19420.4443 19427.191 0.449 230.663 293.99 839.69 11.86 + 1467.67 1.476 1.500 kwg sn104 1794.10 0.000 1.445 2 b 58 75 120 2 19428.1414
tehac gneiss policeec 78 315 1005 251.3 19428.1403 + 19420.4427 19427.380 0.440 240.857 283.48 844.01 3.04 + 1467.67 1.476 1.415 wao sn104 1794.10 0.000 1.423 2 b 58 69 98 3 19428.1401
tehac gneiss policeec 79 4 5 0931 251.3 19428.1437 + 19420.4461 19427.281 0.416 236.855 286.65 839.47 4.23 + 1467.67 1.476 1.420 rfw/ sn104 1794.10 0.000 1.401 jgh 2 c c1 a1 90 2 19428.1434
tehac gneiss policeec 791130 0940 251.2 19428.1508 + 19420.4532 19427.437 0.510 240.072 283.87 842.64 4.26 + 1794.10 0.476 1.093 ham sn104 1467.67 -.026 1.550 sm cf 1 c c1 a1 94 2 19428.1506
tehac gneiss policeec 801211 1255 251.3 19428.1474 + 19420.4499 19427.377 0.474 238.566 285.75 842.59 2.08 + 1467.67 0.475 1.334 2199 6898 pott sn123 1794.10 -.026 1.390 4093 sest af 2 c a1 d2 97 2 19428.1472
tehac gneiss policeec 82 5 5 1045 251.3 19428.1460 + 19420.4484 19427.406 0.476 238.711 284.91 841.36 7.43 + 1467.67 0.476 1.450 2198 6950 flak sn104 1794.10 -.048 1.756 e se f-bf 2 d e2 b2 80 2 19428.1458
tehac gneiss policeec 8212 6 1034 251.3 19428.1455 + 19420.4479 9.9999 19427.420 0.475 239.710 282.94 838.38 3.17 + 1467.67 0.475 1.295 2199 4079 gh j sn123 1794.10 -.049 1.300 6899 b gf 2 164 310 291 100 2 19428.1457
tehac gneiss policeec 84 531 1444 251.3 19428.1728 + 19420.4752 9.9999 19427.262 0.473 231.550 292.15 837.00 8.61 + 1467.67 0.478 1.340 7600 0868 wwp/ sn104 1794.10 -.026 1.360 6899 kmk bf 2 164 500 450 100 2 19428.1726
tehac gneiss policeec 8611 9 0802 251.3 19428.1778 + 19420.4802 0.0001 19427.532 0.482 243.903 279.48 842.43 2.22 + 1467.67 0.477 1.776 7594 7595 wkg sn104 1794.10 -.048 1.335 7601 kwc if 2 352 413 460 90 2 19428.1783
tehac gneiss policeec 891116 0924 251.3 19428.1823 + 19420.4847 0.0018 19427.412 0.477 237.662 286.22 840.90 2.71 + 1467.67 0.477 1.624 7601 wk/g sn104 1794.10 -.048 1.295 /h gf 2 353 525 585 95 2 19428.1819
tehac gneiss tej32rm2 731022 329.2 21297.4872 + 21243.2712 21296.817 0.464 247.794 291.65 896.74 8.26 + 325.60 1.477 1.499 wege sn104 1794.10 0.000 1.380 ner 2 52 71 100 2 21297.4757
tehac gneiss tej32rm2 76 515 0940 329.2 21297.4730 + 21243.2569 21296.784 0.477 246.518 293.24 895.68 3.98 + 1794.10 1.476 1.305 ml-j sn104 325.60 0.000 1.505 s 1 57 74 98 2 21297.4614
tehac gneiss tej32rm2 77 713 1242 329.2 21297.4731 + 21243.2570 21296.741 0.447 245.334 295.60 899.60 12.01 + 325.60 1.476 1.477 kwg sn104 1794.10 0.000 1.460 2 b 58 75 120 2 21297.4619
tehac gneiss tej32rm2 78 710 1127 329.2 21297.4698 + 21243.2537 21296.685 0.411 244.038 297.17 900.04 14.44 + 325.60 1.476 1.380 dwr sn104 1794.10 0.000 1.530 2 b 58 69 105 2 21297.4588
tehac gneiss tej32rm2 79 4 5 1358 329.2 21297.4681 + 21243.2520 21296.747 0.406 247.685 292.42 898.00 8.55 + 325.60 1.476 1.385 rfw/ sn104 1794.10 0.000 1.401 kmc 2 c c1 a1 100 2 21297.4567
tehac gneiss tej32rm2 80 522 1257 329.2 21297.4619 + 21243.2458 21296.918 0.478 252.362 286.40 896.59 10.94 + 325.60 0.477 1.343 2199 6898 sn sn-104 1794.10 -.026 1.469 4093 bf 2 c d2 b2 97 2 21297.4505
tehac gneiss tej32rm2 801212 1331 329.2 21297.4725 + 21243.2564 21296.899 0.473 252.771 287.56 900.70 3.07 + 1794.10 0.475 1.020 2199 6898 este sn123 325.60 -.026 1.405 4093 s je bf 1 c a1 d2 100 2 21297.4592
tehac gneiss tej32rm2 82 5 5 1240 329.2 21297.4546 + 21243.2384 21296.810 0.474 250.240 290.84 902.45 10.62 + 1794.10 0.476 1.100 2198 6950 flak sn104 325.60 -.026 1.743 e se af-cf1 d e2 b2 90 2 21297.4438
tehac gneiss tej32rm2 84 613 1126 329.2 21297.4625 + 21243.2464 9.9999 21296.911 0.462 250.687 288.36 895.83 8.22 + 325.60 0.478 1.100 0868 7600 wwp/ sn104 1794.10 -.048 1.540 6899 kmk if ef 2 164 500 450 80 2 21297.4533
tehac gneiss tej32rm2 8611 9 1228 329.2 21297.4560 + 21243.2398 0.0062 21297.006 0.473 258.345 282.57 904.30 5.16 + 1794.10 0.477 1.119 7594 7595 wkg sn104 325.60 -.048 1.740 7601 kwc if 1 352 413 460 100 2 21297.4460
tehac gneiss tej32rm2 891118 1144 329.2 21297.5148 + 21243.2988 9.9999 i 21296.896 0.486 247.988 293.75 903.81 6.26 + 325.60 0.477 1.406 7601 kc w sn104 1794.10 -.048 1.340 kg gf 2 353 525 585 80 1 21297.4978
tehac gneiss tej32rm2 891118 1151 329.2 21297.5174 + 21243.3014 9.9999 i 21296.892 0.486 247.701 293.92 903.78 6.45 + 325.60 0.477 1.406 7601 kc w sn104 1794.10 -.048 1.340 kg gf 2 353 525 585 80 1 21297.4975
tehac gneiss tej32rm2 891118 1159 329.2 21297.5210 + 21243.3051 9.9999 i 21296.890 0.485 247.499 294.47 903.85 6.35 + 325.60 0.477 1.406 7601 kc w sn104 1794.10 -.048 1.340 kg gf 2 353 525 585 80 1 21297.5064
tehac gneiss wh2 rm3 77 713 1033 281.4 29010.4826 + 28982.4941 29009.423 0.449 242.714 293.25 881.44 9.72 + 652.78 1.476 1.223 kwg sn104 1794.10 0.000 1.460 2 b 58 75 120 2 29010.4772
tehac gneiss wh2 rm3 78 710 0946 281.4 29010.4724 + 28982.4839 29009.336 0.416 241.208 295.16 881.90 11.27 + 652.78 1.476 1.294 dwr sn104 1794.10 0.000 1.530 2 b 58 69 109 2 29010.4668
tehac gneiss wh2 rm3 79 4 5 1153 281.4 29010.4820 + 28982.4936 29009.460 0.409 245.442 289.91 881.01 8.48 + 652.78 1.476 1.214 rfw/ sn104 1794.10 0.000 1.401 jgh 2 c c1 a1 97 2 29010.4765
tehac gneiss wh2 rm3 791219 0948 281.4 29010.4853 + 28982.4968 29009.756 0.510 252.246 283.33 884.20 3.79 + 652.78 0.477 1.245 scot sn104 1794.10 -.026 1.352 t/ga bf 2 c c1 a1 100 2 29010.4796
tehac gneiss wh2 rm3 801212 1150 281.3 29010.4750 + 28982.4866 29009.575 0.475 248.100 287.65 882.66 2.66 + 1794.10 0.475 1.020 2199 6898 este sn123 652.78 -.026 1.338 6899 s je af 1 c a1 d2 102 2 29010.4694
tehac gneiss wh2 rm3 82 5 6 1553 281.4 29010.4919 + 28982.5034 29009.509 0.469 244.239 292.24 884.04 11.09 + 652.78 0.476 1.084 2198 6950 ml sn104 1794.10 -.027 1.631 bf rg-rd2 d e2 b2 100 3 29010.4870
tehac gneiss wh2 rm3 84 613 1305 281.4 29010.5060 + 28982.5175 9.9999 29009.595 0.473 245.909 288.13 877.33 8.48 + 652.78 0.478 0.975 0868 7600 wwp/ sn104 1794.10 -.048 1.540 6899 kmk if ef 2 164 500 450 95 2 29010.5000
tehac gneiss wh2 rm3 8611 9 1125 281.3 29010.5007 + 28982.5122 0.0031 29009.800 0.476 254.395 281.48 886.00 5.00 + 1794.10 0.477 1.119 7594 7595 wkg sn104 652.78 -.048 1.590 7601 kwc if 1 352 413 460 100 2 29010.4957
tehac gneiss wh2 rm3 891117 1431 281.4 29010.4991 + 28982.5107 0.0035 29009.635 0.485 247.396 286.79 877.84 4.34 + 652.78 0.477 1.141 7601 cs w sn104 1794.10 -.048 1.465 kg gf 2 353 525 585 95 2 29010.4940
tehac gneiss wheeler2 76 515 0914 281.3 29002.0053 + 28974.0119 29000.962 0.478 242.633 292.38 877.64 3.50 + 1794.10 1.476 1.305 ml-j sn104 652.78 0.000 1.343 s 1 57 74 112 2 29001.9996
tehac gneiss wheeler2 77 713 1033 281.4 29002.0177 + 28974.0242 red 29009.423 0.449 242.714 293.25 881.44 9.72 + 652.78 1.476 1.223 kwg sn104 1794.10 0.000 1.460 2 b 58 75 120 2
tehac gneiss wheeler2 78 710 0946 281.4 29002.0075 + 28974.0140 red 29009.336 0.416 241.208 295.16 881.90 11.27 + 652.78 1.476 1.294 dwr sn104 1794.10 0.000 1.530 2 b 58 69 109 2
tehac gneiss wheeler2 79 4 5 1153 281.4 29002.0171 + 28974.0237 red 29009.460 0.409 245.442 289.91 881.01 8.48 + 652.78 1.476 1.214 rfw/ sn104 1794.10 0.000 1.401 jgh 2 c c1 a1 97 2
tehac gneiss wheeler2 791219 0948 281.4 29002.0203 + 28974.0269 red 29009.756 0.510 252.246 283.33 884.20 3.79 + 652.78 0.477 1.245 scot sn104 1794.10 -.026 1.352 t/ga bf 2 c c1 a1 100 2
tehac gneiss wheeler2 801212 1150 281.3 29002.0101 + 28974.0167 red 29009.575 0.475 248.100 287.65 882.66 2.66 + 1794.10 0.475 1.020 2199 6898 este sn123 652.78 -.026 1.338 6899 s je af 1 c a1 d2 102 2
tehac gneiss wheeler2 82 5 6 1553 281.4 29002.0270 + 28974.0335 red 29009.509 0.469 244.239 292.24 884.04 11.09 + 652.78 0.476 1.084 2198 6950 ml sn104 1794.10 -.027 1.631 bf rg-rd2 d e2 b2 100 3
tehac gneiss wheeler2 84 613 1305 281.3 29002.0410 + 28974.0476 9.9999 red 29009.595 0.473 245.909 288.13 877.33 8.48 + 652.78 0.478 0.975 0868 7600 wwp/ sn104 1794.10 -.048 1.540 6899 kmk if ef 2 164 500 450 95 2
tehac gneiss wheeler2 8611 9 1125 281.3 29002.0357 + 28974.0423 0.0031 red 29009.800 0.476 254.395 281.48 886.00 5.00 + 1794.10 0.477 1.119 7594 7595 wkg sn104 652.78 -.048 1.590 7601 kwc if 1 352 413 460 100 2
tehac gneiss wheeler2 891117 1431 281.3 29002.0342 + 28974.0408 0.0035 red 29009.635 0.485 247.396 286.79 877.84 4.34 + 652.78 0.477 1.141 7601 cs w sn104 1794.10 -.048 1.465 kg gf 2 353 525 585 95 2
tehac pajuela soledad 731020 147.8 18127.4332 + 18116.7849 18126.688 0.464 237.460 288.55 847.61 7.40 + 1277.84 1.477 1.390 kino sn104 1757.04 0.000 1.503 2 52 71 100 2 18127.4324
tehac pajuela soledad 741111 147.9 18127.4198 / 18116.7714 58 0.0017 1277.84 1757.04 2
tehac pajuela soledad 76 510 1513 147.8 18127.4267 + 18116.7784 18126.639 0.476 234.508 293.14 850.31 4.57 + 1277.84 1.476 1.265 ml-j sn104 1757.04 0.000 1.340 s 2 68 57 115 2 18127.4255
tehac pajuela soledad 77 615 1204 147.8 18127.4296 + 18116.7813 18126.622 0.450 234.594 292.77 849.85 6.98 + 1277.84 1.476 1.330 kwg sn104 1757.04 0.000 1.575 2 b 68 75 120 2 18127.4283
tehac pajuela soledad 78 314 1109 147.8 18127.4272 + 18116.7789 18126.815 0.437 245.827 280.13 851.74 5.19 + 1277.84 1.476 1.210 wao sn104 1757.04 0.000 1.631 2 b 58 69 108 2 18127.4265
tehac pajuela soledad 79 3 7 1141 147.8 18127.4197 + 18116.7714 18126.708 0.410 240.632 287.12 854.84 7.07 + 1277.84 1.407 1.281 rfw/ sn104 1757.04 0.000 1.737 jgh 2 a a1 75 98 2 18127.4187
tehac pajuela soledad 791129 1137 147.8 18127.4345 + 18116.7862 18126.928 0.508 247.794 279.67 856.46 1.72 + 1277.84 0.476 1.230 ham sn104 1757.04 -.026 1.615 sm cf 2 c c1 a1 98 2 18127.4345
tehac pajuela soledad 801125 1317 147.8 18127.4339 + 18116.7857 18126.902 0.476 248.129 279.84 858.24 1.92 + 1277.84 0.475 1.122 2199 6898 este sn123 1757.04 -.026 1.536 6899 spot bf 2 c a1 d2 95 2 18127.4333
tehac pajuela soledad 82 423 1124 147.8 18127.4162 + 18116.7679 18126.717 0.478 239.028 287.90 851.13 5.01 + 1277.84 0.476 1.200 2198 6950 wavn sn104 1757.04 -.026 1.460 ockl bf 2 c e2 b2 90 2 18127.4152
tehac pajuela soledad 8212 2 1410 147.8 18127.4396 + 18116.7913 9.9999 58 18126.942 0.474 248.825 275.35 847.06 3.54 + 1277.84 0.476 1.100 2199 4079 gh j sn104 1757.04 -.049 1.560 6899 b gf 2 164 310 291 95 2 18127.4393
tehac pajuela soledad 84 519 1215 147.8 18127.4260 + 18116.7777 9.9999 58 18126.607 0.471 232.792 295.94 852.33 5.53 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 1757.04 -.026 1.375 4995 kmk cf 2 164 500 450 100 2 18127.4241
tehac pajuela soledad 861027 0954 147.8 18127.4237 + 18116.7755 0.0049 58 18128.223 1.992 237.185 291.03 853.80 5.24 + 1277.84 0.477 1.324 7594 7595 wgh sn104 1757.04 -.048 1.445 jls gf 2 352 413 460 80 2 18127.4227
tehac pajuela soledad 891017 1040 147.8 18127.4156 + 18116.7674 0.0057 58 18128.068 1.839 237.637 290.31 853.11 3.81 + 1277.84 0.477 1.228 7601 gh k sn104 1757.04 -.048 1.314 c hf 2 353 525 585 85 2 18127.4144
tehac pelona saw ecc 82 3 5 1346 308.0 23875.8932 + 23869.1521 23875.132 0.481 245.427 278.07 843.06 2.05 + 1680.00 0.476 1.495 2198 6950 este sn104 1479.90 -.048 1.385 4093 s f 2 c a1 76 90 2 23875.8958
tehac pelona saw ecc 821116 1137 307.9 23875.8891 + 23869.1481 23875.007 0.473 240.551 282.21 838.87 3.44 + 1479.90 0.476 1.389 2198 6950 latz sn104 1680.00 -.049 1.691 6899 a rg gf 1 c 76 a1 100 2 23875.8914
tehac pelona saw ecc 8310 5 1220 307.9 23875.8833 + 23869.1422 23874.953 0.476 239.183 286.01 846.47 11.10 + 1479.90 0.476 1.134 4998 6950 rg d sn104 1680.00 -.026 1.905 0871 c bf 1 164 76 201 90 2 23875.8849
tehac pelona saw ecc 84 618 0919 307.9 23875.8954 + 23869.1544 9.9999 23874.840 0.480 233.800 291.18 841.73 5.68 + 1479.90 0.478 1.048 7600 0868 wwp/ sn104 1680.00 -.026 1.840 4995 kmk cf 1 164 500 450 100 2 23875.8965
tehac pelona saw ecc 861023 0831 307.9 23875.8917 + 23869.1507 0.0043 23876.511 2.001 239.515 284.79 843.19 4.73 + 1479.90 0.477 1.157 7594 7595 wkg sn104 1680.00 -.048 1.521 7600 jms if 1 164 413 460 90 2 23875.8933
tehac pelona saw ecc 891115 0832 308.0 23875.8800 + 23869.1390 0.0050 23876.554 2.017 241.274 284.80 849.24 2.48 + 1680.00 0.477 1.376 7601 wk/g sn104 1479.90 -.048 1.398 /h if 2 353 525 585 80 2 23875.8806
tehac pelona saw ecc 911122 0906 308.0 23875.8909 + 23869.1498 0.0007 23876.632 2.005 244.545 280.30 847.06 2.05 + 1680.00 0.477 1.546 7601 7594 gdhk sn104 1479.90 -.048 1.443 wc hf 2 353 525 625 100 2 23875.8917
tehac police tecuyrm1 76 512 226.3 9766.1755 / 9737.3363 / 0.0000 1467.67 2180.54 1
tehac police tecuyrm1 77 623 226.3 9766.1793 / 9737.3402 / 0.0000 2180.54 1467.67 2
tehac police tecuyrm1 78 315 226.0 9766.1813 / 9737.3421 / 0.0000 2180.54 1467.67 2
tehac police tecuyrm1 79 6 7 226.3 9766.1873 / 9737.3481 / 0.0000 2180.54 1467.67 2
tehac police tecuyrm1 81 6 2 226.3 9766.1836 + 9737.3445 + 0.0000 1467.67 2180.54 1
tehac police tecuyrm1 82 5 4 226.3 9766.1803 + 9737.3412 + 0.0000 1467.67 2180.54 1
tehac police tecuyrm1 8212 6 1142 226.3 9766.1922 + 9737.3531 9.9999 9765.808 0.466 233.701 283.27 819.11 3.34 + 1467.67 0.475 1.235 2199 4079 gh j sn123 2180.54 -.049 1.560 6899 b gf 1 164 310 291 80 3 9766.1902
tehac police tecuyrm1 84 531 1252 226.3 9766.1891 + 9737.3501 9.9999 9765.726 0.474 227.869 290.32 819.17 8.47 + 1467.67 0.478 1.340 7600 0868 wwp/ sn104 2180.54 -.026 1.595 4995 kmk cf 1 164 500 450 70 2 9766.1871
tehac police tecuyrm1 8611 9 0943 226.3 9766.1975 + 9737.3584 0.0024 9767.364 2.002 236.789 281.05 823.28 2.35 + 1467.67 0.477 1.277 7594 7595 wkg sn104 2180.54 -.048 1.429 7600 kwc gf 1 352 413 460 65 2 9766.1955
tehac police tecuyrm1 891116 1044 226.3 9766.1891 + 9737.3500 0.0008 9767.334 2.001 232.664 285.37 821.85 2.57 + 1467.67 0.477 1.337 7601 wk/g sn104 2180.54 -.048 1.752 /h if 1 353 525 585 80 2 9766.1859
tehac police tejon 41 73 628 143.6 0.0000 / 13701.7694 red 52 0.0007 1467.67 1484.38 1
tehac police tejon 41 731022 143.6 13704.9546 + 13701.7703 red 13695.007 0.472 241.813 284.59 851.37 6.80 + 1467.67 1.477 1.521 wege sn104 1484.38 0.000 1.550 ner 1 52 71 100 2
tehac police tejon 41 741113 143.6 0.0000 / 13701.7692 red 52 0.0007 1484.38 1467.67 2
tehac police tejon 41 76 220 143.6 13704.9505 + 13701.7662 red 13695.149 0.496 250.658 276.34 856.17 1.31 + 1467.67 1.476 1.490 wp-g sn104 1484.38 0.000 1.375 h 1 68 73 110 2
tehac police tejon 41 77 614 1144 143.6 13704.9426 + 13701.7583 13704.392 0.451 239.269 287.95 852.72 9.89 + 1484.38 1.476 1.300 wao sn104 1467.67 0.000 1.614 2 b 68 75 100 2 13704.9422
tehac police tejon 41 77 623 0902 143.6 13704.9448 + 13701.7606 red 13694.854 0.448 233.102 295.96 854.65 14.51 + 1467.67 1.476 1.500 olso sn104 1484.38 0.000 1.427 n 1 b 58 75 100 2
tehac police tejon 41 78 315 1134 143.6 13704.9508 + 13701.7665 red 13695.018 0.438 245.156 283.49 859.39 4.53 + 1467.67 1.469 1.415 kwg sn104 1484.38 0.000 1.375 1 b 58 69 100 2
tehac police tejon 41 79 4 5 0954 143.6 13704.9520 + 13701.7678 red 13694.958 0.414 241.051 286.66 854.65 5.19 + 1467.67 1.407 1.420 rfw/ sn104 1484.38 0.000 1.356 jgh 1 c c1 a1 93 2
tehac police tejon 41 791130 1400 143.6 13704.9501 + 13701.7659 red 13695.047 0.502 242.859 285.50 857.40 4.02 + 1467.67 0.476 1.430 ham sn104 1484.38 -.026 1.417 sm cf 1 c c1 a1 97 2
tehac police tejon 41 801210 1346 143.6 13704.9521 + 13701.7678 red 13695.080 0.476 247.066 282.47 862.47 1.78 + 1484.38 0.475 1.120 2199 6898 pott sn123 1467.67 -.026 1.359 6899 sest bf 2 c a1 d2 96 2
tehac police tejon 41 82 325 1304 143.6 13704.9474 + 13701.7631 red 13695.030 0.478 243.573 282.05 849.18 2.14 + 1467.67 0.476 1.440 2198 6950 latz sn104 1484.38 -.026 1.440 6899 a se bf 1 c a1 76 94 2
tehac police tejon 41 8212 4 1522 143.6 13704.9450 + 13701.7608 9.9999 red 52 13695.056 0.478 243.965 283.34 854.35 3.15 + 1484.38 0.476 1.307 2199 4079 gh j sn104 1467.67 -.049 1.560 6899 b gf 2 164 310 291 100 2
tehac police tejon 41 84 531 0854 143.6 13704.9293 + 13701.7451 9.9999 red 52 13694.887 0.476 234.760 293.53 852.35 5.64 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 1467.67 -.026 1.720 4995 kmk cf 2 164 500 450 90 2
tehac police tejon 41 8611 9 0733 143.6 13704.9322 + 13701.7479 0.0037 red 52 13695.104 0.484 248.129 279.74 858.05 2.56 + 1467.67 0.477 1.776 7594 7595 wkg sn104 1484.38 -.048 1.338 7600 kwc gf 1 352 413 460 85 2
tehac police tejon 41 87 630 1529 143.6 13704.9272 + 13701.7430 0.0031 red 52 13696.427 2.002 234.294 293.57 852.14 14.69 + 1484.38 0.477 1.206 7595 7601 gdhj sn104 1467.67 -.048 1.916 ms ef 2 164 485 565 90 3
tehac police tejon 41 891114 1542 143.6 13704.9245 + 13701.7403 0.0001 red 52 13696.494 2.002 239.381 288.56 854.61 6.83 + 1484.38 0.477 1.294 7601 wk/g sn104 1467.67 -.048 1.837 /h df 2 353 525 585 100 2
tehac police wh2 rm3 77 713 0934 320.0 15626.1263 + 15602.2703 15625.636 0.448 246.786 293.69 897.55 8.15 + 652.78 1.476 1.223 dwr sn104 1467.67 0.000 1.661 2 b 58 75 120 2 15626.1229
tehac police wh2 rm3 78 710 0901 320.0 15626.1231 + 15602.2671 15625.578 0.417 245.315 295.56 898.04 10.45 + 652.78 1.476 1.294 dwr sn104 1467.67 0.000 1.722 2 b 58 69 90 2 15626.1199
tehac police wh2 rm3 79 4 5 1132 320.0 15626.1287 + 15602.2727 15625.648 0.411 249.301 290.68 897.34 8.81 + 652.78 1.407 1.214 rfw/ sn104 1467.67 0.000 1.393 jgh 2 c c1 a1 97 2 15626.1253
tehac police wh2 rm3 791219 0919 320.0 15626.1276 + 15602.2715 15625.842 0.512 256.165 284.09 900.50 4.06 + 652.78 0.477 1.245 scot sn104 1467.67 -.026 1.590 t/ga cf 2 c c1 a1 97 2 15626.1240
tehac police wh2 rm3 801211 1400 319.9 15626.1288 + 15602.2728 15625.753 0.474 254.117 286.91 902.07 3.36 + 1467.67 0.475 1.307 2199 6898 pott sn123 652.78 -.026 1.379 6899 sest bf 1 c a1 d2 92 3 15626.1245
tehac police wh2 rm3 82 330 1414 320.0 15626.0911 + 15602.2350 i 15625.863 0.475 260.498 278.56 898.03 6.32 + 652.78 0.476 1.195 2198 6950 monr sn104 1467.67 -.048 1.626 4093 oe f 2 c a1 76 85 2 15626.0883
tehac police wh2 rm3 82 5 9 1307 319.9 15626.1315 + 15602.2755 15625.671 0.473 249.567 289.70 895.52 11.34 + 1467.67 0.476 1.380 2198 6950 flak sn104 652.78 -.027 1.675 4093 e se rg-rd1 d e2 b2 90 2 15626.1284
tehac police wh2 rm3 84 531 1315 319.9 15626.1180 + 15602.2619 9.9999 15625.585 0.474 243.955 296.39 895.14 9.30 + 1467.67 0.478 1.340 7600 0868 wwp/ sn104 652.78 -.026 1.335 6899 kmk bf 1 164 500 450 85 2 15626.1159
tehac police wh2 rm3 8611 9 0910 319.9 15626.1134 + 15602.2573 0.0054 15625.858 0.482 260.070 280.75 903.51 6.09 + 1467.67 0.477 1.277 7594 7595 wkg sn104 652.78 -.048 1.345 7601 kwc if 1 352 413 460 80 2 15626.1110
tehac police wh2 rm3 891117 1502 320.0 15626.0933 + 15602.2372 0.0002 15625.749 0.487 252.168 286.53 893.89 4.88 + 652.78 0.477 1.141 7601 cs w sn104 1467.67 -.048 1.630 kg ef 2 353 525 585 95 2 15626.0911
tehac police wheeler2 73 628 320.0 15611.7980 / 15587.9248 50 0.0011 1467.67 652.78 1
tehac police wheeler2 731022 319.9 15611.7943 + 15587.9211 15611.389 0.475 251.417 287.99 896.11 6.77 + 1467.67 1.477 1.524 wege sn104 652.78 0.000 1.360 ner 1 52 71 100 2 15611.7907
tehac police wheeler2 76 220 319.9 15611.7845 + 15587.9113 15611.542 0.495 262.556 277.60 901.83 4.97 + 1467.67 1.476 1.490 wp-g sn104 652.78 0.000 1.945 h 1 68 73 110 2 15611.7816
tehac police wheeler2 77 713 0934 320.0 15611.7886 + 15587.9154 red 15625.636 0.448 246.786 293.69 897.55 8.15 + 652.78 1.476 1.223 dwr sn104 1467.67 0.000 1.661 2 b 58 75 120 2
tehac police wheeler2 78 710 0901 320.0 15611.7854 + 15587.9122 red 15625.578 0.417 245.315 295.56 898.04 10.45 + 652.78 1.476 1.294 dwr sn104 1467.67 0.000 1.722 2 b 58 69 90 2
tehac police wheeler2 79 4 5 1132 320.0 15611.7910 + 15587.9178 red 15625.648 0.411 249.301 290.68 897.34 8.81 + 652.78 1.407 1.214 rfw/ sn104 1467.67 0.000 1.393 jgh 2 c c1 a1 97 2
tehac police wheeler2 791219 0919 320.0 15611.7899 + 15587.9166 red 15625.842 0.512 256.165 284.09 900.50 4.06 + 652.78 0.477 1.245 scot sn104 1467.67 -.026 1.590 t/ga cf 2 c c1 a1 97 2
tehac police wheeler2 801211 1400 319.9 15611.7911 + 15587.9179 red 15625.753 0.474 254.117 286.91 902.07 3.36 + 1467.67 0.475 1.307 2199 6898 pott sn123 652.78 -.026 1.379 6899 sest bf 1 c a1 d2 92 3
tehac police wheeler2 82 330 1414 320.0 15611.7534 + 15587.8801 ied 15625.863 0.475 260.498 278.56 898.03 6.32 + 652.78 0.476 1.195 2198 6950 monr sn104 1467.67 -.048 1.626 4093 oe f 2 c a1 76 85 2
tehac police wheeler2 82 5 9 1307 319.9 15611.7938 + 15587.9206 red 15625.671 0.473 249.567 289.70 895.52 11.34 + 1467.67 0.476 1.380 2198 6950 flak sn104 652.78 -.027 1.675 4093 e se rg-rd1 d e2 b2 90 2
tehac police wheeler2 84 531 1315 319.9 15611.7802 + 15587.9070 9.9999 red 50 15625.585 0.474 243.955 296.39 895.14 9.30 + 1467.67 0.478 1.340 7600 0868 wwp/ sn104 652.78 -.026 1.335 6899 kmk bf 1 164 500 450 85 2
tehac police wheeler2 8611 9 0910 319.9 15611.7756 + 15587.9024 0.0054 red 50 15625.858 0.482 260.070 280.75 903.51 6.09 + 1467.67 0.477 1.277 7594 7595 wkg sn104 652.78 -.048 1.345 7601 kwc if 1 352 413 460 80 2
tehac police wheeler2 891117 1502 319.9 15611.7556 + 15587.8823 0.0002 red 50 15625.749 0.487 252.168 286.53 893.89 4.88 + 652.78 0.477 1.141 7601 cs w sn104 1467.67 -.048 1.630 kg ef 2 353 525 585 95 2
tehac policeec tejon 41 73 628 143.6 13695.5009 / 13692.3188 0.0007 1467.67 1484.38 1
tehac policeec tejon 41 731022 143.6 13695.5018 + 13692.3197 13695.007 0.472 241.813 284.59 851.37 6.80 + 1467.67 1.477 1.521 wege sn104 1484.38 0.000 1.550 ner 1 52 71 100 2 13695.5011
tehac policeec tejon 41 741113 143.6 13695.5007 / 13692.3186 0.0007 1484.38 1467.67 2
tehac policeec tejon 41 76 220 143.6 13695.4977 + 13692.3156 13695.149 0.496 250.658 276.34 856.17 1.31 + 1467.67 1.476 1.490 wp-g sn104 1484.38 0.000 1.375 h 1 68 73 110 2 13695.4975
tehac policeec tejon 41 77 623 0902 143.6 13695.4920 + 13692.3100 13694.854 0.448 233.102 295.96 854.65 14.51 + 1467.67 1.476 1.500 olso sn104 1484.38 0.000 1.427 n 1 b 58 75 100 2 13695.4911
tehac policeec tejon 41 78 315 1134 143.6 13695.4980 + 13692.3159 13695.018 0.438 245.156 283.49 859.39 4.53 + 1467.67 1.469 1.415 kwg sn104 1484.38 0.000 1.375 1 b 58 69 100 2 13695.4975
tehac policeec tejon 41 79 4 5 0954 143.6 13695.4993 + 13692.3172 13694.958 0.414 241.051 286.66 854.65 5.19 + 1467.67 1.407 1.420 rfw/ sn104 1484.38 0.000 1.356 jgh 1 c c1 a1 93 2 13695.4986
tehac policeec tejon 41 791130 1400 143.6 13695.4974 + 13692.3153 13695.047 0.502 242.859 285.50 857.40 4.02 + 1467.67 0.476 1.430 ham sn104 1484.38 -.026 1.417 sm cf 1 c c1 a1 97 2 13695.4968
tehac policeec tejon 41 801210 1346 143.6 13695.4993 + 13692.3172 13695.080 0.476 247.066 282.47 862.47 1.78 + 1484.38 0.475 1.120 2199 6898 pott sn123 1467.67 -.026 1.359 6899 sest bf 2 c a1 d2 96 2 13695.4989
tehac policeec tejon 41 82 325 1304 143.6 13695.4946 + 13692.3125 13695.030 0.478 243.573 282.05 849.18 2.14 + 1467.67 0.476 1.440 2198 6950 latz sn104 1484.38 -.026 1.440 6899 a se bf 1 c a1 76 94 2 13695.4943
tehac policeec tejon 41 8212 4 1522 143.6 13695.4922 + 13692.3102 9.9999 13695.056 0.478 243.965 283.34 854.35 3.15 + 1484.38 0.476 1.307 2199 4079 gh j sn104 1467.67 -.049 1.560 6899 b gf 2 164 310 291 100 2 13695.4917
tehac policeec tejon 41 84 531 0854 143.6 13695.4765 + 13692.2945 9.9999 13694.887 0.476 234.760 293.53 852.35 5.64 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 1467.67 -.026 1.720 4995 kmk cf 2 164 500 450 90 2 13695.4757
tehac policeec tejon 41 8611 9 0733 143.6 13695.4794 + 13692.2973 0.0037 13695.104 0.484 248.129 279.74 858.05 2.56 + 1467.67 0.477 1.776 7594 7595 wkg sn104 1484.38 -.048 1.338 7600 kwc gf 1 352 413 460 85 2 13695.4790
tehac policeec tejon 41 87 630 1529 143.6 13695.4745 + 13692.2924 0.0031 13696.427 2.002 234.294 293.57 852.14 14.69 + 1484.38 0.477 1.206 7595 7601 gdhj sn104 1467.67 -.048 1.916 ms ef 2 164 485 565 90 3 13695.4734
tehac policeec tejon 41 891114 1542 143.6 13695.4718 + 13692.2897 0.0001 13696.494 2.002 239.381 288.56 854.61 6.83 + 1484.38 0.477 1.294 7601 wk/g sn104 1467.67 -.048 1.837 /h df 2 353 525 585 100 2 13695.4709
tehac saw ecc tejon 41 731021 297.7 26305.2177 + 26297.9861 26304.175 0.475 238.958 284.78 841.41 7.35 + 1680.00 1.477 1.519 weg- sn104 1484.38 0.000 1.620 z 1 52 71 100 2 26305.2202
tehac saw ecc tejon 41 741113 297.7 26305.2096 + 26297.9780 26304.032 0.473 233.827 293.18 847.10 3.53 + 1680.00 1.477 1.545 weg- sn104 1484.38 0.000 1.430 cb 1 71 65 100 2 26305.2122
tehac saw ecc tejon 41 77 614 1352 297.9 26305.2075 + 26297.9759 26304.014 0.450 234.032 290.94 842.25 8.73 + 1484.38 1.476 1.300 wao sn104 1680.00 0.000 1.638 2 b 68 75 110 2 26305.2093
tehac saw ecc tejon 41 78 316 1117 297.9 26305.2115 + 26297.9798 26304.249 0.438 243.088 282.85 849.56 3.55 + 1484.38 1.469 1.082 wao/ sn104 1680.00 0.000 1.792 kwg 2 b 58 69 100 2 26305.2148
tehac saw ecc tejon 41 79 3 8 1127 297.7 26305.1929 + 26297.9613 26304.012 0.409 236.183 288.11 841.26 6.46 + 1680.00 1.476 1.288 rfw/ sn104 1484.38 0.000 1.360 jgh 1 a a1 75 93 2 26305.1956
tehac saw ecc tejon 41 791129 1633 297.7 26305.2086 + 26297.9770 26304.309 0.511 243.013 282.16 847.04 2.23 + 1680.00 0.476 1.399 ham sn104 1484.38 -.026 1.405 sm cf 1 c c1 a1 94 2 26305.2118
tehac saw ecc tejon 41 801210 1220 297.9 26305.1952 + 26297.9635 26304.387 0.475 247.608 278.53 851.73 1.51 + 1484.38 0.475 1.120 2199 6898 pott sn123 1680.00 -.026 1.820 4093 sest af 2 c a1 d2 95 2 26305.1991
tehac saw ecc tejon 41 82 3 5 1418 297.7 26305.1956 + 26297.9640 26304.317 0.480 244.995 278.49 842.69 2.11 + 1680.00 0.476 1.495 2198 6950 este sn104 1484.38 -.026 1.451 6899 s bf 1 c a1 76 95 2 26305.1995
tehac saw ecc tejon 41 8212 4 1412 297.9 26305.1885 + 26297.9568 9.9999 26304.258 0.492 241.519 282.62 843.67 3.46 + 1484.38 0.476 1.307 2199 4079 gh j sn104 1680.00 -.048 1.930 0868 b df ef 2 164 310 17 100 2 26305.1889
tehac saw ecc tejon 41 84 531 0922 297.9 26305.2041 + 26297.9724 9.9999 26303.987 0.476 232.109 293.42 841.97 5.71 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 1680.00 -.026 1.780 6899 kmk bf 2 164 500 450 90 2 26305.2062
tehac saw ecc tejon 41 861025 1027 297.9 26305.2055 + 26297.9739 0.0001 26305.681 1.995 237.852 289.05 849.52 3.67 + 1484.38 0.477 1.218 7594 7595 jms sn104 1680.00 -.048 1.886 7601 wkg hf 2 352 413 460 100 2 26305.2085
tehac saw ecc tejon 41 891114 1624 297.9 26305.2181 + 26297.9864 0.0003 26305.687 2.005 237.274 287.74 844.06 5.77 + 1484.38 0.477 1.294 7601 wk/g sn104 1680.00 -.048 1.815 /h gf 2 353 525 585 90 2 26305.2201
tehac saw ecc thumb 731021 34.7 22903.3145 + 22883.2904 22902.579 0.475 246.078 287.37 875.26 7.61 + 1680.00 1.480 1.519 weg- sn104 837.20 0.000 1.355 z 1 52 71 100 2 22903.3114
tehac saw ecc thumb 741113 34.7 22903.3110 + 22883.2868 22902.542 0.474 244.556 291.33 881.18 3.79 + 1680.00 1.476 1.545 weg- sn104 837.20 0.000 1.340 cb 1 71 65 100 2 22903.3085
tehac saw ecc thumb 77 615 0818 34.6 22903.3120 + 22883.2878 22902.493 0.453 243.153 291.03 875.77 6.96 + 837.20 1.476 1.386 wao sn104 1680.00 0.000 1.664 2 b 68 75 120 2 22903.3090
tehac saw ecc thumb 78 316 1429 34.6 22903.3079 + 22883.2837 22902.590 0.432 247.805 288.11 883.04 3.90 + 837.20 1.469 1.155 wao/ sn104 1680.00 0.000 1.792 kwg 2 b 58 69 107 2 22903.3054
tehac saw ecc thumb 79 3 8 1103 34.7 22903.3078 + 22883.2837 22902.473 0.413 244.298 289.48 874.93 6.35 + 1680.00 1.407 1.288 rfw/ sn104 837.20 0.000 1.625 jgh 1 a a1 75 90 2 22903.3051
tehac saw ecc thumb 791129 1603 34.7 22903.3300 + 22883.3059 22902.741 0.509 251.254 283.80 881.55 2.31 + 1680.00 0.476 1.399 ham sn104 837.20 -.026 1.433 sm af 1 c c1 a1 93 2 22903.3277
tehac saw ecc thumb 801211 0838 34.7 22903.3192 + 22883.2950 22902.761 0.474 254.316 281.49 885.18 1.72 + 1680.00 0.475 1.367 2199 6898 pott sn123 837.20 -.026 1.520 6899 sest bf 1 c a1 d2 97 2 22903.3156
tehac saw ecc thumb 82 3 5 1608 34.7 22903.3118 + 22883.2876 22902.722 0.477 251.702 281.95 877.39 2.14 + 1680.00 0.476 1.495 2198 6950 este sn104 837.20 -.048 1.537 4093 s f 1 c a1 76 87 2 22903.3094
tehac saw ecc thumb 8212 5 1105 34.7 22903.3148 + 22883.2906 9.9999 22902.712 0.510 250.126 283.78 878.13 5.36 + 1680.00 0.476 1.260 2199 4079 gh j sn123 837.20 -.048 1.578 0868 b df 1 164 310 291 100 2 22903.3121
tehac saw ecc thumb 84 530 1302 34.6 22903.3197 + 22883.2955 9.9999 22902.325 0.463 234.965 301.26 876.23 8.88 + 837.20 0.478 1.264 7600 0868 wwp/ sn104 1680.00 -.026 1.655 6899 kmk bf 2 164 500 450 100 2 22903.3171
tehac saw ecc thumb 861110 1552 34.6 22903.3232 + 22883.2990 0.0034 22904.164 1.994 247.506 287.42 879.81 3.39 + 837.20 0.477 1.291 7594 7595 wkg sn104 1680.00 -.048 1.540 6950 kwc hf 2 352 413 460 100 2 22903.3205
tehac saw ecc thumb 891115 0905 34.7 22903.3194 + 22883.2952 0.0043 22904.222 2.011 250.404 285.37 883.63 2.66 + 1680.00 0.477 1.376 7601 wk/g sn104 837.20 -.048 1.714 /h gf 1 353 525 585 90 2 22903.3169
tehac sawmill tejon 41 731021 297.7 26308.7170 + 26301.4818 red 26304.175 0.475 238.958 284.78 841.41 7.35 + 1680.30 1.477 1.519 weg- sn104 1484.38 0.000 1.620 z 1 52 71 100 2
tehac sawmill tejon 41 741113 297.7 26308.7089 + 26301.4737 red 26304.032 0.473 233.827 293.18 847.10 3.53 + 1680.30 1.477 1.545 weg- sn104 1484.38 0.000 1.430 cb 1 71 65 100 2
tehac sawmill tejon 41 76 218 297.7 26308.7038 + 26301.4686 26307.759 0.492 241.967 282.10 843.26 2.22 + 1680.30 1.476 1.450 wp-g sn104 1484.38 0.000 1.340 h 1 68 73 100 2 26308.7070
tehac sawmill tejon 41 77 614 1352 297.8 26308.7068 + 26301.4716 red 26304.014 0.450 234.032 290.94 842.25 8.73 + 1484.38 1.476 1.300 wao sn104 1680.30 0.000 1.638 2 b 68 75 110 2
tehac sawmill tejon 41 78 316 1117 297.8 26308.7108 + 26301.4755 red 26304.249 0.438 243.088 282.85 849.56 3.55 + 1484.38 1.469 1.082 wao/ sn104 1680.30 0.000 1.792 kwg 2 b 58 69 100 2
tehac sawmill tejon 41 79 3 8 1127 297.7 26308.6922 + 26301.4570 red 26304.012 0.409 236.183 288.11 841.26 6.46 + 1680.30 1.476 1.288 rfw/ sn104 1484.38 0.000 1.360 jgh 1 a a1 75 93 2
tehac sawmill tejon 41 791129 1633 297.7 26308.7079 + 26301.4727 red 26304.309 0.511 243.013 282.16 847.04 2.23 + 1680.30 0.476 1.399 ham sn104 1484.38 -.026 1.405 sm cf 1 c c1 a1 94 2
tehac sawmill tejon 41 801210 1220 297.8 26308.6945 + 26301.4592 red 26304.387 0.475 247.608 278.53 851.73 1.51 + 1484.38 0.475 1.120 2199 6898 pott sn123 1680.30 -.026 1.820 4093 sest af 2 c a1 d2 95 2
tehac sawmill tejon 41 82 3 5 1418 297.7 26308.6949 + 26301.4597 red 26304.317 0.480 244.995 278.49 842.69 2.11 + 1680.30 0.476 1.495 2198 6950 este sn104 1484.38 -.026 1.451 6899 s bf 1 c a1 76 95 2
tehac sawmill tejon 41 8212 4 1412 297.7 26308.6878 + 26301.4525 9.9999 red 60 26304.258 0.492 241.519 282.62 843.67 3.46 + 1484.38 0.476 1.307 2199 4079 gh j sn104 1680.30 -.048 1.930 0868 b df ef 2 164 310 17 100 2
tehac sawmill tejon 41 84 531 0922 297.7 26308.7034 + 26301.4681 9.9999 red 60 26303.987 0.476 232.109 293.42 841.97 5.71 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 1680.30 -.026 1.780 6899 kmk bf 2 164 500 450 90 2
tehac sawmill tejon 41 861025 1027 297.7 26308.7048 + 26301.4696 0.0001 red 60 26305.681 1.995 237.852 289.05 849.52 3.67 + 1484.38 0.477 1.218 7594 7595 jms sn104 1680.30 -.048 1.886 7601 wkg hf 2 352 413 460 100 2
tehac sawmill tejon 41 891114 1624 297.7 26308.7174 + 26301.4821 0.0003 red 60 26305.687 2.005 237.274 287.74 844.06 5.77 + 1484.38 0.477 1.294 7601 wk/g sn104 1680.30 -.048 1.815 /h gf 2 353 525 585 90 2
tehac sawmill thumb 731021 34.7 22900.1392 + 22880.1019 red 22902.579 0.475 246.078 287.37 875.26 7.61 + 1680.30 1.480 1.519 weg- sn104 837.20 0.000 1.355 z 1 52 71 100 2
tehac sawmill thumb 741113 34.7 22900.1356 + 22880.0983 red 22902.542 0.474 244.556 291.33 881.18 3.79 + 1680.30 1.476 1.545 weg- sn104 837.20 0.000 1.340 cb 1 71 65 100 2
tehac sawmill thumb 76 218 34.7 22900.1301 + 22880.0928 22899.474 0.490 248.976 284.94 877.12 2.38 + 1680.30 1.476 1.450 wp-g sn104 837.20 0.000 1.360 h 1 68 73 90 2 22900.1272
tehac sawmill thumb 77 615 0818 34.7 22900.1366 + 22880.0993 red 22902.493 0.453 243.153 291.03 875.77 6.96 + 837.20 1.476 1.386 wao sn104 1680.30 0.000 1.664 2 b 68 75 120 2
tehac sawmill thumb 78 316 1429 34.7 22900.1326 + 22880.0952 red 22902.590 0.432 247.805 288.11 883.04 3.90 + 837.20 1.469 1.155 wao/ sn104 1680.30 0.000 1.792 kwg 2 b 58 69 107 2
tehac sawmill thumb 79 3 8 1103 34.7 22900.1325 + 22880.0952 red 22902.473 0.413 244.298 289.48 874.93 6.35 + 1680.30 1.407 1.288 rfw/ sn104 837.20 0.000 1.625 jgh 1 a a1 75 90 2
tehac sawmill thumb 791129 1603 34.7 22900.1547 + 22880.1174 red 22902.741 0.509 251.254 283.80 881.55 2.31 + 1680.30 0.476 1.399 ham sn104 837.20 -.026 1.433 sm af 1 c c1 a1 93 2
tehac sawmill thumb 801211 0838 34.7 22900.1438 + 22880.1065 red 22902.761 0.474 254.316 281.49 885.18 1.72 + 1680.30 0.475 1.367 2199 6898 pott sn123 837.20 -.026 1.520 6899 sest bf 1 c a1 d2 97 2
tehac sawmill thumb 82 3 5 1608 34.7 22900.1364 + 22880.0991 red 22902.722 0.477 251.702 281.95 877.39 2.14 + 1680.30 0.476 1.495 2198 6950 este sn104 837.20 -.048 1.537 4093 s f 1 c a1 76 87 2
tehac sawmill thumb 8212 5 1105 34.7 22900.1394 + 22880.1021 9.9999 red 61 22902.712 0.510 250.126 283.78 878.13 5.36 + 1680.30 0.476 1.260 2199 4079 gh j sn123 837.20 -.048 1.578 0868 b df 1 164 310 291 100 2
tehac sawmill thumb 84 530 1302 34.7 22900.1443 + 22880.1070 9.9999 red 61 22902.325 0.463 234.965 301.26 876.23 8.88 + 837.20 0.478 1.264 7600 0868 wwp/ sn104 1680.30 -.026 1.655 6899 kmk bf 2 164 500 450 100 2
tehac sawmill thumb 861110 1552 34.7 22900.1478 + 22880.1105 0.0034 red 61 22904.164 1.994 247.506 287.42 879.81 3.39 + 837.20 0.477 1.291 7594 7595 wkg sn104 1680.30 -.048 1.540 6950 kwc hf 2 352 413 460 100 2
tehac sawmill thumb 891115 0905 34.7 22900.1440 + 22880.1067 0.0043 red 61 22904.222 2.011 250.404 285.37 883.63 2.66 + 1680.30 0.477 1.376 7601 wk/g sn104 837.20 -.048 1.714 /h gf 1 353 525 585 90 2
tehac soledad thumb 731020 237.7 24892.4635 + 24884.4523 24891.671 0.466 247.112 292.59 894.43 9.16 + 1277.84 1.480 1.390 kino sn104 837.20 0.000 1.387 1 52 71 100 2 24892.4645
tehac soledad thumb 741111 237.7 24892.4668 + 24884.4555 24891.779 0.477 250.682 291.70 903.95 4.26 + 1277.84 1.476 1.470 ham- sn104 837.20 0.000 1.300 cha 1 71 65 100 1 24892.4674
tehac soledad thumb 76 510 1445 237.7 24892.4637 + 24884.4524 24891.587 0.477 243.283 297.97 896.22 4.82 + 1277.84 1.476 1.265 ml-j sn104 837.20 0.000 1.372 s 1 68 57 110 2 24892.4644
tehac soledad thumb 77 615 0913 237.8 24892.4657 + 24884.4545 24891.662 0.451 247.194 293.01 895.89 8.79 + 837.20 1.476 1.386 wao sn104 1277.84 0.000 1.388 2 b 68 75 120 2 24892.4669
tehac soledad thumb 78 314 1206 237.7 24892.4679 + 24884.4567 24891.850 0.438 255.426 285.00 899.87 6.08 + 1277.84 1.469 1.210 wao sn104 837.20 0.000 1.649 1 b 58 69 100 2 24892.4696
tehac soledad thumb 79 3 7 0930 237.7 24892.4640 + 24884.4527 24891.763 0.415 252.903 288.75 903.11 7.45 + 1277.84 1.476 1.281 rfw/ sn104 837.20 0.000 1.508 jgh 1 a a1 75 91 2 24892.4653
tehac soledad thumb 791129 1205 237.7 24892.4666 + 24884.4553 24891.996 0.509 258.399 283.62 905.45 2.13 + 1277.84 0.476 1.230 ham sn104 837.20 -.026 1.417 sm af 1 c c1 a1 96 2 24892.4683
tehac soledad thumb 801125 1251 237.7 24892.4626 + 24884.4514 24891.981 0.476 259.410 283.21 907.75 2.30 + 1277.84 0.475 1.122 2199 6898 este sn123 837.20 -.026 1.540 4093 spot af1 1 c a1 d2 95 2 24892.4646
tehac soledad thumb 82 129 1134 237.8 24892.4629 + 24884.4516 24892.005 0.477 260.051 279.86 899.23 3.60 + 837.20 0.477 1.280 2198 6950 este sn104 1277.84 -.026 1.375 4093 s dl bf 2 c a1 76 87 2 24892.4651
tehac soledad thumb 8212 2 1525 237.7 24892.4737 + 24884.4624 9.9999 24892.025 0.502 258.996 279.91 896.11 4.22 + 1277.84 0.476 1.100 2199 4079 gh j sn104 837.20 -.048 1.780 0868 b df ef 1 164 310 291 100 2 24892.4749
tehac soledad thumb 84 519 1444 237.7 24892.4782 + 24884.4670 9.9999 24891.498 0.469 239.828 302.26 896.72 7.74 + 1277.84 0.478 1.032 7600 0868 wwp/ sn104 837.20 -.026 1.535 6899 kmk bf 1 164 500 450 100 2 24892.4783
tehac soledad thumb 861027 1020 237.7 24892.4793 + 24884.4680 0.0025 24891.691 0.467 246.679 295.23 900.42 5.56 + 1277.84 0.477 1.324 7594 7595 wgh sn104 837.20 -.048 1.839 7601 jls hf 1 352 413 460 100 2 24892.4804
tehac soledad thumb 891017 1114 237.7 24892.4705 + 24884.4592 0.0019 24891.558 0.319 247.643 294.05 900.23 4.77 + 1277.84 0.477 1.228 7601 gh k sn104 837.20 -.048 1.732 c if 1 353 525 585 85 2 24892.4715
tehac tecuyrm1 tejon 41 76 512 105.6 15809.9537 / 15790.0902 / 0.0000 2180.54 1484.38 1
tehac tecuyrm1 tejon 41 77 614 105.6 15809.9589 / 15790.0955 / 0.0000 1484.38 2180.54 2
tehac tecuyrm1 tejon 41 78 316 105.6 15809.9561 / 15790.0926 / 0.0000 1484.38 2180.54 2
tehac tecuyrm1 tejon 41 79 6 7 105.6 15809.9689 / 15790.1055 / 0.0000 1484.38 2180.54 2
tehac tecuyrm1 tejon 41 81 6 2 105.8 15809.9651 + 15790.1017 + 0.0000 2180.54 1484.38 1
tehac tecuyrm1 tejon 41 82 5 5 105.7 15809.9673 + 15790.1039 + 0.0000 2180.54 1484.38 1
tehac tecuyrm1 tejon 41 8212 4 1342 105.7 15809.9713 + 15790.1079 9.9999 15809.309 0.476 233.560 283.31 819.27 3.19 + 1484.38 0.476 1.307 2199 4079 gh j sn104 2180.54 -.049 1.660 6899 b gf 2 164 310 17 95 2 15809.9659
tehac tecuyrm1 tejon 41 84 531 1045 105.7 15809.9689 + 15790.1055 9.9999 15809.189 0.474 227.120 291.19 818.27 5.76 + 1484.38 0.478 1.001 7600 0868 wwp/ sn104 2180.54 -.026 1.595 4995 kmk cf 2 164 500 450 80 2 15809.9672
tehac tecuyrm1 tejon 41 861025 1205 105.7 15809.9756 + 15790.1122 0.0003 15809.259 0.469 231.368 288.23 825.00 3.90 + 1484.38 0.477 1.218 7594 7595 jms sn104 2180.54 -.048 1.323 6950 wkg gf 2 352 413 460 80 2 15809.9733
tehac tecuyrm1 tejon 41 87 630 1624 105.7 15809.9829 + 15790.1195 0.0011 15809.206 0.477 226.633 291.33 818.20 12.72 + 1484.38 0.477 1.206 7595 7601 gdhj sn104 2180.54 -.048 1.448 ms gf 2 164 485 565 90 3 15809.9800
tehac tecuyrm1 tejon 41 891114 1601 105.7 15809.9801 + 15790.1167 0.0013 15809.299 0.480 231.858 285.75 819.81 5.56 + 1484.38 0.477 1.294 7601 wk/g sn104 2180.54 -.048 1.775 /h if 2 353 525 585 90 2 15809.9780
tehac tej32rm2 weed rm1 731022 317.7 14866.3647 + 14864.2561 14866.185 0.463 266.893 298.35 985.84 12.61 + 325.60 1.480 1.499 wege sn104 107.00 0.000 1.765 ner 1 52 71 100 2 14866.3637
tehac tej32rm2 weed rm1 76 221 317.7 14866.3514 + 14864.2427 14866.494 0.495 285.969 282.41 998.06 3.89 + 325.60 1.476 1.520 wp-g sn104 107.00 0.000 1.380 h 1 68 73 100 2 14866.3520
tehac tej32rm2 weed rm1 77 713 1217 317.7 14866.3405 + 14864.2318 14866.126 0.447 265.139 300.78 987.68 14.80 + 325.60 1.476 1.477 kwg sn104 107.00 0.000 1.353 1 b 58 75 110 2 14866.3393
tehac tej32rm2 weed rm1 78 710 1147 317.7 14866.3292 + 14864.2205 14866.029 0.410 262.289 303.48 986.69 20.86 + 325.60 1.476 1.380 dwr sn104 107.00 0.000 1.692 1 b 58 69 96 2 14866.3280
tehac tej32rm2 weed rm1 79 4 5 1425 317.7 14866.3396 + 14864.2309 14866.110 0.405 265.840 299.69 986.33 12.77 + 325.60 1.407 1.385 rfw/ sn104 107.00 0.000 1.516 kmc 1 c c1 a1 93 2 14866.3386
tehac tej32rm2 weed rm1 80 522 1102 317.7 14866.3183 + 14864.2096 14866.247 0.479 272.991 292.33 987.89 12.15 + 325.60 0.477 1.343 2199 6898 sn sn-104 107.00 -.026 1.514 cf 1 c d2 b2 96 2 14866.3175
tehac tej32rm2 weed rm1 81 6 4 0953 317.7 14866.3303 + 14864.2216 14866.159 0.459 266.189 299.65 987.82 14.62 + 325.60 0.477 1.367 2198 6950 este sn104 107.00 -.048 1.490 s f 1 c a1 76 90 2 14866.3293
tehac tej32rm2 weed rm1 82 330 1116 317.7 14866.3220 + 14864.2134 14866.419 0.474 283.199 284.17 995.14 6.46 + 325.60 0.476 1.335 2198 6950 latz sn104 107.00 -.048 1.585 4093 a se f 1 c a1 76 92 2 14866.3218
tehac tej32rm2 weed rm1 84 613 0937 317.7 14866.3143 + 14864.2056 9.9999 14866.222 0.464 272.734 292.13 986.03 10.01 + 325.60 0.478 1.100 0868 7600 wwp/ sn104 107.00 -.026 1.350 6899 kmk cf 1 164 500 450 100 2 14866.3133
tehac tej32rm2 weed rm1 8611 9 1517 317.7 14866.3201 + 14864.2114 0.0003 14866.334 0.472 277.957 289.53 995.61 7.57 + 325.60 0.477 1.330 7594 7595 wkg sn104 107.00 -.048 1.692 7600 kwc gf 1 352 413 460 90 2 14866.3191
tehac tej32rm2 wh2 rm3 77 713 0757 234.4 21521.0190 + 21516.8910 21520.652 0.450 262.557 294.76 957.46 9.19 + 652.78 1.476 1.223 dwr sn104 325.60 0.000 1.329 2 b 58 75 117 2 21521.0191
tehac tej32rm2 wh2 rm3 79 4 5 1225 234.4 21521.0205 + 21516.8926 21520.622 0.409 262.273 294.90 957.45 13.29 + 652.78 1.407 1.214 rfw/ sn104 325.60 0.000 1.719 jgh 2 c c1 a1 92 2 21521.0207
tehac tej32rm2 wh2 rm3 791219 1058 234.4 21521.0143 + 21516.8864 21520.908 0.508 272.090 286.45 963.56 5.17 + 652.78 0.477 1.245 ham sn104 325.60 -.026 1.522 nor cf 2 c c1 a1 96 2 21521.0152
tehac tej32rm2 wh2 rm3 80 522 1036 234.3 21520.9986 + 21516.8707 21520.762 0.480 267.116 289.69 957.52 11.17 + 325.60 0.477 1.343 2199 6898 sn sn-104 652.78 -.026 1.499 4093 bf 1 c d2 b2 97 2 21520.9992
tehac tej32rm2 wh2 rm3 81 6 4 0930 234.3 21521.0221 + 21516.8942 21520.618 0.457 260.459 297.10 957.83 12.74 + 325.60 0.477 1.367 2198 6950 este sn104 652.78 -.026 1.398 s bf-af1 c a1 76 95 2 21521.0223
tehac tej32rm2 wh2 rm3 82 330 1132 234.3 21521.0069 + 21516.8790 21520.953 0.474 275.856 282.30 962.82 6.12 + 325.60 0.476 1.335 2198 6950 latz sn104 652.78 -.026 1.427 6899 a se bf 1 c a1 76 95 2 21521.0081
tehac tej32rm2 wh2 rm3 84 613 0956 234.3 21521.0140 + 21516.8860 9.9999 21520.771 0.464 266.402 289.83 954.94 9.33 + 325.60 0.478 1.100 0868 7600 wwp/ sn104 652.78 -.048 1.500 4995 kmk if ef 1 164 500 450 100 2 21521.0156
tehac tej32rm2 wh2 rm3 8611 9 1433 234.3 21521.0142 + 21516.8862 0.0041 21520.889 0.471 271.607 287.07 964.20 6.89 + 325.60 0.477 1.330 7594 7595 wkg sn104 652.78 -.048 1.530 7601 kwc if 1 352 413 460 100 2 21521.0147
tehac tej32rm2 wh2 rm3 891118 0847 234.3 21521.0068 + 21516.8788 0.0013 21520.774 0.489 265.959 292.41 961.60 4.82 + 325.60 0.477 1.406 7601 kc w sn104 652.78 -.048 1.351 kg df 1 353 525 585 80 1 21521.0063
tehac tej32rm2 wheeler2 73 628 234.4 21524.2967 / 21520.1688 0.0028 325.60 652.78 1
tehac tej32rm2 wheeler2 731022 234.4 21524.3020 + 21520.1742 21523.934 0.463 261.891 295.01 956.08 11.07 + 325.60 1.477 1.499 wege sn104 652.78 0.000 1.420 ner 1 52 71 100 2 21524.3023
tehac tej32rm2 wheeler2 76 221 234.4 21524.2988 + 21520.1710 21524.156 0.486 271.357 287.99 965.71 2.36 + 325.60 1.476 1.520 wp-g sn104 652.78 0.000 1.315 h 1 68 73 105 2 21524.2998
tehac tej32rm2 wheeler2 77 713 234.4 0.0000 / 21520.1564 red / 0.0000 652.78 325.60 2
tehac tej32rm2 wheeler2 78 710 1103 234.4 21524.2853 + 21520.1575 21523.772 0.412 257.293 300.50 957.65 16.97 + 325.60 1.469 1.380 dwr sn104 652.78 0.000 1.494 1 b 58 69 101 2 21524.2853
tehac tejon 32 weed rm1 731022 317.7 14862.4304 + 14860.3151 red 14866.185 0.463 266.893 298.35 985.84 12.61 + 326.00 1.480 1.499 wege sn104 107.00 0.000 1.765 ner 1 52 71 100 2
tehac tejon 32 weed rm1 76 221 317.7 14862.4170 + 14860.3017 red 14866.494 0.495 285.969 282.41 998.06 3.89 + 326.00 1.476 1.520 wp-g sn104 107.00 0.000 1.380 h 1 68 73 100 2
tehac tejon 32 weed rm1 77 713 1217 317.7 14862.4061 + 14860.2908 red 14866.126 0.447 265.139 300.78 987.68 14.80 + 326.00 1.476 1.477 kwg sn104 107.00 0.000 1.353 1 b 58 75 110 2
tehac tejon 32 weed rm1 78 710 1147 317.7 14862.3948 + 14860.2795 red 14866.029 0.410 262.289 303.48 986.69 20.86 + 326.00 1.476 1.380 dwr sn104 107.00 0.000 1.692 1 b 58 69 96 2
tehac tejon 32 weed rm1 79 4 5 1425 317.7 14862.4053 + 14860.2899 red 14866.110 0.405 265.840 299.69 986.33 12.77 + 326.00 1.407 1.385 rfw/ sn104 107.00 0.000 1.516 kmc 1 c c1 a1 93 2
tehac tejon 32 weed rm1 80 522 1102 317.7 14862.3839 + 14860.2686 red 14866.247 0.479 272.991 292.33 987.89 12.15 + 326.00 0.477 1.343 2199 6898 sn sn-104 107.00 -.026 1.514 cf 1 c d2 b2 96 2
tehac tejon 32 weed rm1 81 6 4 0953 317.7 14862.3959 + 14860.2806 red 14866.159 0.459 266.189 299.65 987.82 14.62 + 326.00 0.477 1.367 2198 6950 este sn104 107.00 -.048 1.490 s f 1 c a1 76 90 2
tehac tejon 32 weed rm1 82 330 1116 317.7 14862.3877 + 14860.2724 red 14866.419 0.474 283.199 284.17 995.14 6.46 + 326.00 0.476 1.335 2198 6950 latz sn104 107.00 -.048 1.585 4093 a se f 1 c a1 76 92 2
tehac tejon 32 weed rm1 84 613 0937 317.7 14862.3799 + 14860.2646 9.9999 red 54 14866.222 0.464 272.734 292.13 986.03 10.01 + 326.00 0.478 1.100 0868 7600 wwp/ sn104 107.00 -.026 1.350 6899 kmk cf 1 164 500 450 100 2
tehac tejon 32 weed rm1 8611 9 1517 317.7 14862.3857 + 14860.2704 0.0003 red 54 14866.334 0.472 277.957 289.53 995.61 7.57 + 326.00 0.477 1.330 7594 7595 wkg sn104 107.00 -.048 1.692 7600 kwc gf 1 352 413 460 90 2
tehac tejon 32 wheeler2 73 628 234.4 0.0000 / 21528.8588 red 53 0.0028 326.00 652.78 1
tehac tejon 32 wheeler2 731022 234.3 21532.9878 + 21528.8657 red 21523.934 0.463 261.891 295.01 956.08 11.07 + 326.00 1.477 1.499 wege sn104 652.78 0.000 1.420 ner 1 52 71 100 2
tehac tejon 32 wheeler2 76 221 234.3 21532.9846 + 21528.8625 red 21524.156 0.486 271.357 287.99 965.71 2.36 + 326.00 1.476 1.520 wp-g sn104 652.78 0.000 1.315 h 1 68 73 105 2
tehac tejon 32 wheeler2 77 713 0757 234.4 21532.9733 + 21528.8512 red 21520.652 0.450 262.557 294.76 957.46 9.19 + 652.78 1.476 1.223 dwr sn104 326.00 0.000 1.329 2 b 58 75 117 2
tehac tejon 32 wheeler2 78 710 1103 234.3 21532.9710 + 21528.8490 red 21523.772 0.412 257.293 300.50 957.65 16.97 + 326.00 1.469 1.380 dwr sn104 652.78 0.000 1.494 1 b 58 69 101 2
tehac tejon 32 wheeler2 79 4 5 1225 234.4 21532.9748 + 21528.8528 red 21520.622 0.409 262.273 294.90 957.45 13.29 + 652.78 1.407 1.214 rfw/ sn104 326.00 0.000 1.719 jgh 2 c c1 a1 92 2
tehac tejon 32 wheeler2 791219 1058 234.4 21532.9686 + 21528.8466 red 21520.908 0.508 272.090 286.45 963.56 5.17 + 652.78 0.477 1.245 ham sn104 326.00 -.026 1.522 nor cf 2 c c1 a1 96 2
tehac tejon 32 wheeler2 80 522 1036 234.3 21532.9529 + 21528.8309 red 21520.762 0.480 267.116 289.69 957.52 11.17 + 326.00 0.477 1.343 2199 6898 sn sn-104 652.78 -.026 1.499 4093 bf 1 c d2 b2 97 2
tehac tejon 32 wheeler2 81 6 4 0930 234.3 21532.9764 + 21528.8544 red 21520.618 0.457 260.459 297.10 957.83 12.74 + 326.00 0.477 1.367 2198 6950 este sn104 652.78 -.026 1.398 s bf-af1 c a1 76 95 2
tehac tejon 32 wheeler2 82 330 1132 234.3 21532.9613 + 21528.8392 red 21520.953 0.474 275.856 282.30 962.82 6.12 + 326.00 0.476 1.335 2198 6950 latz sn104 652.78 -.026 1.427 6899 a se bf 1 c a1 76 95 2
tehac tejon 32 wheeler2 84 613 0956 234.3 21532.9683 + 21528.8462 9.9999 red 53 21520.771 0.464 266.402 289.83 954.94 9.33 + 326.00 0.478 1.100 0868 7600 wwp/ sn104 652.78 -.048 1.500 4995 kmk if ef 1 164 500 450 100 2
tehac tejon 32 wheeler2 8611 9 1433 234.3 21532.9685 + 21528.8464 0.0041 red 53 21520.889 0.471 271.607 287.07 964.20 6.89 + 326.00 0.477 1.330 7594 7595 wkg sn104 652.78 -.048 1.530 7601 kwc if 1 352 413 460 100 2
tehac tejon 32 wheeler2 891118 0847 234.3 21532.9611 + 21528.8390 0.0013 red 53 21520.774 0.489 265.959 292.41 961.60 4.82 + 326.00 0.477 1.406 7601 kc w sn104 652.78 -.048 1.351 kg df 1 353 525 585 80 1
tehac tenhi ward 7711 1 1453 101.7 21495.2310 / 21489.1490 21494.484 0.450 244.640 291.47 881.78 6.01 / 1089.62 1.476 1.168 dwr sn104 1378.30 0.000 1.411 2 b 58 15 98 2 21495.2313
| en |
converted_docs | 470211 | CONSERVATION RESERVE PROGRAM (CRP)
MANAGEMENT REQUIREMENTS ON BUFFER PRACTICES
-------------- ----------- --------- ------- ------- ------- ------- --------- ------- -------- ------- ------- ----------
Landuser: OPID: County: Date:
CRP Contract Tract Field
No./Revision No. No(s).
No. :
-------------- ----------- --------- ------- ------- ------- ------- --------- ------- -------- ------- ------- ----------
MANAGEMENT IS REQUIRED TO PREVENT THE FOLLOWING Conditions IN
ESTABLISHED COVER
1. *Sodbound or shaded grasses (excessive mulch/low plant vigor).*
2. *Lack of plant diversity and proper vegetative cover (vegetative
cover agreed to in CRP contract is not present).*
3. *Cover is not providing desired wildlife habitat.*
## MANAGEMENT REQUIREMENTS DURING THE LIFE OF CONTRACT
**General Requirements and Restrictions**
Following stand establishment, management practices that are not listed
for specific fields below [shall not]{.underline} be used without NRCS
approval. Specifications for interseeding shall be obtained prior to
seeding. Management practices are restricted to the time periods listed
for individual practices and shall not be conducted between May 1 and
July 15 to protect nesting birds and young wildlife, [except when
necessary to control noxious weeds (refer to Nebraska Conservation
Planning Sheet 19).]{.underline}
- All cover management activities (options listed below) can be
cost-shared.
- A mid-contract management activity must be conducted a minimum of
one time during a ten year contract unless otherwise noted.
- Contracts longer than ten years in Vegetative Zones III & IV
(approx. east of Hwy 83), require a minimum of two management
activities during the contract (a minimum of one management activity
in Vegetative Zones I & II -- approx. west of Hwy 83).
- Management activities may be conducted and cost-shared more
frequently than the required minimum intervals listed, provided that
the activity is technically justified and not prohibited by 2-CRP
(rev. 4) paragraph 484.
- Incidental grazing is allowed on CP-8A (Grass Waterway), CP-15A/B
(Contour Grass Strips), CP-21 (Filter Strip), and CP-33 (Habitat
Buffers for Upland Birds) but will not be considered a substitute
for management on those acres.
- Consultation with a wildlife biologist is required for management
activities implemented on wetland acres associated with CP-9,
CP-23/A, CP-27, & CP-30. Consultation is not required for management
activities implemented on the buffer acres for wetlands.
- Refer to Nebraska Conservation Planning Sheet 20D for tree planting
practices (CP-5A, CP-16A, CP-17A, CP-22, CP-31).
- Refer to Nebraska Conservation Planning Sheet 20A for (SAFE) CP-38E
management requirements.
## COVER MANAGEMENT OPTIONS AND REQUIREMENTS
Tillage and Interseeding Option
[CRP Practice CP21, CP28, CP29, CP33 PLUS CP9, CP23/A, CP30 (Buffer
Acres Only) -- FOTG Practice 647]{.underline}
- Vegetative Zones I & II (approx. west of Hwy 83) every 5-7 years
following stand establishment.
- Vegetative Zones III & IV (approx. east of Hwy 83) every 3-5 years
following stand establishment.
- Tillage may be needed more frequently on sites with aggressive sod
forming grasses such as smooth brome or switchgrass.
- Prescribed Burning or other authorized removal of excessive residue
may be needed prior to interseeding.
- Interseeding may be conducted without tillage on sandy sites (soils
with an I factor of 134 or greater) provided an interseeder is used
or similar device that creates some level of minimal disturbance to
allow for germination and establishment.
- Interseeding must be conducted under this option (specifications for
interseeding must be obtained prior to seeding).
- Broadcast seeding is only allowed if tillage is completed prior to
seeding and seeding rates are doubled.
- Tillage will not be conducted within 50 feet of field boundaries
along state and county improved roads and highways or within 50 feet
of property ownership boundaries without the approval of the
adjacent landowner except as provided for CP-33.
- [Note]{.underline}: Tillage may occur within the outside edge (50
feet) of CP-33 field borders provided that tall weedy growth is
shredded/clipped after July 15^th^ of the first growing season to a
height not less than 18 inches and not greater than 36 inches.
- Tillage cannot be conducted between May 1^st^ and July 15^th^ to
protect nesting birds and young wildlife.
- Tillage will not be conducted within 30 feet of streams or wetlands,
on extremely sandy sites, slopes greater than 20%, waterways with
concentrated flow, and areas with a high risk of noxious weed
colonization. A minimum level of residue of 30% will be maintained
on slopes greater than 9% and within 100 feet of streams or other
permanent waterbody.
- The Conservation Plan of Operations must include Early Successional
Habitat Management (647) or be revised to include it.
- Approved legumes/forbs will be interseeded in conjunction with
tillage as follows:
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
*Approved *Alfalfa* *Red *Sweet *Other(s):* * *
Legumes/Forbs clover* clover*
(circle):*
*Time Frame for * *
Tillage &
Interseeding:*
*Fields/Acres:* * *
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
\*Attach a map with acres to receive management noted and additional
details for implementing the tillage/seeding operation.
Interseeding Without Tillage Option
[CRP Practice CP15A/B, CP24 PLUS CP9, CP21, CP23/A, CP28, CP29, CP30
(30' Zone near Stream/Wetland) -- FOTG Practice 647]{.underline}
- Vegetative Zones I & II (approx. west of Hwy 83) every 5-7 years
following stand establishment.
- Vegetative Zones III & IV (approx. east of Hwy 83) every 3-5 years
following stand establishment.
- Prescribed Burning or other authorized removal of residue may be
needed prior to interseeding with an interseeder or similar device
used to create some limited soil disturbance or a "burn-down"
herbicide may be needed to reduce competition and allow
establishment.
----------------- --------- --------- ----------- --------- --------- ------------- ---------------------
*Approved *Alfalfa* *Red *Sweet *Other(s):* * *
Legumes/Forbs clover* clover*
(circle):*
*Time Frame for * *
Interseeding:*
*Fields/Acres:* * *
----------------- --------- --------- ----------- --------- --------- ------------- ---------------------
\* Attach a map of area to be interseeded.
Prescribed Burning Option
[CRP Practice CP21, CP27, CP28, CP29, CP33 PLUS CP9, CP23/A, CP30
(Wetland and Buffer Acres) -- FOTG Practice 338]{.underline}
- Vegetative Zones I & II (approx. west of Hwy 83) every 5-7 years
following stand establishment.
- Vegetative Zones III & IV (approx. east of Hwy 83) every 3-5 years
following stand establishment.
- This management option may not be appropriate on sandy sites or
where safety risks exist.
- Broadcast seeding following a burn is only allowed if tillage is
completed prior to seeding and seeding rates are doubled.
- A prescribed burn plan must be developed prior to the burn and must
comply with state and local laws and regulations (including a burn
permit from the local fire district), and the Field Office Technical
Guide standard for Prescribed Burning (338).
- Interseeding of legumes may be appropriate for this option
(specifications for interseeding must be obtained prior to seeding).
- The Conservation Plan of Operations must include Prescribed
Burning (338) or be revised to include it.
- Landusers are liable for any damage and are responsible for
confining prescribed burns to their own land.
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
*Approved *Alfalfa* *Red *Sweet *Other(s):* * *
Legumes/Forbs clover* clover*
(circle):*
*Time Frame for * *
Burning and
Interseeding:*
*Fields/Acres:* * *
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
**\* Attach a map of area to be burned and associated prescribed burning
plan, copy of permit, and other appropriate materials.**
Chemical Herbaceous Vegetation Control
[CRP Practice CP28, CP33 PLUS CP9, CP23/A, CP30 (Buffer Acres Only) --
FOTG Practice 647]{.underline}
- Vegetative Zones I & II (approx. west of Hwy 83) every 5-7 years
following stand establishment.
- Vegetative Zones III & IV (approx. east of Hwy 83) every 3-5 years
following stand establishment.
- Chemical Herbaceous Vegetation Control includes using burn-down
chemicals to eradicate undesired cover (e.g. smooth brome) or
suppress existing cover (chemical mowing) to allow for increased
plant diversity. (The chemical must be labeled for that use.)
- Chemical burn-down may be substituted for tillage under certain
circumstances (specifications must be obtained).
- Interseeding of legumes may be appropriate for this option
(specifications for interseeding must be obtained prior to seeding).
- Prescribed Burning or other authorized removal of excessive residue
may be needed prior to interseeding.
- This option is not to be used as a substitute for noxious weed
control or weed control during establishment.
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
*Approved *Alfalfa* *Red *Sweet *Other(s):* * *
Legumes/Forbs clover* clover*
(circle):*
*Time Frame for * *
Application and
Interseeding:*
*Fields/Acres:* * *
----------------- ----------- ----------- --------- --------- --------- ------------- ---------------------
**\* Attach a map of area to be treated with chemical and associated
details (type of chemical, application rate, site preparation).**
Tillage Only or Chemical Herbaceous Vegetation Control Only (No
Interseeding)
[CRP Practice CP9, CP23/A, CP27 & CP30 (Wetland Acres Only) -- FOTG
Practice 647]{.underline}
Management must encourage beneficial wetland plants (e.g. smartweed,
etc.) or reduce aggressive wetland vegetation (e.g. cattail, etc.).
- Vegetative Zones I & II (approx. west of Hwy 83) every 5-7 years
following stand establishment.
- Vegetative Zones III & IV (approx. east of Hwy 83) every 3-5 years
following stand establishment.
- Plant succession in wetlands may be accelerated and require more
frequent management than listed.
- Tillage will not be conducted within 50 feet of field boundaries
along state and county improved roads and highways or within 50 feet
of property ownership boundaries without the approval of the
adjacent landowner.
- Tillage and/or chemical treatments may not be appropriate for
wetlands with perennial vegetation such as wet meadows.
----------------- --------- ------------------------------------------------------
*Time Frame for * *
Treatment:*
*Fields/Acres:* * *
----------------- --------- ------------------------------------------------------
**\* Attach a map of area to be treated and associated details (type of
equipment or chemical, application rate, site preparation).**
**I (We) concur in the management provisions outlined in Nebraska
Conservation Plannin**g Sheet 20B-CRP.
--------------------- ----------------------------- ------- --------------
COOPERATOR Date:
(Producer):
COOPERATOR Date:
(Producer):
NRCS Representative: Date:
FSA County Committee: Date:
NRD Representative: Date:
--------------------- ----------------------------- ------- --------------
| en |
all-txt-docs | 164278 | Internet address: http://www.bls.gov/fls USDL: 02-549
Technical information: (202) 691-5654 For Release: 10:00 A.M. EDT
Media contact: (202) 691-5902 Friday, September 27, 2002
INTERNATIONAL COMPARISONS OF HOURLY COMPENSATION COSTS
FOR PRODUCTION WORKERS IN MANUFACTURING, 2001
Average hourly compensation costs in U.S. dollars for production workers
in manufacturing in 29 foreign economies declined to 67 percent of the U.S.
level in 2001 from 71 percent in 2000, according to the Bureau of Labor
Statistics, U.S. Department of Labor. Compensation costs relative to the United
States declined in Canada, Japan, and throughout most of Europe in 2001, with
costs in Japan falling below the United States for the first time in three
years. Relative costs rose slightly in Mexico and Ireland.
In the United States, hourly compensation costs for production workers
were $20.32 in 2001, a 3 percent increase from the 2000 level. The U.S. average
costs were higher than the trade-weighted average for Europe and for the
combined 29 economies, although five European countries had higher hourly
compensation costs than did the United States. Hourly compensation costs fell 1
percent in the combined 29 foreign economies during 2001, following a 2.2
percent increase in 2000, when measured in U.S. dollar terms. Trade-weighted
average costs increased 4.2 percent in the foreign economies in 2001, when
measured in national currency terms, but the trade-weighted value of the foreign
currencies declined 5 percent against the dollar, resulting in the decline in
hourly compensation costs on a U.S. dollar basis. The largest decline on a U.S.
dollar basis, 15.6 percent, occurred in Brazil (included for the first time in
this series), lowering Brazilian costs to 15 percent of the U.S. level. (See
table 1.)
Chart 1. Hourly compensation costs in U.S. dollars for
production workers in manufacturing, 1975-2001
PRINTED COPY CONTAINS CHART AT THIS POINT.
Compensation costs expressed in U.S. dollars
Cost declines in Europe and the Asian NIEs were moderate in 2001, falling
on average only about a half percent each. (NIEs are the newly industrializing
economies of Hong Kong SAR, Korea, Singapore, and Taiwan.) Sharp decreases in
compensation costs in Australia, Brazil, Japan, and Sweden, however, combined to
push costs down 1 percent on average for the 29 foreign economies. In the
United States, hourly compensation costs for production workers increased 3
percent in 2001.
Changes over time in compensation costs in U.S. dollars are affected by
the underlying national wage and benefit trends measured in national currencies,
as well as frequent and sometimes sharp changes in currency exchange rates. A
country's compensation costs expressed in U.S. dollars are calculated by
dividing compensation costs in national currency by the exchange rate (expressed
as national currency units per U.S. dollar).
BOX: A NOTE ON THE MEASURES
The hourly compensation measures in this news release are based on statistics
available to BLS as of July 2002. The 2001 compensation statistics are
preliminary measures; for some of the foreign countries, they are based on less
than full-year data. These measures are prepared specifically for international
comparisons of employer labor costs in manufacturing. The methods used, as well
as the results, differ somewhat from those of other BLS series on U.S.
compensation costs.
Total compensation costs include pay for time worked, other direct pay
(including holiday and vacation pay, bonuses, other direct payments, and the
cost of pay in kind), employer expenditures for legally required insurance
programs and contractual and private benefit plans, and, for some countries,
other labor taxes.
Labor cost measures. The compensation measures are computed in national
currency units and are converted into U.S. dollars at prevailing commercial
market currency exchange rates. They are appropriate measures for comparing
levels of employer labor costs, but they do not indicate relative living
standards of workers or the purchasing power of their incomes. Prices of goods
and services vary greatly among countries, and commercial market exchange rates
do not reliably indicate relative differences in prices.
Data limitations. Hourly compensation is partly estimated, and data are
subject to revision in the next update. The comparative level figures are
averages for all manufacturing industries and are not necessarily representative
of all component industries.
See the Technical Notes for further information regarding definitions,
sources, and computation methods and a description of the trade-weighted
measures for economic groups.
END OF BOX (A NOTE ON THE MEASURES)
Table A. Hourly compensation costs, in national currency and in U.S. dollars,
for production workers in manufacturing
and exchange rates (U.S. dollars per national currency unit)
Percent change, 2000-2001
Hourly Hourly
Country compensation, compensation,
or area national Exchange U.S.
currency Rates dollars
Americas
United States 3.0 - 3.0
Brazil 8.5 -22.2 -15.6
Canada 1.6 -4.1 -2.6
Mexico 11.0 1.3 12.5
Asia and Oceania
Australia 2.2 -11.1 -9.1
Hong Kong SAR 1 6.1 -.1 5.9
Israel 8.6 -3.1 5.2
Japan .5 -11.3 -11.0
Korea 9.0 -12.5 -4.6
New Zealand 3.4 -8.0 -4.8
Singapore 8.8 -3.8 4.7
Sri Lanka - - -
Taiwan 5.5 -7.6 -2.6
Europe
Austria 2.8 -3.0 -.3
Belgium .5 -3.0 -2.5
Denmark 5.3 -2.8 2.3
Finland 5.7 -3.0 2.5
France 4.5 -3.0 1.4
Germany, former West 2.4 -3.0 -.7
Germany 2.5 -3.0 -.6
Greece - - -
Ireland 9.5 -3.0 6.2
Italy 1.3 -3.1 -1.8
Luxembourg 1.2 -3.0 -1.9
Netherlands 4.3 -3.0 1.2
Norway 5.2 -2.0 3.1
Portugal - - -
Spain 4.2 -3.1 .9
Sweden 2.7 -11.3 -8.9
Switzerland 2.7 .1 2.8
United Kingdom 3.3 -5.0 -1.9
Trade-weighted measures 2,3
All 29 foreign economies 4.2 -5.0 -1.0
OECD 4 3.8 -4.7 -1.0
less Mexico, Korea 5 2.0 -5.5 -3.6
Europe 3.3 -3.5 -.4
Asian NIEs 7.4 -7.3 -.5
1 Hong Kong Special Administrative Region of China.
2 Because data for Germany are not available before 1993, data for only
the former West Germany are included in the trade-weighted measures.
3 The 2000-2001 percent changes for the trade-weighted measures are based
upon the changes for the countries or areas for which 2001 data are
available.
4 OECD refers to the Organization for Economic Cooperation and Development.
5 Mexico joined the OECD in 1994 and Korea joined in 1996.
A weakening yen drove Japanese compensation costs in U.S. dollars down 11
percent in 2001, the largest decrease of any country studied except Brazil.
(See box below.) Japanese costs fell to $19.59, 4 percent lower than
compensation costs in the United States. (See table A and chart 2.)
In contrast, Mexican compensation costs in U.S. dollars increased by 12.5
percent, the largest percent increase among the 29 foreign economies. As in
2000, Mexican peso appreciation relative to the U.S. dollar and the continuation
of fast growth in Mexican compensation costs in pesos led to the large increase.
Despite growing at a rate greater than 10 percent over the past three years,
Mexican compensation costs were only 12 percent of the U.S. level in 2001.
In 2001, for the first time since the Asian currency crisis in 1997-98,
hourly compensation costs in the Asian NIEs did not rise on a U.S. dollar basis.
Increases in Hong Kong and Singapore were offset by declining costs in Korea and
Taiwan, with the net result that costs in the NIEs fell a half-percent. Costs
in Korea are still the highest of the NIEs, at 40 percent of the U.S. level.
BOX: BRAZIL
Beginning with this release, BLS has prepared measures of hourly compensation
costs for Brazil. Because of data limitations, the measures cover only the
years 1996-2001. The tabulation below shows hourly compensation costs for
Brazil on a national currency basis, a U.S. dollar basis, and as a percentage of
the U.S. level.
Brazil: Hourly Compensation Costs for Production Workers in Manufacturing
Hourly Hourly
compensation compensation Index
Year national U.S. (U.S.
currency dollars = 100)
1996 5.82 5.79 33
1997 6.31 5.85 32
1998 6.51 5.61 30
1999 6.29 3.46 18
2000 6.55 3.58 18
2001 7.11 3.02 15
END OF BOX (BRAZIL)
Although the European currencies continued to depreciate against the
dollar in 2001, they did so at a slower rate than in 2000. The result of this
moderation was that, unlike 2000, when compensation costs on a U.S. dollar basis
declined in all European countries, about half the European countries showed
increases on a U.S. dollar basis in 2001. Costs rose most quickly in Ireland,
at 6.2 percent, while costs in Norway and Switzerland were near the 3 percent
mark. The largest compensation cost decline in Europe occurred in Sweden, where
costs fell 8.9 percent, due primarily to a weak currency.
Average compensation costs in Europe were $18.38 in 2001, falling 9 cents
from 2000. Although compensation costs in U.S. dollar terms have been falling
consistently in Europe since peaking at $21.92 in 1996, average hourly costs in
several countries remained above $20.00 in 2001. Norway and Germany continued
to have the highest costs of the 29 foreign economies at approximately $23.00,
while Belgium, Denmark, and Switzerland also had costs higher than $21.00. (See
chart 2.)
Chart 2. Indexes of hourly compensation costs in U.S. dollars for
for production workers in manufacturing, 2001
PRINTED COPY CONTAINS CHART AT THIS POINT.
Compensation costs expressed in national currencies
For U.S. competitors, compensation costs in national currency grew at a
slightly lower rate in 2001 than in 2000. The trade-weighted average cost
increased 4.2 percent for the foreign economies in 2001, compared with 4.4
percent in 2000. In 16 of the 26 foreign countries for which data were
available, compensation costs grew at a faster rate in 2001 than in the previous
year. The overall rate of growth for the foreign economies declined, however,
partly due to lower hourly compensation growth rates in three of the four
countries that contributed the largest shares to the trade-weighted average-
Canada, Mexico, and Germany.
The growth rate of compensation costs in Asia and Oceania increased for
every economy, with the exception of Korea; however, the rate of growth in Korea
remained the fastest of any of these countries. Cost growth in the Asian NIEs
averaged 7.4 percent in 2001, the fastest rate of growth since before the Asian
currency crisis of 1997-98. For the first time in three years, compensation
costs in Japan rose, although the half-percent increase was the lowest (along
with Belgium) of the countries studied. Japanese compensation costs have
increased only 0.6 percent since 1997.
Compensation costs in Europe grew at about the same rate, 3.3 percent, in
2001 as in 2000. The rate of growth topped 4 percent in seven of the European
countries, with the largest increase in Ireland (9.5 percent). That was the
largest increase in that country since 1984 and the largest for a European
country since 1997.
In the Western Hemisphere, compensation cost growth moderated in both
Canada and Mexico in 2001. While the 11 percent increase in Mexico was the
highest of all countries studied, it was the lowest increase in Mexico since
1994. Cost growth in Brazil also was high in 2001, at 8.5 percent, the first
time since 1997 that it reached that level.
Exchange rates
Appreciation of the dollar against the currencies of most foreign
countries continued in 2001, and at a greater rate than in 2000. The trade
weighted value of the currencies of the 29 foreign economies declined 5 percent
against the dollar in 2001. The decline of foreign currencies was widespread in
2001, with only the Mexican peso showing any appreciable increase in value
against the dollar. Currencies in Hong Kong and Switzerland in 2001 remained at
about the same levels as in 2000.
The European currencies depreciated against the U.S. dollar in 2001 for
the sixth consecutive year. The decline, however, was just 3.5 percent, much
smaller than the 11.6 percent drop in 2000. The currencies pegged to the euro
declined only about 3 percent, but weak currencies in the United Kingdom (5
percent decline) and Sweden (11.3 percent drop) pushed the trade-weighted
average for Europe down. The trade-weighted value of the European currencies
has fallen nearly 24 percent since its peak in 1995.
Asian currencies depreciated in 2001 after increasing in value in 2000.
Currency values in the Asian NIEs fell a trade-weighted average of 7.3 percent,
led by a 12.5 percent drop in the value of the Korean won. The value of the
Japanese yen also fell sharply, down 11.3 percent.
BOX: A NOTE ON EUROPEAN EXCHANGE RATES FOR 1999-2001
On January 1, 1999, several European countries joined the European
Monetary Union (EMU): Austria, Belgium, Finland, France, Germany, Ireland,
Italy, Luxembourg, the Netherlands, Portugal, and Spain. At the same time,
currencies of EMU members were established at fixed conversion rates to the
euro, the official currency of the EMU. Exchange rates between the national
currencies of EMU countries and the U.S. dollar are no longer reported; only the
exchange rate between the euro and the U.S. dollar is available.
In this news release, exchange rates for 1999-2001 in national currencies
are calculated for the EMU countries by taking the number of euros per U.S.
dollar and then converting euros into national currencies at the fixed
conversion rates. The following are the fixed conversion rates between national
currencies and the euro for the EMU countries in this release:
1 euro = 13.7603 Austrian Schillings
= 40.3399 Belgian Francs
= 5.94573 Finnish Markkas
= 6.55957 French Francs
= 1.95583 German Marks
= .787564 Irish Pounds
= 1936.27 Italian Lire
= 40.3399 Luxembourg Francs
= 2.20371 Netherlands Guilders
= 200.482 Portuguese Escudos
= 166.386 Spanish Pesetas
In 2001, 1 euro was equal to 0.8952 U.S. dollars.
END OF BOX (A NOTE ON EUROPEAN EXCHANGE RATES FOR 1999-2001)
The country with the largest drop in the value of its currency in 2001 was
Brazil. The real fell 22.2 percent against the dollar. Since 1996, the first
year for which hourly compensation data are available for Brazil, the real has
lost 57 percent of its value. As a result, hourly compensation costs in Brazil
have fallen from 33 percent of the U.S. level in 1996 to only 15 percent of the
U.S. level in 2001.
The movements of the foreign currencies relative to the U.S. dollar in
2001 had a significant influence on hourly compensation costs measured in U.S.
dollars. Hourly compensation costs on a national currency basis in the 29
foreign economies rose 4.2 percent, but, when adjusted for a 5 percent
depreciation of the foreign currencies against the U.S. dollar, those costs
actually decreased 1 percent. The effect that exchange rate changes can have on
hourly compensation costs is particularly evident when comparing European labor
costs with those of the Asian NIEs. On a national currency basis, the increase
in hourly compensation costs in the Asian NIEs was 4 percentage points higher
than the increase in Europe. When adjusted for changes in exchange rates,
however, costs on a U.S. dollar basis declined by approximately the same amount
in both regions.
New trade weights and trade-weighted measures
The trade weights used to compute the average compensation cost measures
for selected economic groups are new weights based on the sum of U.S. imports of
manufactured products for consumption (customs value) and U.S. exports of
domestic manufactured products (f.a.s. values) for each country or area and each
economic group in 1999. Previously, 1992 weights had been used.
Table B shows the share of U.S. manufactured goods trade for the 29
countries or areas covered in the hourly compensation series and selected
economic groups in 1999. The table also shows the 1992 weights. The 29
economies accounted for 82.2 percent of total U.S. manufactured goods trade in
1999. The only countries not covered that accounted for as much as 1 percent of
such trade are China (6.1 percent), Malaysia (2 percent), the Philippines (1.3
percent), and Thailand (1.2 percent).
Table B. Share of total U.S. imports and exports
of manufactured products in 1992 and 1999 (in percent)
Country or area 1992 1999 Country or area 1992 1999
and trade trade and trade trade
economic group share share economic group share share
Brazil - 1.5 Greece .1 .1
Canada 19.2 21.5 Ireland .6 1.1
Mexico 7.6 11.8 Italy 2.3 2.0
Australia 1.4 1.0 Luxembourg .1 .1
Hong Kong SAR 1 2.0 1.5 Netherlands 1.9 1.6
Israel .8 1.1 Norway .3 .2
Japan 15.8 11.8 Portugal .3 .2
Korea 3.4 3.4 Spain .8 .7
New Zealand .3 .2 Sweden .8 .8
Singapore 2.4 2.2 Switzerland 1.0 1.1
Sri Lanka .1 .1 United Kingdom 4.4 4.6
Taiwan 4.4 3.4 Economic groups:
Austria .3 .4 29 foreign
Belgium 1.5 1.3 economies 3 80.8 82.2
Denmark .3 .3 OECD 4 71.1 72.5
Finland .2 .3 Europe 23.4 22.6
France 3.2 2.7 European Union 22.1 21.4
Germany 2 5.4 5.2 Asian NIEs 12.2 10.5
(1) Hong Kong Special Administrative Region of China.
(2) Former West Germany.
(3) 28 foreign economies (not including Brazil) for 1992.
(4) Organization for Economic Cooperation and Development. Mexico joined the
OECD in 1994 and Korea joined in 1996.
The 1999 trade weights raise the relative importance of Mexico by about 4
percentage points and of Canada by a little over 2 percentage points. The
relative importance of Japan declined about 4 percentage points, and Taiwan's
relative importance dropped 1 percentage point. The trade weights in the
remaining countries or areas did not show large changes. The trade shares for
Europe and the Asian NIEs declined by about 1 and 2 percentage points,
respectively.
Of the countries studied, Canada is the U.S. trading partner with the
largest trade share (21.5 percent), followed by Japan and Mexico (11.8 percent
each), and Germany (5.2 percent).
Table C provides a comparison of U.S. hourly compensation costs with
trade-weighted hourly compensation costs in the 26 countries or areas for which
2001 data are available, using the 1992 and 1999 trade weights. The new trade
weights have little effect on the trade-weighted averages of Europe or the Asian
NIEs, but do lower the relative level of average compensation costs in the 28
economies. The lower level is due primarily to the increase in the weights of
Canada and Mexico and the decrease in the weight for Japan.
Table C. Hourly compensation costs for production workers in manufacturing, 2001
Using 1992 Using 1999
trade trade
Economic group shares shares
Index: U.S.=100
28 foreign economies 1 71 68
OECD 77 72
less Mexico, Korea 87 86
Europe 91 90
Asian NIEs 34 34
Hourly Compensation Costs in U.S. Dollars
28 foreign economies 1 $14.51 $13.81
OECD 15.55 14.56
less Mexico, Korea 17.65 17.47
Europe 18.39 18.38
Asian NIEs 6.82 6.95
Pct. Change 2000-2001: Hourly Compensation
Costs in U.S. Dollars
28 foreign economies 1 -1.9 -.7
OECD -2.4 -1.0
less Mexico, Korea -4.1 -3.6
Europe -.5 -.4
Asian NIEs -.3 -.5
Pct. Change 2000-2001: Hourly Compensation
Costs in National Currency
28 foreign economies 1 3.7 4.1
OECD 3.2 3.8
less Mexico, Korea 1.9 2.0
Europe 3.1 3.3
Asian NIEs 7.2 7.4
(1) Not including Brazil.
Trends in trade-weighted hourly compensation in U.S. dollar terms over the
1975-2001 period were affected in a similar manner. Trends in the Asian NIEs
and Europe were virtually the same using both the 1992 and the 1999 trade
weights, but the trend for 28 foreign countries or areas (not including Brazil)
was 0.5 percentage points lower using the 1999 weights.
The addition of Brazil to the BLS measures had a small effect on the
trade-weighted averages. The following tabulation shows trade-weighted averages
in 2001, using 1999 trade shares for all foreign economies both including Brazil
and excluding Brazil.
29 foreign 28 foreign
economies economies
(including Brazil) (excluding Brazil)
Index: United States = 100 67 68
Hourly compensation costs
in U.S. dollars, 2001 13.61 13.81
Pct. Change, 2000-2001:
U.S. dollar hourly comp. costs -1.0 -0.7
Pct. Change, 2000-2001:
national currency hourly comp. costs 4.2 4.1
Pct. Change, 2000-2001:
exchange rates -5.0 -4.7
Additional data available
In addition to the compensation cost measures covered in this news
release, data are available for comparative levels of hourly compensation costs,
hourly direct pay, pay for time worked, and the structure of compensation in
manufacturing for all years from 1975 through 2001.
BLS also computes comparative measures for 39 component manufacturing
industries. Data through 1998 are available upon request and via the Internet
(http://www.bls.gov/fls). Data for the component industries are not included in
this release; in general, the data limitations for them are greater than for
total manufacturing.
For further information, contact the Office of Productivity and
Technology, Bureau of Labor Statistics, 2 Massachusetts Avenue, NE, Room 2150,
Washington, DC 20212, or call 202-691-5654.
Information in this release will be made available to sensory impaired
individuals upon request. Voice phone: 202-691-5200; TDD message referral
phone: 1-800-877-8339.
This material is in the public domain and, with appropriate credit, may be
reproduced without permission. It may be translated into foreign languages
without permission, with a separate credit for the translation.
BOX: REVISED MEASURES
The hourly compensation measures are subject to revision in future updates.
In this update, revisions of particular note were made for the following
countries:
For the United States, data back to 1997 were revised to incorporate 1997-2000
data on non-wage compensation costs from the Annual Survey of Manufactures.
For Europe, 1996 labor cost survey (LCS) data from the Statistical Office of
the European Communities (EUROSTAT) were incorporated for the following
countries: Denmark, France, Greece, Luxembourg, Netherlands, Spain, and the
United Kingdom. 1996 LCS data had already been incorporated in previous
versions of this news release for Belgium, Germany, and Ireland.
For Mexico, revisions were made back to 1993 to incorporate benchmark data
from the 1998 Industrial Census. In addition, revisions to annual data from the
Monthly Industrial Survey that are used to update measures for non-census years
were also incorporated.
For Australia, revisions were made back to 1985 to incorporate new data on
earnings of adult workers and all non-managerial employees.
For Hong Kong, there was an increase in social insurance costs in 2001 to
reflect the December 2000 implementation of a Mandatory Provident Fund. In
addition, there was a minor revision to social insurance costs back to 1986 to
incorporate new estimates of non-wage compensation costs.
For Taiwan, data were revised for all years back to 1975 to incorporate new
data received from the Directorate-General of Budget, Accounting and Statistics
in Taiwan.
For Belgium, data for 2000 and 2001 were adjusted to account for the payback
of Maribel subsidies by firms that had previously received subsidy payments in
the 1990s. Most of the payback occurred in 2000, with smaller amounts to be
paid back in 2001 and 2002.
For Finland, revisions were made back to 1994 to incorporate new data received
on pay for time not worked and social insurance costs. The previous hourly
compensation series for Finland was linked to the new series at 1994, resulting
in slightly higher compensation levels for Finland back to 1975.
For Italy, revisions back to 1997 were made to incorporate new information
received on pay for time not worked.
For Norway, new estimates of hourly earnings for production workers were
constructed back to 1998 using data from the Wage Statistics Survey.
END OF BOX (REVISED MEASURES)
Table 1. Indexes of hourly compensation costs in U.S. dollars for production workers
in manufacturing, 30 countries or areas and selected economic groups, selected years, 1975-2001
Country or area 1975 1980 1985 1990 1995 1998 1999 2000 2001
Americas
United States ............ 100 100 100 100 100 100 100 100 100
Brazil 1 ................. - - - - - 30 18 18 15
Canada ................... 94 88 84 107 94 84 82 81 77
Mexico ................... 23 22 12 11 10 9 10 11 12
Asia and Oceania
Australia ................ 88 86 63 89 91 82 84 73 65
Hong Kong SAR 2 .......... 12 15 13 22 29 30 29 29 29
Israel ................... 35 38 31 57 61 65 62 65 67
Japan .................... 47 56 49 86 139 98 109 112 96
Korea .................... 5 10 10 25 42 30 39 43 40
New Zealand .............. 50 53 34 55 58 48 48 41 38
Singapore ................ 13 15 19 25 43 41 37 38 38
Sri Lanka ................ 4 2 2 2 3 3 2 2 -
Taiwan ................... 6 10 12 26 34 28 29 30 28
Europe
Austria .................. 71 90 58 119 147 119 114 99 96
Belgium .................. 101 133 69 129 161 130 125 110 104
Denmark .................. 99 110 63 121 145 128 126 109 108
Finland .................. 73 84 63 143 142 117 113 99 98
France ................... 71 91 58 104 113 94 90 79 78
Germany, former West...... 99 124 73 146 184 147 140 122 117
Germany .................. - - - - 176 141 134 117 113
Greece ................... 27 38 28 45 53 47 - - -
Ireland .................. 48 61 46 79 80 73 71 63 65
Italy .................... 73 83 59 117 94 88 83 71 68
Luxembourg ............... 98 117 58 108 136 106 104 90 86
Netherlands .............. 104 122 67 121 140 115 111 97 95
Norway ................... 106 117 80 144 142 129 128 114 114
Portugal ................. 25 21 12 25 31 29 28 24 -
Spain .................... 40 60 36 76 75 65 63 55 54
Sweden ................... 113 127 74 140 125 118 113 102 90
Switzerland .............. 96 112 74 140 170 131 123 108 108
United Kingdom ........... 53 77 48 85 80 90 89 83 79
Trade-weighted measures 3,4
All 29 foreign economies . - - - - - 74 74 71 67
less Brazil ............ 60 66 51 80 89 75 75 72 68
OECD 5 ................... 66 72 55 86 95 79 80 77 72
less Mexico, Korea 6 .. 78 86 67 105 116 97 97 92 86
Europe ................... 79 99 61 115 127 110 106 94 90
Asian NIEs 7 ............. 8 12 13 25 38 32 34 36 34
Dash means data not available.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
3 Because data for Germany are not available before
1993, data for the former West Germany only are
included in the trade-weighted measures.
4 For description of trade-weighted measures and economic groups,
see the Technical Notes preceding these tables.
5 Organization for Economic Cooperation and Development.
6 Mexico joined the OECD in 1994, and Korea joined in 1996.
7 The Asian NIEs are Hong Kong, Korea, Singapore and Taiwan.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 2. Hourly compensation costs in U.S. dollars for production workers in manufacturing,
30 countries or areas and selected economic groups, selected years, 1975-2001
Country or area 1975 1980 1985 1990 1995 1998 1999 2000 2001
Americas
United States ............ $6.36 $9.87 $13.01 $14.91 $17.19 $18.64 $19.11 $19.72 $20.32
Brazil 1 ................. - - - - - 5.61 3.46 3.58 3.02
Canada ................... 5.96 8.67 10.95 15.95 16.10 15.60 15.61 16.05 15.64
Mexico ................... 1.47 2.21 1.59 1.58 1.65 1.64 1.83 2.08 2.34
Asia and Oceania
Australia ................ 5.62 8.47 8.21 13.24 15.56 15.22 15.99 14.47 13.15
Hong Kong SAR 2 .......... .76 1.51 1.73 3.23 4.91 5.57 5.54 5.63 5.96
Israel ................... 2.25 3.79 4.06 8.55 10.54 12.02 11.91 12.86 13.53
Japan .................... 3.00 5.52 6.34 12.80 23.82 18.29 20.89 22.00 19.59
Korea .................... .32 .96 1.23 3.71 7.29 5.67 7.35 8.48 8.09
New Zealand .............. 3.15 5.22 4.38 8.17 9.91 9.01 9.14 8.13 7.74
Singapore ................ .84 1.49 2.47 3.78 7.33 7.72 7.13 7.42 7.77
Sri Lanka ................ .28 .22 .28 .35 .48 .47 .46 .48 -
Taiwan ................... .38 1.02 1.49 3.90 5.85 5.18 5.51 5.85 5.70
Europe
Austria .................. 4.51 8.88 7.58 17.75 25.32 22.21 21.85 19.46 19.40
Belgium .................. 6.41 13.11 8.97 19.17 27.62 24.31 23.92 21.59 21.04
Denmark .................. 6.28 10.83 8.13 18.04 24.98 23.90 24.11 21.49 21.98
Finland .................. 4.66 8.33 8.25 21.25 24.32 21.89 21.55 19.45 19.94
France ................... 4.52 8.94 7.52 15.49 19.35 17.49 17.19 15.66 15.88
Germany, former West...... 6.29 12.21 9.50 21.81 31.60 27.45 26.78 24.01 23.84
Germany .................. - - - - 30.27 26.28 25.66 22.99 22.86
Greece ................... 1.69 3.73 3.66 6.76 9.06 8.75 - - -
Ireland .................. 3.05 6.03 5.99 11.81 13.78 13.58 13.61 12.50 13.28
Italy .................... 4.67 8.15 7.63 17.45 16.22 16.35 15.88 14.01 13.76
Luxembourg ............... 6.26 11.54 7.49 16.04 23.45 19.84 19.79 17.70 17.37
Netherlands .............. 6.58 12.06 8.75 18.06 24.12 21.40 21.29 19.07 19.29
Norway ................... 6.77 11.59 10.37 21.47 24.38 24.07 24.45 22.44 23.13
Portugal ................. 1.58 2.06 1.53 3.77 5.37 5.48 5.35 4.75 -
Spain .................... 2.53 5.89 4.66 11.38 12.80 12.06 12.03 10.78 10.88
Sweden ................... 7.18 12.51 9.66 20.93 21.44 22.02 21.61 20.14 18.35
Switzerland .............. 6.09 11.09 9.66 20.86 29.30 24.38 23.56 21.24 21.84
United Kingdom ........... 3.37 7.56 6.27 12.70 13.78 16.75 17.04 16.45 16.14
Trade-weighted measures 3,4
All 29 foreign economies . - - - - - 13.83 14.20 14.08 13.61
less Brazil ............ 3.83 6.52 6.69 11.97 15.36 13.99 14.40 14.28 13.81
OECD 5 ................... 4.18 7.08 7.21 12.85 16.36 14.81 15.28 15.10 14.56
less Mexico, Korea 6 .. 4.96 8.45 8.72 15.71 19.93 18.07 18.52 18.18 17.47
Europe ................... 5.03 9.80 7.92 17.19 21.84 20.53 20.26 18.47 18.38
Asian NIEs 7 ............. .51 1.17 1.64 3.72 6.50 5.93 6.45 7.00 6.95
Dash means data not available.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
3 Because data for Germany are not available before
1993, data for the former West Germany only are
included in the trade-weighted measures.
4 For description of trade-weighted measures and economic groups,
see the Technical Notes preceding these tables.
5 Organization for Economic Cooperation and Development.
6 Mexico joined the OECD in 1994, and Korea joined in 1996.
7 The Asian NIEs are Hong Kong, Korea, Singapore and Taiwan.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 3. Annual percent change in hourly compensation costs in U.S. dollars for production workers
in manufacturing, 30 countries or areas and selected economic groups, selected periods, 1975-2001
Country or area 1975- 1975- 1980- 1985- 1990- 1995- 1999 2000 2001
2001 1980 1985 1990 1995 2001
Americas
United States ............. 4.6 9.2 5.7 2.8 2.9 2.8 2.5 3.2 3.0
Brazil 1 .................. - - - - - - -38.3 3.5 -15.6
Canada .................... 3.8 7.8 4.8 7.8 .2 -.5 .1 2.8 -2.6
Mexico .................... 1.8 8.5 -6.4 -.1 .9 6.0 11.6 13.7 12.5
Asia and Oceania
Australia ................. 3.3 8.5 -.6 10.0 3.3 -2.8 5.1 -9.5 -9.1
Hong Kong SAR 2 ........... 8.2 14.7 2.8 13.3 8.7 3.3 -.5 1.6 5.9
Israel .................... 7.1 11.0 1.4 16.1 4.3 4.3 -.9 8.0 5.2
Japan ..................... 7.5 13.0 2.8 15.1 13.2 -3.2 14.2 5.3 -11.0
Korea ..................... 13.2 24.6 5.1 24.7 14.5 1.8 29.6 15.4 -4.6
New Zealand ............... 3.5 10.6 -3.4 13.3 3.9 -4.0 1.4 -11.1 -4.8
Singapore ................. 8.9 12.1 10.6 8.9 14.2 1.0 -7.6 4.1 4.7
Sri Lanka .................(3) 2.2 -4.7 4.9 4.6 6.5 - -2.1 4.3 -
Taiwan .................... 11.0 21.8 7.9 21.2 8.4 -.4 6.4 6.2 -2.6
Europe
Austria ................... 5.8 14.5 -3.1 18.6 7.4 -4.3 -1.6 -10.9 -.3
Belgium ................... 4.7 15.4 -7.3 16.4 7.6 -4.4 -1.6 -9.7 -2.5
Denmark ................... 4.9 11.5 -5.6 17.3 6.7 -2.1 .9 -10.9 2.3
Finland ................... 5.8 12.3 -.2 20.8 2.7 -3.3 -1.6 -9.7 2.5
France .................... 5.0 14.6 -3.4 15.5 4.6 -3.2 -1.7 -8.9 1.4
Germany, former West ...... 5.3 14.2 -4.9 18.1 7.7 -4.6 -2.4 -10.3 -.7
Germany ................... - - - - - -4.6 -2.4 -10.4 -.6
Greece ....................(3) 7.4 17.2 -.4 13.1 6.0 - - - -
Ireland ................... 5.8 14.6 -.1 14.5 3.1 -.6 .2 -8.2 6.2
Italy ..................... 4.2 11.8 -1.3 18.0 -1.5 -2.7 -2.9 -11.8 -1.8
Luxembourg ................ 4.0 13.0 -8.3 16.5 7.9 -4.9 -.3 -10.6 -1.9
Netherlands ............... 4.2 12.9 -6.2 15.6 6.0 -3.7 -.5 -10.4 1.2
Norway .................... 4.8 11.4 -2.2 15.7 2.6 -.9 1.6 -8.2 3.1
Portugal ..................(3) 4.5 5.4 -5.8 19.8 7.3 - -2.4 -11.2 -
Spain ..................... 5.8 18.4 -4.6 19.6 2.4 -2.7 -.2 -10.4 .9
Sweden .................... 3.7 11.7 -5.0 16.7 .5 -2.6 -1.9 -6.8 -8.9
Switzerland ............... 5.0 12.7 -2.7 16.6 7.0 -4.8 -3.4 -9.8 2.8
United Kingdom ............ 6.2 17.5 -3.7 15.2 1.6 2.7 1.7 -3.5 -1.9
Trade-weighted measures 4,5
All 29 foreign economies .. - - - - - - 4.1 2.2 -1.0
less Brazil ............ 5.4 12.1 .5 11.7 5.0 -.2 4.8 2.1 -.7
less Brazil/Mexico/Israel 6.0 12.8 1.7 13.7 5.7 -1.4 3.8 .0 -3.1
OECD 6 .................... 4.9 11.7 -.2 11.3 4.4 -.4 5.4 1.8 -1.0
less Mexico, Korea 7 .... 5.1 11.6 .8 12.9 4.6 -1.8 2.6 -1.5 -3.6
Europe .................... 5.2 14.5 -3.9 16.6 4.3 -2.3 -1.1 -8.6 -.4
Asian NIEs 8 .............. 10.9 19.7 6.8 18.7 11.6 1.1 10.0 8.1 -.5
Rates of change based on compound rate method.
Dash means data not available.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
3 1975-2000 for Sri Lanka and Portugal; 1975-98 for Greece.
4 Because data for Germany are not available before
1993, data for the former West Germany only are
included in the trade-weighted measures.
5 Trade-weighted percent changes computed as the trade-weighted
average of the rates of change for the individual countries or areas.
For description of trade-weighted measures and economic groups,
see the Technical Notes preceding these tables.
6 Organization for Economic Cooperation and Development.
7 Mexico joined the OECD in 1994, and Korea joined in 1996.
8 The Asian NIEs are Hong Kong, Korea, Singapore and Taiwan.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 4. Hourly compensation costs in national currency for production workers in manufacturing,
30 countries or areas, selected years, 1975-2001
Country or area 1975 1980 1985 1990 1995 1998 1999 2000 2001
Americas
United States ............ 6.36 9.87 13.01 14.91 17.19 18.64 19.11 19.72 20.32
Brazil 1 ................. - - - - - 6.51 6.29 6.55 7.11
Canada ................... 6.06 10.13 14.95 18.62 22.10 23.15 23.19 23.86 24.23
Mexico ................... 18 51 409 4440 10.57 15.03 17.46 19.71 21.87
Asia and Oceania
Australia ................ 4.30 7.43 11.73 16.96 21.00 24.19 24.77 24.89 25.44
Hong Kong SAR 2 .......... 3.73 7.50 13.46 25.13 37.97 43.15 42.96 43.83 46.52
Israel ................... 1.44 19.42 4.79 17.24 31.73 45.67 49.32 52.41 56.90
Japan .................... 889 1245 1512 1856 2238 2396 2375 2371 2382
Korea .................... 157 583 1074 2623 5620 7936 8745 9589 10450
New Zealand .............. 2.60 5.37 8.80 13.70 15.10 16.79 17.26 17.80 18.41
Singapore ................ 2.00 3.20 5.43 6.85 10.39 12.91 12.08 12.80 13.93
Sri Lanka ................ 1.97 3.58 7.58 14.05 24.45 30.10 32.60 36.79 -
Taiwan ................... 14.37 36.59 59.46 105.03 155.14 173.95 178.13 182.73 192.85
Europe
Austria .................. 78.46 114.78 156.75 201.07 255.24 274.97 282.31 290.08 298.18
Belgium .................. 235.10 382.88 532.39 640.60 814.04 882.83 905.68 943.49 948.27
Denmark .................. 36.00 60.98 86.18 111.65 139.87 160.22 168.55 173.97 183.16
Finland .................. 17.08 30.97 51.10 81.37 106.44 117.02 120.27 125.25 132.43
France ................... 19.34 37.73 67.49 84.38 96.47 103.19 105.85 111.29 116.32
Germany, former West ..... 15.43 22.17 27.95 35.27 45.25 48.31 49.17 50.87 52.10
Germany .................. - - - - 43.35 46.26 47.11 48.71 49.95
Greece ................... 55 159 506 1071 2099 2586 - - -
Ireland .................. 1.37 2.93 5.62 7.13 8.59 9.53 10.06 10.67 11.68
Italy .................... 3048 6966 14563 20900 26425 28408 28867 29378 29771
Luxembourg ............... 230 337 445 536 691 720 749 774 783
Netherlands .............. 16.59 23.93 29.04 32.90 38.68 42.47 44.05 45.53 47.50
Norway ................... 35.29 57.20 89.11 134.26 154.44 181.75 190.89 197.75 208.09
Portugal ................. 40.26 103.28 263.37 538.11 804.35 988.13 1007.08 1032.05 -
Spain .................... 145 422 792 1161 1595 1802 1878 1942 2023
Sweden ................... 29.73 52.91 83.12 123.98 153.14 175.11 178.76 184.77 189.77
Switzerland .............. 15.72 18.57 23.71 29.00 34.61 35.37 35.45 35.90 36.88
United Kingdom ........... 1.52 3.25 4.84 7.12 8.73 10.11 10.54 10.85 11.21
For currency units, see note to table 6.
Dash means data not available.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 5. Annual percent change in hourly compensation costs in national currency for
production workers in manufacturing, 30 countries or areas and selected economic
groups, selected periods, 1975-2001
Country or area 1975- 1975- 1980- 1985- 1990- 1995- 1999 2000 2001
2001 1980 1985 1990 1995 2001
Americas
United States ............ 4.6 9.2 5.7 2.8 2.9 2.8 2.5 3.2 3.0
Brazil 1 ................. - - - - - - -3.4 4.1 8.5
Canada ................... 5.5 10.8 8.1 4.5 3.5 1.5 .2 2.9 1.6
Mexico ................... 31.4 23.2 51.6 61.1 18.9 12.9 16.2 12.9 11.0
Asia and Oceania
Australia ................ 7.1 11.6 9.6 7.7 4.4 3.2 2.4 .5 2.2
Hong Kong SAR 2 .......... 10.2 15.0 12.4 13.3 8.6 3.4 -.4 2.0 6.1
Israel ................... 50.2 68.3 200.9 29.2 13.0 10.2 8.0 6.3 8.6
Japan .................... 3.9 7.0 4.0 4.2 3.8 1.0 -.9 -.2 .5
Korea .................... 17.5 30.0 13.0 19.6 16.5 10.9 10.2 9.7 9.0
New Zealand .............. 7.8 15.6 10.4 9.3 2.0 3.4 2.8 3.1 3.4
Singapore ................ 7.8 9.9 11.2 4.8 8.7 5.0 -6.4 6.0 8.8
Sri Lanka ................(3)12.4 12.7 16.2 13.1 11.7 - 8.3 12.9 -
Taiwan ................... 10.5 20.6 10.2 12.1 8.1 3.7 2.4 2.6 5.5
Europe
Austria .................. 5.3 7.9 6.4 5.1 4.9 2.6 2.7 2.8 2.8
Belgium .................. 5.5 10.2 6.8 3.8 4.9 2.6 2.6 4.2 .5
Denmark .................. 6.5 11.1 7.2 5.3 4.6 4.6 5.2 3.2 5.3
Finland .................. 8.2 12.6 10.5 9.8 5.5 3.7 2.8 4.1 5.7
France ................... 7.1 14.3 12.3 4.6 2.7 3.2 2.6 5.1 4.5
Germany, former West ..... 4.8 7.5 4.7 4.8 5.1 2.4 1.8 3.5 2.4
Germany .................. - - - - - 2.4 1.8 3.4 2.5
Greece ...................(3)18.2 23.7 26.1 16.2 14.4 - - - -
Ireland .................. 8.6 16.4 13.9 4.9 3.8 5.3 5.6 6.1 9.5
Italy .................... 9.2 18.0 15.9 7.5 4.8 2.0 1.6 1.8 1.3
Luxembourg ............... 4.8 7.9 5.7 3.8 5.2 2.1 4.0 3.3 1.2
Netherlands .............. 4.1 7.6 3.9 2.5 3.3 3.5 3.7 3.4 4.3
Norway ................... 7.1 10.1 9.3 8.5 2.8 5.1 5.0 3.6 5.2
Portugal .................(3)13.9 20.7 20.6 15.4 8.4 - 1.9 2.5 -
Spain .................... 10.7 23.8 13.4 7.9 6.6 4.0 4.2 3.4 4.2
Sweden ................... 7.4 12.2 9.5 8.3 4.3 3.6 2.1 3.4 2.7
Switzerland .............. 3.3 3.4 5.0 4.1 3.6 1.1 .2 1.3 2.7
United Kingdom ........... 8.0 16.4 8.3 8.0 4.2 4.3 4.3 2.9 3.3
Trade-weighted measures 4,5
All 29 foreign economies . - - - - - - 3.5 4.4 4.2
less Brazil ........... 10.9 14.6 17.1 14.6 7.2 4.4 3.6 4.4 4.1
less Brazil/Mexico/Israel 6.7 12.2 8.2 6.3 5.0 2.8 1.3 2.9 2.9
OECD 6 ................... 10.4 13.6 15.0 14.9 7.0 4.3 4.0 4.5 3.8
less Mexico, Korea 7 ... 5.7 10.7 7.5 5.0 3.9 2.1 1.1 2.4 2.0
Europe ................... 6.7 12.4 8.7 5.8 4.4 3.2 2.8 3.4 3.3
Asian NIEs 8 ............. 12.2 20.6 11.6 13.1 11.0 6.3 2.7 5.5 7.4
Rates of change based on compound rate method.
Dash means data not available.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
3 1975-2000 for Sri Lanka and Portugal; 1975-98 for Greece.
4 Because data for Germany are not available before
1993, data for the former West Germany only are
included in the trade-weighted measures.
5 Trade-weighted percent changes computed as the trade-weighted
average of the rates of change for the individual countries or areas.
For description of trade-weighted measures and economic groups,
see the Technical Notes preceding these tables.
6 Organization for Economic Cooperation and Development.
7 Mexico joined the OECD in 1994, and Korea joined in 1996.
8 The Asian NIEs are Hong Kong, Korea, Singapore and Taiwan.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 6. Exchange rates, 30 countries or areas, selected years, 1975-2001
(National currency units per U.S. dollar)
Country or area 1975 1980 1985 1990 1995 1998 1999 2000 2001
Americas
United States ............ 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000
Brazil 1 ................. - - - - - 1.161 1.821 1.830 2.353
Canada ................... 1.017 1.169 1.366 1.167 1.373 1.484 1.486 1.486 1.549
Mexico ................... 12.50 22.97 256.9 2813 6.419 9.152 9.553 9.459 9.337
Asia and Oceania
Australia ................ .7647 .8772 1.428 1.281 1.350 1.590 1.549 1.720 1.935
Hong Kong SAR 2 .......... 4.939 4.976 7.791 7.790 7.736 7.747 7.759 7.792 7.800
Israel ................... .6390 5.124 1.179 2.016 3.011 3.800 4.140 4.077 4.206
Japan .................... 296.7 225.7 238.5 145.0 93.96 131.0 113.7 107.8 121.6
Korea .................... 484.0 607.4 870.0 707.8 771.3 1400 1190 1131 1292
New Zealand .............. .8254 1.027 2.010 1.677 1.524 1.865 1.889 2.189 2.380
Singapore ................ 2.371 2.141 2.200 1.813 1.417 1.672 1.695 1.725 1.793
Sri Lanka ................ 7.050 16.53 27.16 40.06 51.25 64.45 70.64 77.01 -
Taiwan ................... 38.00 36.02 39.85 26.92 26.50 33.55 32.32 31.26 33.82
Europe
Austria .................. 17.40 12.93 20.68 11.33 10.08 12.38 12.92 14.91 15.37
Belgium .................. 36.69 29.20 59.34 33.42 29.47 36.31 37.87 43.70 45.06
Denmark .................. 5.735 5.629 10.60 6.190 5.600 6.703 6.990 8.095 8.332
Finland .................. 3.665 3.719 6.197 3.830 4.376 5.347 5.581 6.440 6.642
France ................... 4.282 4.220 8.980 5.447 4.986 5.900 6.157 7.105 7.327
Germany, former West...... 2.455 1.815 2.942 1.617 1.432 1.760 1.836 2.119 2.185
Germany .................. - - - - 1.432 1.760 1.836 2.119 2.185
Greece ................... 32.29 42.62 138.1 158.5 231.7 295.5 - - -
Ireland .................. .4500 .4860 .9379 .6033 .6236 .7019 .7393 .8531 .8798
Italy .................... 652.4 855.1 1909 1198 1629 1737 1818 2097 2163
Luxembourg ............... 36.78 29.24 59.38 33.42 29.48 36.30 37.87 43.70 45.06
Netherlands .............. 2.523 1.985 3.318 1.822 1.604 1.984 2.069 2.387 2.462
Norway ................... 5.214 4.936 8.593 6.254 6.336 7.552 7.807 8.813 8.996
Portugal ................. 25.45 50.05 172.1 142.7 149.9 180.3 188.2 217.2 -
Spain .................... 57.39 71.64 170.0 102.0 124.6 149.4 156.2 180.2 185.9
Sweden ................... 4.142 4.229 8.603 5.923 7.141 7.952 8.274 9.174 10.340
Switzerland .............. 2.581 1.675 2.455 1.390 1.181 1.451 1.505 1.690 1.689
United Kingdom ........... .4501 .4300 .7708 .5605 .6335 .6034 .6184 .6598 .6946
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
Note: National currency units are: United States, dollar; Canada, dollar;
Brazil, real; Mexico, peso; Australia, dollar; Hong Kong, dollar;
Israel, shekel (1975-84), new shekel (1985-2001); Japan, yen; Korea, won;
New Zealand, dollar; Singapore, dollar; Sri Lanka, rupee;
Taiwan, dollar; Austria, schilling; Belgium, franc; Denmark, krone;
Finland, markka; France, franc; Germany, mark; Greece, drachma;
Ireland, pound; Italy, lira; Luxembourg, franc; Netherlands, guilder;
Norway, krone; Portugal, escudo; Spain, peseta; Sweden, krona;
Switzerland, franc; United Kingdom, pound.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
Table 7. Annual percent change in exchange rates (U.S. dollars per national currency unit),
30 countries or areas and selected economic groups, selected years, 1975-2001
Country or area 1975- 1975- 1980- 1985- 1990- 1995- 1999 2000 2001
2001 1980 1985 1990 1995 2001
Americas
United States ............. - - - - - - - - -
Brazil 1 .................. - - - - - - -36.2 -.5 -22.2
Canada .................... -1.6 -2.7 -3.1 3.2 -3.2 -2.0 -.1 .0 -4.1
Mexico .................... -22.5 -11.5 -38.3 -38.0 -15.2 -6.1 -4.2 1.0 1.3
Asia and Oceania
Australia ................. -3.5 -2.7 -9.3 2.2 -1.0 -5.8 2.6 -9.9 -11.1
Hong Kong SAR 2 ........... -1.7 -.1 -8.6 .0 .1 -.1 -.2 -.4 -.1
Israel .................... -28.7 -34.1 -66.3 -10.2 -7.7 -5.4 -8.2 1.5 -3.1
Japan ..................... 3.5 5.6 -1.1 10.5 9.1 -4.2 15.2 5.5 -11.3
Korea ..................... -3.7 -4.4 -6.9 4.2 -1.7 -8.2 17.6 5.2 -12.5
New Zealand ............... -4.0 -4.3 -12.6 3.7 1.9 -7.2 -1.3 -13.7 -8.0
Singapore ................. 1.1 2.1 -.5 3.9 5.1 -3.8 -1.4 -1.7 -3.8
Sri Lanka ................(3)-9.1 -15.7 -9.5 -7.5 -4.8 - -8.8 -8.3 -
Taiwan .................... .4 1.1 -2.0 8.2 .3 -4.0 3.8 3.4 -7.6
Europe
Austria ................... .5 6.1 -9.0 12.8 2.4 -6.8 -4.2 -13.3 -3.0
Belgium ................... -.8 4.7 -13.2 12.2 2.5 -6.8 -4.1 -13.3 -3.0
Denmark ................... -1.4 .4 -11.9 11.4 2.0 -6.4 -4.1 -13.7 -2.8
Finland ................... -2.3 -.3 -9.7 10.1 -2.6 -6.7 -4.2 -13.3 -3.0
France .................... -2.0 .3 -14.0 10.5 1.8 -6.2 -4.2 -13.3 -3.0
Germany, former West ...... .4 6.2 -9.2 12.7 2.5 -6.8 -4.1 -13.4 -3.0
Germany ................... - - - - - -6.8 -4.1 -13.4 -3.0
Greece ...................(3)-9.2 -5.4 -21.0 -2.7 -7.3 - - - -
Ireland ................... -2.5 -1.5 -12.3 9.2 -.7 -5.6 -5.1 -13.3 -3.0
Italy ..................... -4.5 -5.3 -14.8 9.8 -6.0 -4.6 -4.5 -13.3 -3.1
Luxembourg ................ -.8 4.7 -13.2 12.2 2.5 -6.8 -4.1 -13.3 -3.0
Netherlands ............... .1 4.9 -9.8 12.7 2.6 -6.9 -4.1 -13.3 -3.0
Norway .................... -2.1 1.1 -10.5 6.6 -.3 -5.7 -3.3 -11.4 -2.0
Portugal .................(3)-8.2 -12.7 -21.9 3.8 -1.0 - -4.2 -13.4 -
Spain ..................... -4.4 -4.3 -15.9 10.8 -3.9 -6.5 -4.4 -13.3 -3.1
Sweden .................... -3.5 -.4 -13.2 7.8 -3.7 -6.0 -3.9 -9.8 -11.3
Switzerland ............... 1.6 9.0 -7.4 12.0 3.3 -5.8 -3.6 -10.9 .1
United Kingdom ............ -1.7 .9 -11.0 6.6 -2.4 -1.5 -2.4 -6.3 -5.0
Trade-weighted measures 4,5
All 29 foreign economies .. - - - - - - .6 -2.1 -5.0
less Brazil ............. -4.2 -1.6 -11.4 .2 -1.8 -4.3 1.3 -2.2 -4.7
less Brazil/Mexico/Israel -.6 .6 -5.9 7.0 .6 -4.0 2.4 -2.8 -5.8
OECD 6 .................... -4.2 -1.4 -11.4 -.1 -2.0 -4.4 1.4 -2.5 -4.7
less Mexico, Korea 7 .... -.5 .9 -6.2 7.5 .6 -3.8 1.6 -3.7 -5.5
Europe .................... -1.4 2.1 -11.5 10.2 .0 -5.3 -3.8 -11.6 -3.5
Asian NIEs 8 .............. -1.1 -.7 -4.2 4.9 .6 -4.8 6.7 2.4 -7.3
Rates of change based on compound rate method.
1 Data for Brazil are not available before 1996.
2 Hong Kong Special Administrative Region of China.
3 1975-2000 for Sri Lanka and Portugal; 1975-98 for Greece.
4 Because data for Germany are not available before
1993, data for the former West Germany only are
included in the trade-weighted measures.
5 Trade-weighted percent changes computed as the trade-weighted
average of the rates of change for the individual countries or areas.
For description of trade-weighted measures and economic groups,
see the Technical Notes preceding these tables.
6 Organization for Economic Cooperation and Development.
7 Mexico joined the OECD in 1994, and Korea joined in 1996.
8 The Asian NIEs are Hong Kong, Korea, Singapore and Taiwan.
Source: U.S. Department of Labor, Bureau of Labor Statistics, September 2002.
TECHNICAL NOTES
The tables in this news release present international comparisons of hourly
compensation costs for production workers in manufacturing in selected countries
or areas. The total compensation measures are prepared by the Bureau of Labor
Statistics in order to assess international differences in employer labor costs.
Comparisons based on the more readily available average earnings statistics
published by many countries can be very misleading. National definitions of
average earnings differ considerably; average earnings do not include all items
of labor compensation; and the omitted items of compensation frequently
represent a large proportion of total compensation.
The compensation measures are computed in national currency units and are
converted into U.S. dollars at prevailing commercial market currency exchange
rates. The foreign currency exchange rates used in the calculations are the
average daily exchange rates for the reference period. They are appropriate
measures for comparing levels of employer labor costs. They do not indicate
relative living standards of workers or the purchasing power of their income.
Prices of goods and services vary greatly among countries, and commercial market
exchange rates are not reliable indicators of relative differences in prices.
Definitions
Hourly compensation costs include (1) hourly direct pay and (2) employer
social insurance expenditures and other labor taxes. Hourly direct pay includes
all payments made directly to the worker, before payroll deductions of any kind,
consisting of (a) pay for time worked (basic time and piece rates plus overtime
premiums, shift differentials, other premiums and bonuses paid regularly each
pay period, and cost-of-living adjustments) and (b) other direct pay (pay for
time not worked (vacations, holidays, and other leave, except sick leave),
seasonal or irregular bonuses and other special payments, selected social
allowances, and the cost of payments in kind). Social insurance expenditures
and other labor taxes include (c) employer expenditures for legally required
insurance programs and contractual and private benefit plans (retirement and
disability pensions, health insurance, income guarantee insurance and sick
leave, life and accident insurance, occupational injury and illness
compensation, unemployment insurance, and family allowances) and, for some
countries, (d) other labor taxes (other taxes on payrolls or employment (or
reductions to reflect subsidies), even if they do not finance programs that
directly benefit workers, because such taxes are regarded as labor costs). For
consistency, compensation is measured on an hours-worked basis for every
country.
The BLS definition of hourly compensation costs is not the same as the
International Labour Office (ILO) definition of total labor costs. Hourly
compensation costs do not include all items of labor costs. The costs of
recruitment, employee training, and plant facilities and services--such as
cafeterias and medical clinics--are not included because data are not available
for most countries. The labor costs not included account for no more than 4
percent of total labor costs in any country for which the data are available.
Production workers generally include those employees who are engaged in
fabricating, assembly, and related activities; material handling, warehousing,
and shipping; maintenance and repair; janitorial and guard services; auxiliary
production (for example, powerplants); and other services closely related to the
above activities. Working supervisors are generally included; apprentices and
other trainees are generally excluded.
Methods
Total compensation is computed by adjusting each country's average earnings
series for items of direct pay not included in earnings and for employer
expenditures for legally required insurance, contractual and private benefit
plans, and other labor taxes. For the United States and other countries that
measure earnings on an hours-paid basis, the figures are also adjusted in order
to approximate compensation per hour worked.
Earnings statistics are obtained from surveys of employment, hours, and
earnings or from surveys or censuses of manufactures.
Adjustment factors are obtained from periodic labor cost surveys and
interpolated or projected to nonsurvey years on the basis of other information
for most countries. The information used includes tabulations of employer
social security contribution rates provided by the International Social Security
Association, information on contractual and legislated fringe benefit changes
from ILO and national labor bulletins, and statistical series on indirect labor
costs. For other countries, adjustment factors are obtained from surveys or
censuses of manufactures or from reports on fringe-benefit systems and social
security. For the United States, the adjustment factors are special
calculations for international comparisons based on data from several surveys.
The statistics are also adjusted, where necessary, to account for major
differences in worker coverage; differences in industrial classification
systems; and changes over time in survey coverage, sample benchmarks, or
frequency of surveys. Nevertheless, some differences in industrial coverage
remain and, with the exception of the United States, Canada, and several other
countries, the data exclude very small establishments (less than 5 employees in
Japan and less than 10 employees in most European and some other countries).
For the United States, the methods used, as well as the results, differ somewhat
from those for other BLS series on U.S. compensation costs.
Hourly compensation costs are converted to U.S. dollars using the average
daily exchange rate for the reference period. The exchange rates used are
prevailing commercial market exchange rates as published by either the U.S.
Federal Reserve Board or the International Monetary Fund.
For further details on survey sources and on special estimation procedures
for some countries because of incomplete data, see International Comparisons of
Hourly Compensation Costs for Production Workers in Manufacturing, 1995 (Report
909, Bureau of Labor Statistics, September 1996).
Country notes
The following are exceptions to the standard coverage and definitions
explained above:
Australia. Compensation relates to production workers and nonproduction
workers other than those in managerial, executive, professional, and higher
supervisory positions.
Hong Kong SAR. Average of selected manufacturing industries. The industries
covered accounted for about 70 percent of all persons employed in manufacturing
in 1988. Compensation excludes overtime pay. Hong Kong became a Special
Administrative Region (SAR) of China in July 1997.
Austria. Excludes workers in establishments considered handicraft
manufacturers. (All printing and publishing and miscellaneous manufacturing
establishments are classified in handicrafts.) In 1986, handicraft employment
was about 35 percent of all manufacturing employment. Average compensation per
employee was about 10 percent lower in manufacturing including handicrafts than
in manufacturing excluding handicrafts.
Finland. Includes workers in mining and electrical power plants. For
comparability with other countries, compensation excludes some obligatory
training and plant facilities costs; these costs would add 1.6 percent to
average hourly compensation costs in 1994.
Germany. Excludes workers in establishments considered handicraft
manufacturers. In 1990, handicraft employment in the former West Germany was
about 25 percent of all manufacturing employment. Average hourly earnings of
production workers were about 3 percent lower in manufacturing including
handicrafts than in manufacturing excluding handicrafts.
Ireland. Data refer to September for 1975.
Norway. For comparability with other countries, compensation excludes some
obligatory training and plant facilities costs; these costs would add 2.2
percent to average hourly compensation costs in 1994.
Trade-weighted measures
The trade weights used to compute the average compensation cost measures for
selected economic groups are relative importances derived from the sum of U.S.
imports of manufactured products for consumption (customs value) and U.S.
exports of domestic manufactured products (free along side {f.a.s.} value) in
1999 for each country or area and each economic group. See table below.
Share of total U.S. imports and exports
of manufactured products in 1999
(in percent)
Country or area 1999 Country or area 1999
and trade and trade
economic group share economic group share
Brazil 1.5 Greece .1
Canada 21.5 Ireland 1.1
Mexico 11.8 Italy 2.0
Australia 1.0 Luxembourg .1
Hong Kong SAR 1 1.4 Netherlands 1.6
Israel 1.1 Norway .2
Japan 11.8 Portugal .1
Korea 3.4 Spain .7
New Zealand .2 Sweden .8
Singapore 2.2 Switzerland 1.1
Sri Lanka .1 United Kingdom 4.6
Taiwan 3.4 Economic groups:
Austria .4 29 foreign
Belgium 1.3 economies 82.2
Denmark .3 OECD 3 72.5
Finland .3 Europe 22.6
France 2.7 European Union 21.4
Germany 2 5.2 Asian NIEs 10.5
1 Hong Kong Special Administrative Region of China.
2 Former West Germany.
3 Organization for Economic Cooperation and Development.
The trade data used to compute the weights are U.S. Bureau of the Census
statistics of U.S. imports and exports converted to an industrial classification
basis from data initially collected under the Harmonized Tariff Schedule
commodity classification system.
The Organization for Economic Cooperation and Development (OECD) includes
Canada, Mexico, Australia, Japan, Korea, New Zealand, and all European
countries. Europe consists of Austria, Belgium, Denmark, Finland, France,
Germany, Greece, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal,
Spain, Sweden, Switzerland, and the United Kingdom. The group labeled "Asian
NIEs" consists of the four newly industrializing economies of Hong Kong SAR,
Korea, Singapore, and Taiwan.
The trade weighted measures relate to all the countries or areas covered in
the series. Data for Germany relate to the former West Germany. Estimates are
computed for missing country data using the average trend in other economies to
estimate the missing data. Trade weighted average percent changes for the 29
foreign economies are computed both including and excluding Brazil, Mexico and
Israel because their rapid rates of inflation and currency changes in several
years distort the trade-weighted averages.
The trade-weighted average rates of change are computed as the trade-weighted
arithmetic average of the rates of change for the individual countries or areas;
the trade-weighted average hourly compensation costs are computed as the trade
weighted arithmetic average of cost levels for the individual countries or
areas. Rates of change derived from the trade-weighted average hourly
compensation cost levels need not be the same as the trade-weighted average
rates of change.
Data limitations
Because compensation is partly estimated, the statistics should not be
considered as precise measures of comparative compensation costs. In addition,
the figures are subject to revision as the results of new labor cost surveys or
other data used to estimate compensation costs become available.
The comparative level figures in this report are averages for all
manufacturing industries and are not necessarily representative of all component
industries. In the United States and some other countries, such as Japan,
differentials in hourly compensation cost levels by industry are quite wide. In
contrast, other countries, such as Sweden, have narrow differentials.
Labor costs versus labor income
The hourly compensation figures in U.S. dollars shown in the tables provide
comparative measures of employer labor costs; they do not provide intercountry
comparisons of the purchasing power of worker incomes. Prices of goods and
services vary greatly among countries, and the commercial market exchange rates
used to compare employer labor costs do not reliably indicate relative
differences in prices. Purchasing power parities--that is, the number of
foreign currency units required to buy goods and services equivalent to what can
be purchased with one unit of U.S. or other base-country currency--must be used
for meaningful international comparisons of the relative purchasing power of
worker incomes.
Total compensation converted to U.S. dollars at purchasing power parities
would provide one measure for comparing relative real levels of labor income.
It should be noted, however, that total compensation includes employer payments
to funds for the benefit of workers in addition to payments made directly to
workers. (For a few countries, the compensation measures also include taxes or
subsidies on payrolls or employment even if they do not finance programs which
directly benefit workers.) Payments into these funds provide either deferred
income (for example, payments to retirement funds), a type of insurance (for
example, payments to unemployment or health benefit funds), or current social
benefits (for example, family allowances), and the relationship between employer
payments and current or future worker benefits is indirect. On the other hand,
excluding these payments would understate the total value of income derived from
work because they substitute for worker savings or self-insurance to cover
retirement, medical costs, etc.
Total compensation, because it takes account of employer payments into funds
for the benefit of workers, is a broader income concept than either total direct
earnings or direct spendable earnings. An even broader concept would take
account of all social benefits available to workers, including those financed
out of general revenues as well as those financed through employment or payroll
taxes.
| en |
all-txt-docs | 194959 | NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
SPACE SHUTTLE MISSION
STS-46 PRESS KIT
JULY 1992
PUBLIC AFFAIRS CONTACTS
NASA Headquarters
Office of Space Flight/Office of Space Systems Development
Mark Hess/Jim Cast/Ed Campion
(Phone: 202/453-8536)
Office of Space Science
Paula Cleggett-Haleim/Mike Braukus/Brian Dunbar
(Phone: 202/453-1547)
Office of Commercial Programs
Barbara Selby
(Phone: 703/557-5609)
Office of Aeronautics and Space Technology
Drucella Andersen/Les Dorr
(Phone: 202/453-2754)
Office of Safety & Mission Quality/Office of Space
Communications
Dwayne Brown
(Phone: 202/453-8596)
Ames Research Center Langley Research Center
Jane Hutchison Jean Drummond Clough
(Phone: 415/604-4968) (Phone: 804/864-6122)
Dryden Flight Research Facility Lewis Research Center
Nancy Lovato Mary Ann Peto
(Phone: 805/258-3448) (Phone: 216/433-2899)
Goddard Space Flight Center Marshall Space Flight Center
Dolores Beasley Mike Simmons
(Phone: 301/286-2806) (Phone: 205/544-6537)
Jet Propulsion Laboratory Stennis Space Center
James Wilson Myron Webb
(Phone: 818/354-5011) (Phone: 601/688-3341)
Johnson Space Center Wallops Flight Center
James Hartsfield Keith Koehler
(Phone: 713/483-5111) (Phone: 804/824-1579)
Kennedy Space Center
Lisa Malone
(Phone: 407/867-2468)
CONTENTS
General Release 1
Media Services Information 2
Quick-Look-Facts 3
Summary of Major Activities 4
Payload and Vehicle Weights 5
Trajectory Sequence of Events 7
Space Shuttle Abort Modes 8
Prelaunch Processing 9
Tethered Satellite System (TSS-1) 10
European Retrievable Carrier (EURECA) 31
Evaluation of Oxygen Interaction with Materials
(EOIM)/Two Phase Mounting Plate Experiment (TEMP) 45
Consortium for Materials Development
in Space (Complex Autonomous Payload) 47
Limited Duration Space Environment
Candidate Materials Exposure (LDCE) 48
Pituitary Growth Hormone Cell Function (PHCF) 50
IMAX Cargo Bay Camera (ICBC) 50
Air Force Maui Optical Station (AMOS) 53
Ultraviolet Plume Imager (UVPI) 53
STS-46 Crew Biographies 53
Mission Management for STS-46 56
Previous Shuttle Flights 58
Upcoming Space Shuttle Flights 59
Release: 92-95
49th SHUTTLE FLIGHT TO DEPLOY TETHERED SATELLITE SYSTEM
Shuttle mission STS-46 will be highlighted by the
deployment of the Tethered Satellite System-1 (TSS-1), an
Italian space agency-developed satellite, from the Shuttle
cargo bay while attached to a 12.5-mile-long cable for 31 hours
to explore the dynamics and electricity-generating capacity of
such a system. Also, the European Retrievable Carrier (EURECA)
platform will be placed into orbit from Atlantis to expose
several experiments to weightlessness for about 9 months before
being retrieved by a Shuttle in late April 1993.
In addition to EURECA and TSS-1, Atlantis also will carry
the Evaluation of Oxygen Interaction with Materials III and
Thermal Energy Management (EOIM and TEMP 2A) experiments in the
cargo bay. EOIM will explore the interaction of various
materials with the atomic oxygen present in low-Earth orbit,
and the TEMP 2A experiment will test a new cooling method that
may be used in future spacecraft.
An IMAX camera also will be in the payload bay to film
various aspects of the mission for later IMAX productions, and
the Consortium for Material Development in Space Complex
Autonomous Payload and Limited Duration Space Environment
Candidate Materials Exposure experiments will explore materials
processing methods in weightlessness.
Atlantis will be commanded by USAF Col. Loren Shriver,
making his third Shuttle flight. Marine Corps Major Andy Allen
will serve as Pilot, making his first flight. Mission
specialists will include Claude Nicollier, a European Space
Agency astronaut making his first Shuttle flight; Marsha Ivins,
making her second Shuttle flight; Jeff Hoffman, making his
third space flight; and Franklin Chang-Diaz, making his third
space flight. Franco Malerba from the Italian Space Agency
will be a payload specialist aboard Atlantis .
Currently planned for a mid-July launch, STS-46, Atlantis'
12th flight, is scheduled to last 6 days, 22 hours and 11
minutes, with a planned Kennedy Space Center, Fla., landing.
-end-
MEDIA SERVICES INFORMATION
NASA Select Television Transmission
NASA Select television is available on Satcom F-2R,
Transponder 13, located at 72 degrees west longitude; frequency
3960.0 MHz, audio 6.8 MHz.
The schedule for television transmissions from the
orbiter and for the mission briefings will be available during
the mission at Kennedy Space Center, Fla; Marshall Space Flight
Center, Huntsville; Ames-Dryden Flight Research Facility,
Edwards, Calif.; Johnson Space Center, Houston, and NASA
Headquarters, Washington, D.C. The television schedule will be
updated to reflect changes dictated by mission operations.
Television schedules also may be obtained by calling
COMSTOR 713/483-5817. COMSTOR is a computer data base service
requiring the use of a telephone modem. A voice update of the
television schedule is updated daily at noon Eastern time.
Status Reports
Status reports on countdown and mission progress, on-
orbit activities and landing operations will be produced by the
appropriate NASA news center.
Briefings
A mission press briefing schedule will be issued prior to
launch. During the mission, change-of-shift briefings by the
off-going flight director and the science team will occur at
least once per day. The updated NASA Select television
schedule will indicate when mission briefings are planned.
STS-46 QUICK LOOK
Launch Date/Site: July 21, 1992 - Kennedy Space Center,
Fla., Pad 39B
Launch Window: 9:48 a.m. - 12:18 p.m. EDT
Orbiter: Atlantis (OV-104)
Orbit: 230 n.m. x 230 n.m. (EURECA deploy)
160 n.m. x 160 n.m. (TSS operations)
128 n.m. x 128 n.m. (EOIM operations)
Landing Date/Time: 7:57 a.m. EDT July 28, 1992
Primary Landing Site: Kennedy Space Center, Fla.
Abort Landing Sites: Return to Launch Site - Kennedy Space
Center, Fla.
Transoceanic Abort Landing - Banjul, The Gambia
Alternates - Ben Guerir, Morocco; Moron, Spain
Abort Once Around - Edwards Air Force Base, Calif.
Crew: Loren Shriver, Commander
Andy Allen, Pilot
Claude Nicollier, Mission Specialist 1
Marsha Ivins, Mission Specialist 2
Jeff Hoffman, Mission Specialist 3
Franklin Chang-Diaz, Mission Specialist 4
Franco Malerba, Payload Specialist 1
Operational shifts: Red team -- Ivins, Hoffman, Chang-Diaz
Blue team -- Nicollier, Allen, Malerba
Cargo Bay Payloads: TSS-1 (Tethered Satellite System-1)
EURECA-1L (European Retrievable Carrier-1L)
EOIM-III/TEMP 2A (Evaluation of Oxygen Integration with
Materials/Thermal Management Processes)
CONCAP II (Consortium for Materials Development in
Space Complex Autonomous Payload)
CONCAP III
ICBC (IMAX Cargo Bay Camera)
LDCE (Limited Duration Space Environment Candidate
Materials Exposure)
Middeck Payloads: AMOS (Air Force Maui Optical Site)
PHCF (Pituitary Growth Hormone Cell Function)
UVPI (Ultraviolet Plume Instrument)
STS-46 SUMMARY OF MAJOR ACTIVITIES
Blue Team Flight Day One: Red Team Flight Day One
Launch
Orbit insertion (230 x 230 n.m.)
TSS activation
RMS checkout
TSS deployer checkout
EOIM/TEMP-2A activation
Blue Flight Day Two: Red Flight Day Two:
EURECA deploy TEMP-2A operations
EURECA stationkeeping Tether Optical Phenomenon (TOP) checkout
Blue Flight Day Three: Red Flight Day Three:
TOP checkout TSS checkout/in-bay operations
Supply water dump nozzle DTO
TEMP-2A operations
OMS-3 burn
OMS-4 burn (160 x 160 n.m.)
Blue Flight Day Four: Red Flight Day Four:
TSS in-bay operations TSS deploy
TEMP-2A operations
Blue Flight Day Five: Red Flight Day Five:
TSS on station 1 (12.5 miles) TSS retrieval to 1.5 miles
TSS final retrieval
TSS dock
Blue Flight Day Six: Red Flight Day Six:
TSS safing EOIM/TEMP-2A operations
TSS in-bay operations
OMS-5 burn
OMS-6 burn (128 x 128 nm)
Blue Flight Day Seven: Red Flight Day Seven:
TSS science deactivation EOIM/TEMP-2A operations
EOIM/TEMP-2A operations Flight Control Systems checkout
Reaction Control System hot-fire
Blue Flight Day Eight: Red Flight Day Eight:
Cabin stow
Deorbit preparations
Entry and landing
STS-46 VEHICLE AND PAYLOAD WEIGHTS
Pounds
Orbiter (Atlantis) empty, and 3 SSMEs 151,377
Tethered Satellite -- pallet,
support equipment 10,567
Tethered Satellite -- satellite, tether 1,476
European Retrievable Carrier 9,901
EURECA Support Equipment 414
Evaluation of Oxygen Interaction
with Materials 2,485
CONCAP-II 590
CONCAP-III 368
LDCE 1,125
PHDF 69
Detailed Supplementary Objectives 56
Detailed Test Objectives 42
Total Vehicle at SRB Ignition 4,522,270
Orbiter Landing Weight 208,721
STS-46 Cargo Configuration
STS-46 TRAJECTORY SEQUENCE OF EVENTS
RELATIVE
EVENT MET VELOCITY MACH ALTITUDE
(d:h:m:s) (fps) (ft)
Launch 00/00:00:00
Begin Roll Maneuver 00/00:00:10 189 .16 797
End Roll Maneuver 00/00:00:15 325 .29 2,260
SSME Throttle Down to 80% 00/00:00:26 620 .55 6,937
SSME Throttle Down to 67% 00/00:00:53 1,236 1.20 28,748
SSME Throttle Up to 104% 00/00:01:02 1,481 1.52 37,307
Maximum Dynamic Press. 00/00:01:04 1,548 1.61 41,635
(Max Q)
SRB Separation 00/00:02:04 4,221 4.04 152,519
Main Engine Cutoff (MECO) 00/00:08:29 24,625 22.74 364,351
Zero Thrust 00/00:08:35 24,624 N/A 363,730
ET Separation 00/00:08:48
OMS-2 Burn 00/00:41:24
Landing 06/22:11:00
Apogee, Perigee at MECO: 226 x 32 nautical miles
Apogee, Perigee post-OMS 2: 230 x 230 nautical miles
SPACE SHUTTLE ABORT MODES
Space Shuttle launch abort philosophy aims toward safe and
intact recovery of the flight crew, orbiter and its payload.
Abort modes include:
* Abort-To-Orbit (ATO) -- Partial loss of main engine
thrust late enough to permit reaching a minimal 105-nautical
mile orbit with orbital maneuvering system engines.
* Abort-Once-Around (AOA) -- Earlier main engine shutdown
with the capability to allow one orbit around before landing at
either Edwards Air Force Base, Calif., White Sands Space
Harbor, N.M, or the Shuttle Landing Facility (SLF) at the
Kennedy Space Center, Fla.
* Trans-Atlantic Abort Landing (TAL) -- Loss of one or
more main engines midway through powered flight would force a
landing at either Banjul, The Gambia; Ben Guerir, Morroco; or
Moron, Spain.
* Return-To-Launch-Site (RTLS) -- Early shutdown of one or
more engines, without enough energy to reach Ben Guerir, would
result in a pitch around and thrust back toward KSC until
within gliding distance of the SLF.
STS-46 contingency landing sites are Edwards Air Force
Base, the Kennedy Space Center, White Sands Space Harbor,
Banjul, Ben Guerir and Moron.
STS-46 PRE-LAUNCH PROCESSING
KSC's processing team began readying the orbiter Atlantis
for its 12th flight into space following its STS-45 flight
which ended with a landing at KSC on April 2. Atlantis was in
the Orbiter Processing Facility from April 2 to June 4,
undergoing post-flight inspections and pre-flight testing and
inspections. While in the OPF, technicians installed the three
main engines. Engine 2024 is in the No. 1 position, engine
2012 is in the No. 2 position and engine 2028 is in the No. 3
position.
The remote manipulator system was installed on Apr. 28.
Members of the STS-46 flight crew participated in the Crew
Equipment Interface Test on May 16.
Atlantis was towed from the Orbiter Processing Facility
(OPF) on June 4 to the Vehicle Assembly Building where it was
mated to its external tank and solid rocket boosters on the
same day. Rollout to Launch Pad 39-B occurred on June 11,
1992. On June 15-16, the Terminal Countdown Demonstration Test
with the STS-46 flight crew was conducted.
The Tethered Satellite System (TSS) was processed for
flight in the Operations and Checkout Building high bay and the
EURECA payload was processed at the commercial Astrotech
facility in Titusville, Fla. The two primary payloads were
installed in the payload canister at the Vertical Processing
Facility before they were transferred to the launch pad.
Payload installation into Atlantis' payload bay was
scheduled for late June. Several interface verification tests
were scheduled between the orbiter and the payload elements. A
standard 43-hour launch countdown is scheduled to begin 3 days
prior to launch. During the countdown, the orbiter's fuel cell
storage tanks will be loaded with fuel and oxidizer and all
orbiter systems will be prepared for flight.
About 9 hours before launch, the external tank will be
filled with its flight load of a half million gallons of liquid
oxygen and liquid hydrogen propellants. About 2 and one-half
hours before liftoff, the flight crew will begin taking their
assigned seats in the crew cabin.
Atlantis's end-of-mission landing is planned at Kennedy
Space Center. Several hours after landing, the vehicle will be
towed to the Vehicle Assembly Building for a few weeks until an
OPF bay becomes available. Atlantis will be taken out of flight
status for several months for a planned modification period.
Atlantis' systems will be inspected and improved to bring the
orbiter up to par with the rest of the Shuttle fleet.
Atlantis's next flight, STS-57, is planned next year with
the first flight of the Spacehab payload and the retrieval of
the EURECA payload deployed on the STS-46 mission.
TETHERED SATELLITE SYSTEM (TSS-1)
An exciting new capability for probing the space
environment and conducting experiments will be demonstrated for
the first time when the NASA/Italian Space Agency Tethered
Satellite System (TSS-1) is deployed during the STS-46 Space
Shuttle flight. The reusable Tethered Satellite System is made
up of a satellite attached to the Shuttle orbiter by a super
strong cord which will be reeled into space from the Shuttle's
cargo bay. When the satellite on its cord, or tether, is
deployed to about 12 miles above the orbiter, TSS-1 will be the
longest structure ever flown in space.
Operating the tethered system is a bit like trolling for
fish in a lake or the ocean. But the potential "catch" is
valuable data that may yield scientific insights from the vast
sea of space. For the TSS-1 mission, the tether -- which looks
like a 12-mile-long white bootlace -- will have electrically-
conducting metal strands in its core. The conducting tether
will generate electrical currents at a high voltage by the same
basic principle as a standard electrical generator -- by
converting mechanical energy (the Shuttle's more than 17,000-
mile-an-hour orbital motion) into electrical energy by passing
a conductor through a magnetic field (the Earth's magnetic
field lines).
TSS-1 scientific instruments, mounted in the Shuttle cargo
bay, the middeck and on the satellite, will allow scientists to
examine the electrodynamics of the conducting tether system, as
well as clarify their understanding of physical processes in
the ionized plasma of the near-Earth space environment.
Once the investigations are concluded, it is planned to
reel the satellite back into the cargo bay and stow it until
after the Shuttle lands.
The TSS-1 mission will be the first step toward several
potential future uses for tethers in space now being evaluated
by scientists and engineers. One possible application is using
long conducting tethers to generate electrical power for Space
Station Freedom or other orbiting bodies. Conversely, by
expending electrical power to reverse the current flow into a
tether, the system can be placed in an "electric motor" mode to
generate thrust for orbit maintenance. Tethers also may be
used to raise or lower spacecraft orbits. This could be
achieved by releasing a tethered body from a primary
spacecraft, thereby transferring momentum (and imparting
motion) to the spacecraft. Another potential application is
the creation of artificial gravity by rotating two or more
masses on a tether, much like a set of bolas.
Downward deployment (toward Earth) could place a satellite
in regions of the atmosphere that have been difficult to study
because they lie above the range of high-altitude balloons and
below the minimum altitude of free-flying satellites.
Deploying a tethered satellite downward from the Shuttle also
could make possible aerodynamic and wind tunnel type testing in
the region 50 to 75 nautical miles above the Earth.
Mission Objectives
Space-based tethers have been studied theoretically since
early in this century. More recently, the projected
performance of such systems has been modeled extensively on
computers. In 1984, the growing interest in tethered system
experiments resulted in the signing of an agreement between
NASA and the Italian Space Agency (Agenzia Spaziale Italiana -
ASI) to jointly pursue the definition and development of a
Tethered Satellite System to fly aboard the Space Shuttle.
Scientific investigations (including hardware experiments) were
selected in 1985 in response to a joint NASA/ASI announcement
of opportunity.
The TSS-1 mission will be the first time such a large,
electrodynamic tethered system has ever been flown. In many
respects, the mission is like the first test flight of a new
airplane: the lessons learned will improve both scientific
theory and operations for future tether missions.
The primary objectives of the first tethered satellite
mission are to evaluate the capability to safely deploy,
control and retrieve a tethered satellite, to validate
predictions of the dynamic forces at work in a tethered
satellite system and to conduct exploratory electrodynamic
science investigations and demonstrate the capability of the
system to serve as a facility for research in geophysical and
space physics.
Since the dynamics of the Tethered Satellite System are
complex and only can be tested fully in orbit, it is impossible
to predict before the mission exactly how the system will
perform in the space environment. Though tether system
dynamics have been extensively tested and simulated, it could
be that actual dynamics will differ somewhat from predictions.
The complexity of a widely separated, multi-component system
and the forces created by the flow of current through the
system are other variables that will affect the system's
performance.
Responsibilities
Responsibility for Tethered Satellite System activities
within NASA is divided between the Marshall Space Flight
Center, Huntsville, Ala., and the Johnson Space Center,
Houston. Marshall has the development and integration
responsibility. Marshall also is responsible for developing
and executing the TSS-1 science mission, and science teams for
each of the 12 experiments work under that center's direction.
During the mission, Johnson will be responsible for the
operation of the TSS-1 payload. This includes deployment and
retrieval of the satellite by the crew as well as controlling
the satellite's motion in orbit and monitoring the state of the
Spacelab pallet, the deployer and the satellite. Marshall will
furnish real-time engineering support for the TSS-1 system
components and tether dynamics. ASI is furnishing satellite
engineering and management support. All remote commanding of
science instruments aboard the satellite and
deployer will be executed by a Marshall payload operations
control cadre stationed at Johnson for the mission.
Tethered Satellite System Hardware
The Tethered Satellite System has five major components:
the deployer system, the tether, the satellite, the carriers on
which the system is mounted and the science instruments. Under
the 1984 memorandum of understanding, the Italian Space Agency
agreed to provide the satellite and NASA agreed to furnish the
deployer system and tether. The carriers are specially adapted
Spacelab equipment, and the science instruments were developed
by various universities, government agencies and companies in
the United States and Italy.
Carriers
TSS-1 hardware rides on two carriers in the Shuttle cargo
bay. The deployer is mounted on a Spacelab Enhanced
Multiplexer-Demultiplexer pallet, a general-purpose
unpressurized platform equipped to provide structural support
to the deployer, as well as temperature control, power
distribution and command and data transmission capabilities.
The second carrier is the Mission Peculiar Equipment Support
Structure, an inverted A-frame truss located immediately aft of
the enhanced pallet. The support structure, also Spacelab-
provided, holds science support equipment and two of the TSS-1
science experiments.
Deployer
The deployer system includes the structure supporting the
satellite, the deployment boom, which initially lifts the
satellite away from the orbiter, the tether reel, a system that
distributes power to the satellite before deployment and a data
acquisition and control assembly.
Cables woven through the structure provide power and data
links to the satellite until it is readied for release. When
the cables are disconnected after checkout, the satellite
operates on its internal battery power. If the safety of the
orbiter becomes a concern, the tether can be cut and the
satellite released or the satellite and boom jettisoned.
The boom, with the satellite resting atop it, is housed in
a canister in the lower section of the satellite support
structure. As deployment begins, the boom will unfold and
extend slowly out of the turning canister, like a bolt
Tether cutaway
being forced upward by a rotating nut. As the upward part of
the canister rotates, horizontal cross members (fiberglass
battens similar to those that give strength to sails) are
unfolded from their bent-in-half positions to hold the vertical
members (longerons) erect. Additional strength is provided by
diagonal tension cables. The process is reversed for
retrieval. When it is fully extended, the 40-foot boom
resembles a short broadcasting tower.
The tether reel mechanism regulates the tether's length,
tension and rate of deployment -- critical factors for tether
control. Designed to hold up to 68 miles of tether, the reel
is 3.3 feet in diameter and 3.9 feet long. The reel is
equipped with a "level-wind" mechanism to assure uniform
winding on the reel, a brake assembly for control of the tether
and a drive motor. The mechanism is capable of letting out the
tether at up to about 10 miles per hour. However, for the TSS-
1 mission, the tether will be released at a much slower rate,
about 2.5 miles per hour.
Tether
The tether's length and electrical properties affect all
aspects of tethered operations. For the TSS-1 mission, the
tether will be reeled out to an altitude about 12 miles above
the Shuttle, making the TSS-1/orbiter combination 100 times
longer than any previous spacecraft. It will create a large
current system in the ionosphere, similar to natural currents
in the Earth's polar regions associated with the aurora
borealis. When the tether's current is pulsed by electron
accelerators, it becomes the longest and lowest frequency
antenna ever placed in orbit. Also, for the first time,
scientists can measure the level of charge or electric
potential acquired by a spacecraft as a result of its motion
through the Earth's magnetic field lines. All these
capabilities are directly related to the structure of the
bootlace-thick tether, a conducting cord designed to anchor a
satellite miles above the orbiter.
The TSS-1 tether is 13.6 miles long. When deployed, it is
expected to develop a 5,000-volt electrical potential and carry
a maximum current of 1 ampere. At its center is the conductor,
a 10-strand copper bundle wrapped around a Nomex (nylon fiber)
core. The wire is insulated with a layer of Teflon, then
strength is provided with a layer of braided Kevlar -- a tough,
light synthetic fiber also used for making bulletproof vests.
An outer braid of Nomex protects the tether from atomic oxygen.
The cable is about 0.1 inch in diameter.
Satellite
Developed by the Italian Space Agency, the spherical
satellite is a little more than 5 feet in diameter and is
latched atop the deployer's satellite support structure. The
six latches are released when boom extension is initiated.
After the satellite is extended some 40 feet above the orbiter
atop the boom, tether unreeling will begin.
The satellite is divided into two hemispheres. The
payload module (the upper half of the sphere opposite the
tether) houses satellite-based science instruments. Support
systems for power distribution, data handling, telemetry and
navigational equipment are housed in the service module or
lower half. Eight aluminum-alloy panels, covered with
electrically conductive paint, developed at the Marshall Space
Flight Center, form the outer skin of the satellite. Doors in
the panels provide access for servicing batteries; windows for
sun, Earth and charged-particle sensors; and connectors for
cables from the deployer.
A fixed boom for mounting science instruments extends some
39 inches from the equator of the satellite sphere. A short
mast opposite the boom carries an S-band antenna for sending
data and receiving commands. For the TSS-1 mission, the
satellite is outfitted with two additional instrument-mounting
booms on opposite sides of the sphere. The booms may be
extended up to 8 feet from the body of the satellite, allowing
instruments to sample the surrounding environment, then be
pulled back inside before the satellite is reeled back to the
Shuttle.
Motion of the tethered satellite is controlled by its
auxiliary propulsion module, in conjunction with the deployer's
tether reel and motor. The module also initiates, maintains
and controls satellite spin at up to 0.7 revolution per minute
on command from the Shuttle. One set of thrusters near the
tether attachment can provide extra tension on the tether,
another can be used to reduce or eliminate pendulum-type
motions in the satellite, and a third will be used to spin and
de-spin the satellite. A pressurized tank containing gaseous
nitrogen for the thrusters is located in the center of the
sphere.
TSS Spacecraft
TETHERED SATELLITE SYSTEM-1 FLIGHT OPERATIONS
The responsibility for flying the tethered satellite,
controlling the stability of the satellite, tether and
Atlantis, lies with the flight controllers in the Mission
Control Center at the Johnson Space Center, Houston.
The primary flight control positions contributing to the
flight of the Tethered Satellite System (TSS) are the Guidance
and Procedures (GPO) area and the Payloads area. GPO officers
will oversee the dynamic phases of deployment and retrieval of
the satellite and are responsible for determining the correct
course of action to manage any tether dynamics. To compute
corrective actions, the GPO officers will combine data from
their workstations with inputs from several investigative
teams.
The Payloads area will oversee control of the satellite
systems, the operation of the tether deployer and all other TSS
systems. Payloads also serves as the liaison between Mission
Control Center and the science investigators, sending all real-
time commands for science operations to the satellite.
Atlantis' crew will control the deployer reel and the satellite
thrusters from onboard the spacecraft.
Deploy Operations
The satellite will be deployed from Atlantis when the
cargo bay is facing away from Earth, with the tail slanted
upward and nose pitched down. A 39-foot long boom, with the
satellite at its end, is raised out of the cargo bay to provide
clearance between the satellite and Shuttle during deploy and
retrieval operations. The orientation of the payload bay will
result in the tethered satellite initially deployed upward but
at an angle of about 40 degrees behind Atlantis' path.
Using the tether reel's electric motors to unwind the
tether, an electric motor at the end of the boom to pull the
tether off of the reel and a thruster on the satellite that
pushes the satellite away from Atlantis, the satellite will be
moved away from the Shuttle. The deploy will begin extremely
slowly, with the satellite, after 1 hour has elapsed since the
tether was first unwound, moving away from Atlantis at about
one-half mile per hour. The initial movement of the satellite
away from the boom will be at less than two-hundredths of 1
mile per hour. The speed of deploy will continue to increase,
peaking after 1 and a half hours from the initial movement to
almost 4 miles per hour.
At this point, when the satellite is slightly less than 1
mile from Atlantis, the rate of deployment will begin slowing
briefly, a maneuver that is planned to reduce the 40-degree
angle to 5 degrees and put the satellite in the same plane
almost directly overhead of Atlantis by the time that about 3
miles of tether has been unwound.
When the satellite is 3.7 miles from Atlantis, 2 and one-
half hours after the start of deployment, a one-quarter of a
revolution-per-minute spin will be imparted to it via its
attitude control system thrusters. The slight spin is needed
for science operations with the satellite.
After this, the speed of deployment will again be
increased gradually, climbing to a peak separation from
Atlantis of almost 5 mph about 4 hours into the deployment when
the satellite is about 9 miles distant. From this point, the
speed with which the tether is fed out will gradually decrease
through the rest of the procedure, coming to a stop almost 5
and half hours after the initial movement, when the satellite
is almost 12.5 miles from Atlantis. Just prior to the
satellite arriving on station at 12.5 miles distant, the
quarter-revolution spin will be stopped briefly to measure
tether dynamics and then, a seven-tenths of a revolution-per-
minute spin will be imparted to it. At full deploy, the
tension on the tether or the pull from the satellite is
predicted to be equivalent to about 10 pounds of force.
The tether, in total, is 13.7 miles long, allowing an
extra 1.2 miles of spare tether that is not planned to be
unwound during the mission.
Dynamics Functional Objectives
During the deploy of TSS, several tests will be conducted
to explore control and dynamics of a tethered satellite.
Models of deployment have shown that the longer the tether
becomes, the more stable the system becomes. The dynamics and
control tests to be conducted during deploy also will aid in
preparing for retrieval of the satellite and serve to verify
the ability to control the satellite during that operation.
During retrieval, it is expected that the stability of the
system will decrease as the tether is shortened, just opposite
the way stability increased as the tether was lengthened during
deploy.
The dynamics tests involve maintaining a constant tension
on the tether and correcting any of several possible
disturbances to it. Possible disturbances include: a bobbing
motion, also called a plumb bob, where the satellite bounces
slightly on the tether causing it to alternately slacken and
tighten; a vibration of the tether, called a libration,
resulting in a clock-pendulum type movement of tether and
satellite; a pendulous motion of the satellite or a rolling and
pitching action by the satellite at the end of the tether; and
a lateral string mode disturbance, a motion where the satellite
and Shuttle are stable, but the tether is moving back and forth
in a "skip rope" motion. All of these disturbances may occur
naturally and are not unexpected. However, some disturbances
will be induced intentionally.
The first test objectives will be performed before the
satellite reaches 200 yards from Atlantis and will involve
small firings of Atlantis' steering jets to test the
disturbances these may impart to the tether and satellite. The
crew will test three different methods of damping the libration
(clock pendulum) motion expected to be created in the tether
and the pendulous (rolling and pitching) motion expected in the
satellite. First, using visual contact with the satellite, to
manually stabilize it from onboard the Shuttle by remotely
firing TSS's attitude thrusters. Second, using the telemetry
information from the satellite to manually fire the satellite's
attitude thrusters. Third, using an automatic attitude control
system for the satellite via the Shuttle's flight control
computers to automatically fire the TSS thrusters and stabilize
the system.
Another test will be performed when the satellite is about
2.5 miles from Atlantis. Atlantis' autopilot will be adjusted
to allow the Shuttle to wobble by as much as 10 degrees in any
direction before steering jets automatically fire to maintain
Atlantis' orientation. The 10-degree deadband will be used to
judge any disturbances that may be imparted to the satellite if
a looser attitude control is maintained by Atlantis. The
standard deadband, or degree of wobble, set in Shuttle
autopilot for the tethered satellite operations is 2 degrees of
wobble. Tests using the wider deadband will allow the crew and
flight controllers to measure the amount of motion the
satellite and tether impart to Atlantis.
When the satellite is fully deployed and on station at
12.5 miles, Atlantis will perform jet firings to judge
disturbances imparted to the tether and satellite at that
distance.
Dampening of the various motions expected to occur in the
tether and satellite will be accomplished while at 12.5 miles
using electrical current flow through the tether. During
retrieval, test objectives will be met using a combination of
the Shuttle's steering jets, a built-in dampening system at the
end of the deploy boom and the satellite's steering jets.
Retrieval Operations
Satellite retrieval will occur more slowly than
deployment. The rate of tether retrieval, the closing rate
between Atlantis and the satellite, will build after 5 hours
since first movement to a peak rate of about 3 miles per hour.
At that point, when the satellite is about 4 and a half miles
from Atlantis, the rate of retrieval will gradually decrease,
coming to a halt 10 hours after start of retrieval operations
when the satellite is 1.5 miles from Atlantis.
The satellite will remain at 1.5 miles from Atlantis for
about 5 hours of science operations before the final retrieval
begins. Final retrieval of the satellite is expected to take
about 2 hours. A peak rate of closing between Atlantis and the
satellite of about 1.5 miles per hour will be attained just
after the final retrieval begins, and the closing rate will
decrease gradually through the remainder of the operation. The
closing rate at the time the satellite is docked to the cradle
at the end of the deployer boom is planned to be less than one-
tenth of 1 mile per hour.
TSS-1 SCIENCE OPERATIONS
Speeding through the magnetized ionospheric plasma at
almost 5 miles per second, a 12-mile-long conducting tethered
system should create a variety of very interesting plasma-
electrodynamic phenomena. These are expected to provide unique
experimental capabilities, including the ability to collect an
electrical charge and drive a large current system within the
ionosphere; generate high voltages (on the order of 5
kilovolts) across the tether at full deployment; control the
satellite's electrical potential and its plasma sheath (the
layer of charged particles created around the satellite); and
generate low-frequency electrostatic and electromagnetic waves.
It is believed that these capabilities can be used to conduct
controlled experimental studies of phenomena and processes that
occur naturally in plasmas throughout the solar system,
including Earth's magnetosphere.
A necessary first step toward these studies -- and the
primary science goal of the TSS-1 mission -- is to characterize
the electrodynamic behavior of the satellite-tether-orbiter
system. Of particular interest is the interaction of the
system with the charged particles and electric and magnetic
fields in the ionosphere.
A circuit must be closed to produce an electrical current.
For example, in a simple circuit involving a battery and a
light bulb, current travels down one wire from the battery to
the bulb, through the bulb and back to the battery via another
wire completing the circuit. Only when the the circuit is
complete will the bulb illuminate. The conductive outer skin
of the satellite collects free electrons from the space plasma,
and the induced voltage causes the electrons to flow down the
conductive tether to the Shuttle. Then, they will be ejected
back into space with electron guns.
Scientists expect the electrons to travel along magnetic
field lines in the ionosphere to complete the loop. TSS-1
investigators will use a series of interdependent experiments
conducted with the electron guns and tether current-control
hardware, along with a set of diagnostic instruments, to assess
the nature of the external current loop within the ionosphere
and the processes by which current closure occurs at the
satellite and the orbiter.
Science Operations
The TSS-1 mission is comprised of 11 scientific
investigations selected jointly by NASA and the Italian Space
Agency. In addition, the U.S. Air Force's Phillips Laboratory,
by agreement, is providing an experimental investigation.
Seven investigations provide equipment that either stimulates
or monitors the tether system and its environment. Two
investigations will use ground-based instruments to measure
electromagnetic emissions from the Tethered Satellite System as
it passes overhead, and three investigations were selected to
provide theoretical support in the areas of dynamics and
electrodynamics.
Most of the TSS-1 experiments require measurements of
essentially the same set of physical parameters, with
instrumentation from each investigation providing different
parts of the total set. While some instruments measure
magnetic fields, others record particle energies and densities,
and still others map electric fields. A complete set of data
on plasma and field conditions is required to provide an
accurate understanding of the space environment and its
interaction with the tether system. TSS-1 science
investigations, therefore, are interdependent. They must share
information and operations to achieve their objectives. In
fact, these investigations may be considered to be different
parts of a single complex experiment.
The TSS-1 principal and associate investigators and their
support teams will be located in a special Science Operations
Center at the Mission Control Center in Houston. During the
tethered satellite portion of the STS-46 flight, all 12 team
leaders will be positioned at a conference table in the
operations center. Science data will be available to the
entire group, giving them an integrated "picture" of conditions
observed by all the instruments. Together, they will assess
performance of the experiment objectives. Commands to change
any instrument mode that affects the overall data set must be
approved by the group, because such a change could impact the
overall science return from the mission. Requests for
adjustments will be relayed by the mission scientist, the
group's leader, to the science operations director for
implementation.
The primary scientific data will be taken during the
approximately 10.5-hour phase (called "on-station 1") when the
satellite is extended to the maximum distance above the
Shuttle. Secondary science measurements will be taken prior to
and during deployment, during "on-station 1," and as the
satellite is reeled back to the orbiter. However, during the
latter phase, satellite recovery has a higher priority than
continued science data gathering.
Science activities during the TSS-1 mission will be
directed by the science principal investigator team and
implemented by a payload cadre made up primarily of Marshall
Space Flight Center employees and their contractors. Science
support teams for each of the 12 experiments will monitor the
science hardware status. From the Science Operations Center at
Mission Control, the principal investigator team will be able
to evaluate the quality of data obtained, replan science
activities as needed and direct adjustments to the instruments.
The cadre will be led by a science operations director, who
will work closely with the mission scientist, the mission
manager and Mission Control's payloads officer to coordinate
science activities.
During the mission, most activities not carried out by the
crew will be controlled by command sequences, or timeline
files, written prior to the mission and stored in an onboard
computer. For maximum flexibility, however, during all TSS
phases, modifications to these timeline files may be uplinked,
or commands may be sent in real-time from the Science
Operations Center to the on-board instruments.
SCIENCE INVESTIGATIONS
TSS Deployer Core Equipment and Satellite Core Equipment (DCORE/SCORE)
Principal Investigator:
Dr. Carlo Bonifazi
Italian Space Agency, Rome, Italy
The Tethered Satellite System Core Equipment controls the
electrical current flowing between the satellite and the
orbiter. It also makes a number of basic electrical and
physical measurements of the system.
Mounted on the aft support structure in the Shuttle cargo
bay, the Deployer Core Equipment features an electron
accelerator with two electron beam emitters that can each eject
up to 500 milli-amperes (one-half amp) of current from the
system. A master switch, power distribution and electronic
control unit, and command and data interfaces also are included
in the deployer core package. A voltmeter measures tether
potential with respect to the orbiter structure, and a vacuum
gauge measures ambient gas pressure to prevent operations if
pressure conditions might cause electrical arcing.
Core equipment located on the satellite itself includes an
accelerometer to measure satellite movements and an ammeter to
measure tether current collected on the skin of the TSS-1
satellite.
Research on Orbital Plasma Electrodynamics (ROPE)
Principal Investigator:
Dr. Nobie Stone
NASA Marshall Space Flight Center, Huntsville, Ala.
This experiment studies behavior of ambient charged
particles in the ionosphere and ionized neutral particles
around the satellite under a variety of conditions.
Comparisons of readings from its instruments should allow
scientists to determine where the particles come from that make
up the tether current as well as the distribution and flow of
charged particles in the space immediately surrounding the
satellite.
The Differential Ion Flux Probe, mounted on the end of the
satellite's fixed boom, measures the energy, temperature,
density and direction of ambient ions that flow around the satellite
as well as neutral particles that have been ionized in its plasma
sheath and accelerated outward by the sheath's electric field.
The Soft Particle Energy Spectrometer is actually five
electrostatic analyzers -- three mounted at different locations
on the surface of the satellite itself, and the other two
mounted with the Differential Ion Flux Probe on the boom.
Taken together, measurements from the two boom-mounted sensors
can be used to determine the electrical potential of the sheath
of ionized plasma surrounding the satellite. The three
satellite-mounted sensors will measure geometric distribution
of the current to the satellite's surface.
Research on Electrodynamic Tether Effects (RETE)
Principal Investigator:
Dr. Marino Dobrowolny
Italian National Research Council, Rome, Italy
This experiment measures the electrical potential in the
plasma sheath around the satellite and identifies waves excited
by the satellite and tether system. The instruments are
located in two canisters at the end of the satellite's
extendible booms. As the satellite spins, the booms are
extended, and the sensors sweep the plasma around the entire
circumference of the spacecraft. To produce a profile of the
plasma sheath, measurements of direct-current potential and
electron currents are made both while the boom is fully
extended and as it is being extended or retracted. The same
measurements, taken at a fixed distance from the spinning
satellite, produce a map of the angular structure of the
sheath.
Magnetic Field Experiment for TSS Missions (TEMAG)
Principal Investigator:
Prof. Franco Mariani
Second University of Rome, Italy
The primary goal of this investigation is to map the
levels and fluctuations in magnetic fields around the
satellite. Two magnetometers -- very accurate devices for
measuring such fields -- are located on the fixed boom of the
satellite, one at its end and the other at its midpoint.
Comparing measurements from the two magnetometers allows real-
time estimates to be made of unwanted disturbances to the
magnetic fields produced by the presence of satellite
batteries, power systems, gyros, motors, relays and other
magnetic material. After the mission, the variable effects of
switching satellite subsystems on and off, of thruster firings
and of other operations that introduce magnetic disturbances
will be modeled on the ground, so these satellite effects can
be subtracted from measurements of the ambient magnetic fields
in space.
Shuttle Electrodynamic Tether System (SETS)
Principal Investigator:
Dr. Peter Banks
University of Michigan, Ann Arbor
This investigation studies the ability of the tethered
satellite to collect electrons by determining current and
voltage of the tethered system and measuring the resistance to
current flow in the tether itself. It also explores how tether
current can be controlled by the emission of electrons at the
orbiter end of the system and characterizes the charge the
orbiter acquires as the tether system produces power,
broadcasts low-frequency radio waves and creates instabilities
in the surrounding plasma.
The hardware is located on the support structure in the
orbiter cargo bay. In addition to three instruments to
characterize the orbiter's charge, the experiment includes a
fast-pulse electron accelerator used to help neutralize the
orbiter's charge. It is located close to the core electron gun
and aligned so beams from both are parallel. The fast-pulse
accelerator acts as a current modulator, emitting electron
beams in recognizable patterns to stimulate wave activity over
a wide range of frequencies. The beams can be pulsed with
on/off times on the order of 100 nanoseconds.
Shuttle Potential and Return Electron Experiment (SPREE)
Associate Investigators:
Dr. Dave Hardy and Capt. Marilyn Oberhardt
Dept. of the Air Force, Phillips Laboratory, Bedford, Mass.
Also located on the support structure, this experiment
will measure populations of charged particles around the
orbiter. Measurements will be made prior to deployment to
assess ambient space conditions as well as during active TSS-1
operations. The measurements will determine the level of
orbiter charging with respect to the ambient space plasma,
characterize the particles returning to the orbiter as a result
of TSS-1 electron beam ejections and investigate local wave-
particle interactions produced by TSS-1 operations. Such
information is important in determining how the Tethered
Satellite System current is generated, and how it is affected
by return currents to the orbiter. The experiment uses two
sets of two nested electrostatic analyzers each, which rotate
at approximately 1 revolution per minute, sampling the
electrons and ions in and around the Shuttle's cargo bay.
Tether Optical Phenomena Experiment (TOP)
Associate Investigator:
Dr. Stephen Mende
Lockheed, Palo Alto Research Laboratory, Palo Alto, Calif.
This experiment uses a hand-held, low-light-level TV
camera system operated by the crew, to provide visual data to
allow scientists to answer a variety of questions about tether
dynamics and optical effects generated by TSS-1. The imaging
system will operate in four configurations: filtered,
interferometer, spectrographic and filtered with a telephoto
lens. In particular, the experiment will image the high
voltage plasma sheath surrounding the satellite when it is
reeled back toward the orbiter near the end of the retrieval
stage of the mission.
Investigation of Electromagnetic Emissions for Electrodynamic
Tether (EMET)
Principal Investigator:
Dr. Robert Estes
Smithsonian Astrophysical Observatory, Cambridge, Mass.
Observations at the Earth's Surface of Electromagnetic Emission
by TSS (OESEE)
Principal Investigator:
Dr. Giorgio Tacconi, University of Genoa, Italy
The main goal of these experiments is to determine how
well the Tethered Satellite System can broadcast from space.
Ground-based radio transmissions, especially below 15
kilohertz, are inefficient since most of the power supplied to
the antenna -- large portions of which are buried -- is
absorbed by the ground. Since the Tethered Satellite System
operates in the ionosphere, it should radiate waves more
efficiently. Magnetometers at several locations in a chain of
worldwide geomagnetic observatories and extremely low-fequency
receivers at the Arecibo Radio Telescope facility, Puerto Rico,
and other sites around the world, will try to measure the
emissions produced and track direction of the waves when
electron accelerators pulse tether current over specific land
reference points. An Italian ocean surface and ocean bottom
observational facility also provides remote measurements for
TSS-1 emissions.
The Investigation and Measurement of Dynamic Noise in the TSS
(IMDN)
Principal Investigator:
Dr. Gordon Gullahorn
Smithsonian Astrophysical Observatory, Cambridge, Mass.
Theoretical and Experimental Investigation of TSS Dynamics (TEID)
Principal Investigator:
Prof. Silvio Bergamaschi
Institute of Applied Mechanics, Padua University, Padua, Italy
These two investigations will analyze data from a variety
of instruments to examine Tethered Satellite System dynamics or
oscillations over a wide range of frequencies. Primary
instruments will be accelerometers and gyros on board the
satellite, but tether tension and length measurements and
magnetic field measurements also will be used. The dynamics
will be observed in real-time at the Science Operations Center
and later, subjected to detailed post-flight analysis. Basic
theoretical models and simulations of tether movement will be
verified, extended or corrected as required. Then they can be
used confidently in the design of future systems.
Theory and Modeling in Support of Tethered Satellite
Applications (TMST)
Principal Investigator:
Dr. Adam Drobot
Science Applications International Corp., McLean, Va.
This investigation provides theoretical electro-dynamic
support for the mission. Numerical models were developed of
anticipated current and voltage characteristics, plasma sheaths
around the satellite and the orbiter and of the system's
response to the operation of the electron accelerators. These
models tell investigators monitoring the experiments from the
ground what patterns they should expect to see in the data.
THE TSS-1 TEAM
Within NASA, the Tethered Satellite System program is
directed by the Office of Space Flight and the Office of Space
Science and Applications. The Space Systems Projects Office at
the Marshall Space Flight Center, Huntsville, Ala., has
responsibility for project management and overall systems
engineering. Experiment hardware systems were designed and
developed by the U.S. and Italy. Responsibility for
integration of all hardware, including experiment systems, is
assigned to the project manager at the Marshall center. The
Kennedy Space Center, Florida, is responsible for launch-
processing and launch of the TSS-1 payload. The Johnson Space
Center, Houston, has responsibility for TSS-1/STS integration
and mission operations.
R.J. Howard of the Office of Space Science and
Applications, NASA Headquarters, Washington, D.C., is the TSS-1
Science Payload Program Manager. The TSS Program Manager is
Tom Stuart of the Office of Space Flight, NASA Headquarters.
Billy Nunley is NASA Project Manager and TSS-1 Mission Manager
at the Marshall Space Flight Center. Dr. Nobie Stone, also of
Marshall, is the NASA TSS-1 Mission Scientist, the TSS Project
Scientist and Co-chairman of the Investigator Working Group.
For the Italian Space Agency, Dr. Gianfranco Manarini is
Program Manager for TSS-1, while the Program Scientist is Dr.
F. Mariani. Dr. Marino Dobrowolny is the Project Scientist for
the Italian Space Agency, and Co-chairman of the investigator
group. Dr. Maurizio Candidi is the Mission Scientist for the
Italian Space Agency.
Martin Marietta, Denver, Colo., developed the tether and
control system deployer for NASA. Alenia in Turin, Italy,
developed the satellite for the Italian Space Agency.
TSS-1 SCIENCE INVESTIGATIONS
Title Institution (Nation)
Research on Electrodynamic
CNR or Italian National
Tether Effects Research Council (Italy)
Research on Orbital Plasma NASA/MSFC (U.S.)
Electrodynamics
Shuttle Electrodynamic Tether Sys University of
Michigan (U.S.)
Magnetic Field Experiments Second University of Rome
for TSS Missions (Italy)
Theoretical & Experimental Univ. of Padua (Italy)
Investigation of TSS Dynamics
Theory & Modeling in Support SAIC (U.S.)
of Tethered Satellite
Investigation of Electromagnetic Smithsonian Astrophysical
Emissions for Electrodynamic Observatory (U.S.)
Tether
Investigation and Measurement of Smithsonian Astrophysical
Dynamic Noise in TSS Observatory (U.S.)
Observation on Earth's Surface of Univ. of Genoa (Italy)
Electromagnetic Emissions by TSS
Deployer Core Equipment and Satellite ASI (Italy)
Core Equipment
Tether Optical Phenomena Experiment Lockheed (U.S.)
Shuttle Potential & Return Dept. of the Air Force
Electron Experiment Phillips Laboratory (U.S.)
EUROPEAN RETRIEVABLE CARRIER (EURECA)
The European Space Agency's (ESA) EURECA will be launched
by the Space Shuttle and deployed at an altitude of 425 km. It
will ascend, using its own propulsion, to its operational orbit
of 515 km. After 6 to 9 months in orbit, it will descend to
the lower orbit where it will be retrieved by another orbiter
and brought back to Earth. It will refurbished and equipped
for the next mission.
The first mission (EURECA-1) primarily will be devoted to
research in the fields of material and life sciences and
radiobiology, all of which require a controlled microgravity
environment. The selected microgravity experiments will be
carried out in seven facilities. The remaining payload
comprises space science and technology.
During the first mission, EURECA's residual carrier
accelerations will not exceed 10-5g. The platform's altitude
and orbit control system makes use of magnetic torquers
augmented by cold gas thrusters to keep disturbance levels
below 0.3 Nm during the operational phase.
Physical characteristics
o Launch mass 4491 kg
o Electrical power solar array 5000w
o Continuous power to EURECA experiments 1000w
o Launch configuration dia: 4.5m, length: 2.54m
o Volume 40.3m
o Solar array extended 20m x 3.5
User friendly
Considerable efforts have been made during the design and
development phases to ensure that EURECA is a "user friendly"
system. As is the case for Spacelab, EURECA has standardized
structural attachments, power and data
EURECA-1L
interfaces. Unlike Spacelab, however, EURECA has a
decentralized payload control concept. Most of the onboard
facilities have their own data handling device so that
investigators can control the internal operations of their
equipment directly. This approach provides more flexibility as
well as economical advantages.
Operations
EURECA is directly attached to the Shuttle cargo bay by
means of a three-point latching system. The spacecraft has
been designed with a minimum length and a close-to-optimum
length-to-mass ratio, thus helping to keep down launch and
retrieval costs.
All EURECA operations will be controlled by ESA's Space
Operations Centre (ESOC) in Darmstadt, Germany. During the
deployment and retrieval operations, ESOC will function as a
Remote Payload Operations Control Centre to NASA's Mission
Control Center, Houston, and the orbiter will be used as a
relay station for all the commands. In case of unexpected
communication gaps during this period, the orbiter crew has a
back-up command capability for essential functions.
Throughout the operational phase, ESOC will control EURECA
through two ground stations at Maspalomas and Korrou. EURECA
will be in contact with its ground stations for a relatively
short period each day. When it is out of contact, or
"invisible", its systems operate with a high degree of
autonomy, performing failure detection, isolation and recovery
activities to safeguard ongoing experimental processes.
An experimental advanced data relay system, the Inter-
orbit Communication package, is included in the first payload.
This package will communicate with the European Olympus
Communication Satellite to demonstrate the possible
improvements for future communications with data relay
satellites. As such a system will significantly enhance
realtime data coverage, it is planned for use on subsequent
EURECA missions to provide an operational service via future
European data relay satellites.
EURECA Retrievable Carrier
Structure
The EURECA structure is made of high strength carbon-fibre
struts and titanium nadal points joined together to form a
framework of cubic elements. This provides relatively low
thermal distortions, allows high alignment accuracy and simple
analytical verification, and is easy to assemble and maintain.
Larger assemblies are attached to the nadal points.
Instruments weighing less than 100 kg are assembled on standard
equipment support panels similar to those on a Spacelab pallet.
Thermal Control
Thermal control for EURECA combines active and passive
heat transfer and radiation systems. Active transfer, required
for payload facilities which generated more heat, is achieve by
means of a freon cooling loop which dissipates the thermal load
through two radiators into space. The passive system makes use
of multilayer insulation blankets combined with electrical
heaters. During nominal operations, the thermal control
subsystem rejects a maximum heat load of about 2300 w.
Electrical Power
The electrical power subsystem generates, stores,
conditions and distributes power to all the spacecraft
subsystems and to the payload. The deployable and retracable
solar arrays, with a combined raw power output of some 5000 w
together with four 40 amp-hour (Ah) nickel-cadmium batteries,
provide the payload with a continuous power of 1000 w,
nominally at 28 volts, with peak power capabilities of up to
1500 w for several minutes. While EURECA is in the cargo bay,
electric power is provided by the Shuttle to ensure that
mission critical equipment is maintained within its temperature
limits.
Attitude and Orbit Control
A modular attitude and orbit control subsystem (AOCS) is
used for attitude determination and spacecraft orientation and
stabilization during all flight operations and orbit control
manoeuvres. The AOCS has been designed for maximum autonomy.
It will ensure that all mission requirements are met even in
case of severe on-board failures, including non-availability of
the on-board data handling subsystem for up to 48 hours.
An orbit transfer assembly, consisting of two redundant
sets of four thrusters, is used to boost EURECA to its
operation attitude at 515 km and to return it to its retrieval
orbit at about 300 km. The amount of onboard propellant
hydrazine is sufficient for the spacecraft to fly different
mission profiles depending on its nominal mission duration
which may be anywhere between 6 and 9 months.
EURECA is three-axis stabilized by means of a magnetic
torque assembly together with a nitrogen reaction control
assembly (RCA). This specific combination of actuators was
selected because its' control accelerations are well below the
microgravity constraints of the spacecraft. The RCA cold gas
system can be used during deployment and retrieval operations
without creating any hazards for the Shuttle.
Communications and Data Handling
EURECA remote control and autonomous operations are
carried out by means of the data handling subsystem (DHS)
supported by the telemetry and telecommand subsystems which
provide the link to and from the ground segment. Through the
DHS, instructions are stored and executed, telemetry data is
stored and transmitted, and the spacecraft and its payload are
controlled when EURECA is no longer "visible" from the ground
station.
EURECA SCIENCE
Solution Growth Facility (SGF)
Principal Investigator:
J.C. Legros
Universite Libre de Bruxelles, Brussels, Belgium
The Solution Growth Facility (SGF) is a multi-user
facility dedicated to the growth of monocrystals from solution,
consisting of a set of four reactors and their associated
control system.
Three of the reactors will be used for the solution growth
of crystals. These reactors have a central buffer chamber
containing solvent and two reservoirs containing reactant
solutions. The reservoirs are connected to the buffer chamber
by valves which allow the solutions to diffuse into the solvent
and hence, to crystallize.
The fourth reactor is divided into twenty individual
sample tubes which contain different samples of binary organic
mixtures and aqueous electrolyte solutions. This reactor is
devoted to the measurement of the Soret coefficient, that is,
the ratio of thermal to isothermal diffusion coefficient.
The SGF has been developed under ESA contract by Laben and
their subcontractors Contraves and Terma.
Protein Crystallization Facility (PCF)
Principal Investigator:
W. Littke
Chemisches Laboratorium, Universitat Freiburg, Freiburg,
Germany
The Protein Crystallization Facility (PCF) is a multi-user
solution growth facility for protein crystallization in space.
The object of the experiments is the growth of single, defect-
free protein crystals of high purity and of a size sufficient
to determine their molecular structure by x-ray diffraction.
This typically requires crystal sizes in the order of a few
tenths of a millimeter.
The PCF contains twelve reactor vessels, one for each
experiment. Each reactor, which is provided with an
individually controlled temperature environment, has four
chambers -- one containing the protein, one containing a buffer
solution and two filled with salt solutions. When the reactors
have reached their operating temperatures, one of the salt
solution chambers, the protein chamber and the buffer solution
chamber are opened. Salt molecules diffuse into the buffer
chamber causing the protein solution to crystalize. At the end
of the mission the second salt solution chamber is activated to
increase the salt concentration. This stabilizes the crystals
and prevents them from dissolving when individual temperature
control for the experiments ceases and the reactors are
maintained at a common storage temperature.
One particular feature of the PCF is that the
crystallization process can be observed from the ground by
means of a video system.
The PCF has been developed under ESA contract by MBB
Deutsche Aerospace and their subcontractors Officine Galileo
and Reusser.
Exobiology And Radiation Assembly (ERA)
Principal Investigator:
H. Bucker
Institut fur Flugmedizin Abt. Biophysik, DLR, Cologne, Germany
The Exobiology and Radiation Assembly (ERA) is a multi-
user life science facility for experiments on the biological
effects of space radiation. Our knowledge of the interaction
of cosmic ray particles with biological matter, the synergism
of space vacuum and solar UV, and the spectral effectiveness of
solar UV on viability should be improved as a result of
experiments carried out in the ERA.
The ERA consists of deployable and fixed experiment trays
and a number of cylindrical stacks, known as Biostacks,
containing biological objects such as spores, seeds or eggs
alternated with radiation and track detectors. An electronic
service module also is included in the facility. The
deployable trays carry biological specimens which are exposed
to the different components of the space radiation environment
for predetermined periods of time. The duration of exposure is
controlled by means of shutters and the type of radiation is
selected by the use of optical bandpass filters.
The ERA has been developed under ESA contract by Sira Ltd..
Multi-Furnace Assembly (MFA)
Principal Investigator:
A. Passerone
Ist. di Chimica Fisica Applicata dei Materiali, National
Research Council (CNR), Genova, Italy
The Multi-Furnace Assembly (MFA) is a multi-user facility
dedicated to material science experiments. It is a modular
facility with a set of common system interfaces which
incorporates twelve furnaces of three different types, giving
temperatures of up to 1400xC. Some of the furnaces are
provided by the investigators on the basis of design
recommendations made by ESA. The remainder are derived from
furnaces flown on other missions, including some from sounding
rocket flights. These are being used on EURECA after the
necessary modifications and additional qualification. The
experiments are performed sequentially with only one furnace
operating at any one time.
The MFA has been developed under ESA contract by Deutsche
Aerospace, ERNO Raumfahrttechnik and their subcontractors SAAB,
Aeritalia, INTA and Bell Telephone.
Automatic Mirror Furnace (AMF)
Principal Investigator:
K.W. Benz
Kristallographisches Institut, Universitat Freiburg, Freiburg,
Germany
The Automatic Mirror Furnace (AMF) is an optical radiation
furnace designed for the growth of single, uniform crystals
from the liquid or vapor phases, using the traveling heater or
Bridgman methods.
The principal component of the furnace is an ellipsoidal
mirror. The experimental material is placed at the lower ring
focus of the mirror and heated by radiation from a 300 w
halogen lamp positioned at the upper focus. Temperatures of up
to 1200xC can be achieved, depending on the requirements of
individual samples. Seven lamps are available and up to 23
samples can be processed in the furnace.
As the crystal grows, the sample holder is withdrawn from
the mirror assembly at crystallization speed, typically 2
mm/day, to keep the growth site aligned with the furnace focus.
The sample also is rotated while in the furnace.
The AMF is the first of a new generation of crystal growth
facilities equipped with sample and lamp exchange mechanisms.
Fully automatic operations can be conducted in space during
long microgravity missions on free flying carriers. During a 6
month mission, about 20 different crystal growth experiments
can be performed.
The AMF has been developed under ESA contract by Dornier
Deutsche Aerospace and their subcontractors Laben, ORS and SEP.
Surface Forces Adhesion Instrument (SFA)
Principal Investigator:
G. Poletti
Universita di Milano, Milan, Italy
The Surface Forces Adhesion instrument (SFA) has been
designed to study the dependence of surface forces and
interface energies on physical and chemical-physical parameters
such as surface topography, surface cleanliness, temperature
and the deformation properties of the contacting bodies. The
SFA experiment aims at refining current understanding of
adhesion-related phenomena, such as friction and wear, cold
welding techniques in a microgravity environment and solid body
positioning by means of adhesion.
Very high vacuum dynamic measurements must be performed in
microgravity conditions because of the extreme difficulty
experienced on Earth in controlling the physical parameters
involved. As a typical example, the interface energy of a
metallic sphere of 1 g mass contacting a pane target would be
of the order of 10-3 erg. corresponding to a potential
gravitational energy related to a displacement of 10-5 mm. In
the same experiment performed on the EURECA platform, in a 10
to 100,000 times lower gravity environment, this energy
corresponds to a displacement of 1 mm, thus considerably
improving measurements and reducing error margins.
The SFA instrument has been funded by the Scientific
Committee of the Italian Space Agency (ASI) and developed by
the University of Milan and their subcontractors
Centrotechnica, Control Systems and Rial.
High Precision Thermostat Instrument (HPT)
Principal Investigator:
G. Findenegg
Ruhr Universitat Bochum, Bochum, Germany
Basic physics phenomena around the critical point of
fluids are not, as yet, fully understood. Measurements in a
microgravity environment, made during the German mission D-1,
seem to be at variance with the expected results. Further
investigations of critical phenomena under microgravity
conditions are of very high scientific value.
The High Precision Thermostat (HPT) is an instrument
designed for long term experiments requiring microgravity
conditions and high precision temperature measurement and
control. Typical experiments are "caloric", "critical point"
or "phase transition" experiments, such as the "Adsorption"
experiment designed for the EURECA mission.
This experiment will study the adsorption of Sulphur
Hexafluoride (SF6), close to its critical point (Tc=45.55xC,
pc=0.737 g/cm3) on graphitised carbon. A new volumetric
technique will be used for the measurements of the adsorption
coefficient at various temperatures along the critical isochore
starting from the reference temperature in the one-phase region
(60x) and approaching the critical temperature. The results
will be compared with 1g measurements and theoretical
predictions.
The HPT has been developed under DLR contract by Deutsche
Aerospace ERNO Raumfahrttechnik and their subcontractor Kayser-
Threde GmbH.
Solar Constant And Variability Instrument (SOVA)
Principal Investigator:
D. Crommelynck
IRMB, Brussels, Belgium
The Solar Constant and Variability Instrument (SOVA) is
designed to investigate the solar constant, its variability and
its spectral distribution, and measure:
o fluctuations of the total and spectral solar irradiance
within periods of a few minutes up to several hours and with a
resolution of 10-6 to determine the pressure and gravity modes
of the solar oscillations which carry information on the
internal structure of the sun;
o short term variations of the total and spectral solar
irradiance within time scales ranging from hours to few months
and with a resolution of 10-5 for the study of energy
redistribution in the solar convection zone. These variations
appear to be associated with solar activities (sun spots);
o long term variations of the solar luminosity in the time
scale of years (solar cycles) by measuring the absolute solar
irradiance with an accuracy of better than 0.1 percent and by
comparing it with previous and future measurements on board
Spacelab and other space vehicles. This is of importance for
the understanding of solar cycles and is a basic reference for
climatic research.
The SOVA instrument has been developed by the Institut
Royal Meteorologique de Belgique of Brussels, by the
Physikalisch-Meteorologishces Observatorium World Radiation
Center (PMOD/WRC) Davos and by the Space Science Department
(SSD) of the European Space Agency (ESA-ESTEC), Noordwijk.
Solar Spectrum Instrument (SOSP)
Principal Investigator:
G. Thuillier
Service d'Aeronomie du CNRS, Verrieres le Buisson, France
The Solar Spectrum Instrument (SOSP) has been designed for
the study of solar physics and the solar-terrestrial
relationship in aeronomy and climatology. It measures the
absolute solar irradiance and its variations in the spectral
range from 170 to 3200 nm, with an expected accuracy of 1
percent in the visible and infrared ranges and 5 percent in the
ultraviolet range.
Changes in the solar irradiance mainly relate to the
short-term solar variations that have been observed since 1981
by the Solar Maximum spacecraft, the variations related to the
27-day solar rotation period and the long-term variations
related to the 11-year sun cycles. While the short term
variations can be measured during one single EURECA flight
mission, two or three missions are needed to assess the long
term variations.
SOSP has been developed by the Service d'Aeronomie of the
Centre National de Recherche Scientifique (CNRS), the Institut
d'Aeronomie Spatiale de Belgique (IASB), the Landassternwarte
Koenigstuhl and the Hamburger Sternwarte.
Occultation Radiometer Instrument (ORA)
Principal Investigator:
E. Arijs
Belgisch Instituut voor Ruimte Aeronomie (BIRA), Brussels,
Belgium
The Occultation Radiometer instrument (ORA) is designed to
measure aerosols and trace gas densities in the Earth's
mesosphere and stratosphere. The attenuation of the various
spectral components of the solar radiation as it passes through
the Earth's atmosphere enables vertical abundance profiles for
ozone, nitrogen dioxide, water vapor, carbon dioxide and
background and volcanic aerosols to be determined for altitudes
between 20 and 100 km.
The ORA instrument has been developed by the Institut
d'Aeronomie Spatiale, and the Clarendon Laboratory of the
University of Oxford.
Wide Angle Telescope (WATCH)
Principal Investigator:
N. Lund
Danish Space Research Institute, Lyngby, Denmark
The Wide Angle Telescope (WATCH) is designed to detect
celestial gamma and x-ray sources with photon energies in the
range 5 to 200 keV and determine the position of the source.
The major objective of WATCH is the detection and
localization of gamma-ray bursts and hard x-ray transients.
Persistent x-ray sources also can be observed.
Cosmic gamma-ray bursts are one of the most extreme
examples of the variability of the appearance of the x-ray sky.
They rise and decay within seconds, but during their life they
outshine the combined flux from all other sources of celestial
x- and gamma rays by factors of up to a thousand.
Less conspicuous, but more predictable are the x-ray novae
which flare regularly, typically with intervals of a few years.
In the extragalactic sky, the "active galactic nuclei" show
apparently are random fluctuations in their x-ray luminosity
over periods of days or weeks.
WATCH will detect and locate these events. The data from
the experiment can be used to provide light curves and energy
for the sources. The data also may be searched for
regularities in the time variations related to orbital movement
or rotation or for spectral features that yield information
about the source. Additionally, other, more powerful sky
observation instruments can be alerted to the presence of
objects that WATCH has detected as being in an unusual state of
activity.
WATCH has been developed by the Danish Space Research
Institute.
Timeband Capture Cell Experiment (TICCE)
Principal Investigator:
J.A.M. McDonnell
Unit for Space Science, Physics Laboratory
University of Kent, Great Britain
The Timeband Capture Cell Experiment (TICCE) is an
instrument designed for the study of the microparticle
population in near-Earth space -- typically Earth debris,
meteoroids and cometary dust. The TICCE will capture micron
dimensioned particles with velocities in excess of 3 km/s and
store the debris for retrieval and post-mission analysis.
Particles detected by the instrument pass through a front
foil and into a debris collection substrate positioned 100 nm
behind the foil. Each perforation in the foil will have a
corresponding debris site on the substrate. The foil will be
moved in 50 discrete steps during the six month mission, and
the phase shift between the debris site and the perforation
will enable the arrival timeband of the particle to be
determined. Between 200 and 300 particles are expected to
impact the instrument during the mission. Ambiguities in the
correlation of foil perforations and debris sites will probably
occur for only a few of the impacts.
Elemental analysis of the impact sites will be performed,
using dispersive x-ray techniques, once the instrument has
returned to Earth.
TICCE has been developed by the University of Kent. Its
structural support has been sponsored by ESA and subcontracted
to SABCA under a Deutsche Aerospace ERNO Raumfahrttechnik
contract.
Radio Frequency Ionization Thruster Assembly (RITA)
Principal Investigator:
H. Bassner
MBB Deutsche Aerospace, Munich, Germany
The Radio Frequency Ionization Thruster Assembly (RITA) is
designed to evaluate the use of electric propulsion in space
and to gain operational experience before endorsing its use for
advanced spacecraft technologies.
The space missions now being planned - which are both more
complex and of longer duration - call for increased amounts of
propellant for their propulsion systems which, in turn, leads
to an increase in the overall spacecraft mass to the detriment
of the scientific or applications payload. Considerable
savings can be made in this respect by the use of ion
propulsion systems, wherein a gas is ionized and the positive
ions are them accelerated by an electric field. In order to
avoid spacecraft charging, the resulting ion beam is then
neutralized by an electron emitting device, the neutralizer.
The exhaust velocities obtained in this way are about an order
of magnitude higher than those of chemical propulsion systems.
RITA has been developed under ESA and BMFT
contract by Deutsche Aerospace ERNO Raumfahrttechnik.
Inter-Orbit Communication (IOC)
R. Tribes
CNES Project Manager, CNES-IOC
Toulouse, France
N. Neale
ESA Project Manager, ESTEC-CD
Noordwijk, The Netherlands
The Inter-Orbit Communication (IOC) instrument is a
technological experiment designed to provide a pre-operational
inflight test and demonstration of the main functions, services
and equipment typical of those required for a data relay
system, namely:
o bi-directional, end-to-end data transmission between the
user spacecraft and a dedicated ground station via a relay
satellite in the 20/30 GHz frequency band;
o tracking of a data relay satellite;
o tracking of a user spacecraft;
o ranging services for orbit determination of a user
spacecraft via a relay satellite.
In this case, the EURECA platform is the user spacecraft
and the ESA communications satellite Olympus the relay
satellite. One of the Olympus steerable spot beam antennas
will be pointed towards the IOC on EURECA and the other towards
the IOC ground station. The IOC instrument is provided with a
mobile directional antenna to track Olympus.
The IOC has been developed under ESA contract by CNES and
their subcontractors Alocatel Espace, Marconi Space Systems,
Laben, Matra Espace, Sener, Alcatel Bel, AEG-Telefunken, ETCA,
TEX, MDS and COMDEV.
Advanced Solar Gallium Arsenide Array (ASGA)
Principal Investigator:
C. Flores
CISE SPA, Segrate, Italy
The Advanced Solar Gallium Arsenide Array (ASGA) will
provide valuable information on the performance of gallium
arsenide (GaAs) solar arrays and on the effects of the low
Earth orbit environment on their components. These solar
cells, already being used in a trial form to power the Soviet
MIR space station, are expected to form the backbone of the
next generation of compact, high power-to-weight ratio European
solar energy generators.
The most significant environmental hazards encountered
arise from isotropic proton bombardment in the South Atlantic
Anomaly, high frequency thermal cycling fatigue of solar cell
interconnections and the recently discovered atomic oxygen
erosion of solar array materials. Although a certain amount of
knowledge may be gained from laboratory experiments, the
crucial confirmation of the fidelity of the GaAs solar array
designs awaits the results of flight experiments.
The project has been sponsored by the Italian Space Agency
(ASI) and developed by CISE with its subcontractor, Carlo
Gavazzi Space. The planar solar module has been assembled by
FIAR. The miniature Cassegranian concentrator components have
been developed in collaboration with the Royal Aircraft
Establishments and Pilkington Space Technology.
EURECA has been developed under ESA contract by Deutsche
Aerospace, ERNO Raumfahrttechnik, (Germany), and their
subcontractors Sener, (England), AIT, (Italy), SABCA,
(Belgium), AEG, (Germany), Fokker, (The Netherlands), Matra,
(France), Deutsche Aerospace, ERNO Raumfahrttechnik, (Germany),
SNIA-BPD, (Italy), BTM, (Belgium), and Laben, (Italy).
F. Schwan - Industrial Project Manager
Deutsche Aerospace, ERNO Raumfahrttechnik, Bremen, Germany
W. Nellessen - ESA Project Manager
ESTEC MR, Noordwijk, The Netherlands
EVALUATION OF OXYGEN INTERACTION WITH MATERIALS/TWO PHASE
MOUNTING PLATE EXPERIMENT (EOIM-III/TEMP 2A-3)
EOIM
The Evaluation of Atomic Oxygen Interactions with
Materials (EOIM) payload will obtain accurate reaction rate
measurements of the interaction of space station materials with
atomic oxygen. It also will measure the local Space Shuttle
environment, ambient atmosphere and interactions between the
two. This will improve the understanding of the effect of the
Shuttle environment on Shuttle and payload operations and will
update current models of atmospheric composition. EOIM also
will assess the effects of environmental and material
parameters on reaction rates.
To make these measurements, EOIM will use an ion-neutral
mass spectrometer to obtain aeronomy measurements and to study
atom-surface interaction products. The package also provides a
mass spectrometer rotating carousel system containing RmodeledS
polymers for mechanistic studies. EOIM also will study the
effects of mechanical stress on erosion rates of advanced
composites and the effects of temperature on reaction rates of
disk specimens and thin films. Energy accommodations on
surfaces and surface-atom emission characteristics concerning
surface recession will be measured using passive
scatterometers. The payload also will assess solar ultraviolet
radiation reaction rates.
The environment monitor package will be activated pre-
launch, while the remainder of the payload will be activated
after payload bay door opening. Experiment measurements will
be made throughout the flight, and the package will be powered
down during de-orbit preparations.
TEMP
The Two Phase Mounting Plate Experiment (TEMP 2A-3) has
two-phase mounting plates, an ammonia reservoir, mechanical
pumps, a flowmeter, radiator and valves, and avionics
subsystems. The TEMP is a two-phase thermal control system
that utilizes vaporization to transport large amounts of heat
over large distances. The technology being tested by TEMP is
needed to meet the increased thermal control requirements of
space station. The TEMP experiment will be the first
demonstration of a mechanically pumped two-phase ammonia
thermal control system in microgravity. It also will evaluate
a propulsion-type fluid management reservoir in a two-phase
ammonia system, measure pressure drops in a two-phase fluid
line, evaluate the performance of a two-phase cold plate design
and measure heat transfer coefficients in a two-phase boiler
experiment. EOIM-III/TEMP 2A-3 are integrated together on a
MPESS payload carrier in the payload bay.
EOIM 111/TEMP 2A
CONSORTIUM FOR MATERIALS DEVELOPMENT IN SPACE COMPLEX
AUTONOMOUS PAYLOAD (CONCAP)
The Consortium for Materials Development in Space Complex
Autonomous Payload (CONCAP) is sponsored by NASA's Office of
Commercial Programs (OCP). On STS-46, two CONCAP payloads
(CONCAP-II and -III) will be flown in 5-foot cylindrical GAS
(Get Away Special) canisters.
CONCAP-II is designed to study the changes that materials
undergo in low-Earth orbit. This payload involves two types of
experiments to study the surface reactions resulting from
exposing materials to the atomic oxygen flow experienced by the
Space Shuttle in orbit. The atomic oxygen flux level also will
be measured and recorded. The first experiment will expose
different types of high temperature superconducting thin films
to the 5 electron volt atomic oxygen flux to achieve improved
properties. Additional novel aspects of this experiment are
that a subset of the materials samples will be heated to 320
degrees Celsius (the highest temperature used in space), and
that the material resistance change of 24 samples will be
measured on-orbit.
For the second CONCAP-II experiment, the surface of
different passive materials will be exposed (at ambient and
elevated temperatures) to hyperthermal oxygen flow. This
experiment will enable enhanced prediction of materials
degradation on spacecraft and solar power systems. In
addition, this experiment will test oxidation-resistant
coatings and the production of surfaces for commercial use,
development of new materials based on energetic molecular beam
processing and development of an accurate data base on
materials reaction rates in orbit.
CONCAP-III is designed to measure and record absolute
accelerations (microgravity levels) in one experiment and to
electroplate pure nickel metal and record the conditions
(temperature, voltage and current) during this process in
another experiment. Items inside the orbiter experience
changes in acceleration when various forces are applied to the
orbiter, including thruster firing, crew motion and for STS-46,
tethered satellite operations. By measuring absolute
accelerations, CONCAP-III can compare the measured force that
the orbiter undergoes during satellite operations with
theoretical calculations. Also, during accelerations
measurements, CONCAP-III can gather accurate acceleration data
during the electroplating experiments.
The second CONCAP-III experiment is an electroplating
experiment using pure nickel metal. This experiment will
obtain samples for analysis as part of a study of microgravity
effects on electroplating. Materials electroplated in low
gravity tend to have different structures than materials
electroplated on Earth. Electroplating will be performed
before and during the tethered satellite deployment to study
the differences that occur for different levels of
accelerations.
The CONCAP-II and -III experiments are managed and
developed by the Consortium for Materials Development in Space,
a NASA Center for the Commercial Development of Space at the
University of Alabama in Huntsville (UAH). Payload integration
and flight hardware management is handled by NASA's Goddard
Space Flight Center, Greenbelt, Md.
Dr. John C. Gregory and Jan A. Bijvoet of UAH are
Principal investigator and payload manager, respectively, for
CONCAP-II. For CONCAP-III, principal investigator for the
acceleration experiment is Bijvoet, principal investigator for
the electrodeposition (electroplating) is Dr. Clyde Riley, also
of UAH, and payload manager is George W. Maybee of McDonnell
Douglas Space Systems Co., Huntsville, Ala.
LIMITED DURATION SPACE ENVIRONMENT CANDIDATE MATERIALS EXPOSURE
(LDCE)
The first of the Limited Duration Space Environment
Candidate Materials Exposure (LDCE) payload series is sponsored
by NASA's Office of Commercial Programs (OCP). The LDCE
project on STS-46 represents an opportunity to evaluate
candidate space structure materials in low-Earth orbit.
The objective of the project is to provide engineering and
scientific information to those involved in materials selection
and development for space systems and structures. By exposing
such materials to representative space environments, an
analytical model of the performance of these materials in a
space environment can be obtained.
The LDCE payload consists of three separate experiments,
LDCE-1, -2 and -3, which will examine the reaction of 356
candidate materials to at least 40 hours exposure in low-Earth
orbit. LDCE-1 and -2 will be housed in GAS (Get Away Special)
canisters with motorized door assemblies. LDCE-3 will be
located on the top of the GAS canister used for CONCAP-III.
Each experiment has a 19.65-inch diameter support disc with a
15.34-inch diameter section which contains the candidate
materials. The support disc for LDCE-3 will be continually
exposed during the mission, whereas LDCE-1 and -2 will be
exposed only when the GAS canisters' doors are opened by a crew
member. Other than opening and closing the doors, LDCE payload
operations are completely passive. The doors will be open once
the Shuttle achieves orbit and will be closed periodically
during Shuttle operations, such as water dumps, jet firings and
changes in attitude.
Two primary commercial goals of the flight project are to
identify environmentally-stable structural materials to support
continued humanization and commercialization of the space
frontier and to establish a technology base to service growing
interest in space materials environmental stability.
LDCE
The LDCE payload is managed and developed by the Center
for Materials on Space Structures, a NASA Center for the
Commercial Development of Space at Case Western Reserve
University (CWRU) in Cleveland. Dr. John F. Wallace, Director
of Space Flight Programs at CWRU, is lead Investigator. Dawn
Davis, also of CWRU, is program manager.
PITUITARY GROWTH HORMONE CELL FUNCTION (PHCF)
Principal Investigator:
Dr. W.C. Hymer
The Pennsylvania State University, University Park, Pa.
The Pituitary Growth Hormone Cell Function (PHCF)
experiment is a middeck-locker rodent cell culture experiment.
It continues the study of the influence of microgravity on
growth hormone secreted by cells isolated from the brain's
anterior pituitary gland.
PHCF is designed to study whether the growth hormone-
producing cells of the pituitary gland have an internal gravity
sensor responsible for the decreased hormone release observed
following space flight. This hormone plays an important role
in muscle metabolism and immune-cell function as well as in the
growth of children. Growth hormone production decreases with
age. The decline is thought to play an important role in the
aging process.
The decreased production of biologically active growth
hormone seen during space flight could be a factor in the loss
of muscle and bone strength and the decreased immune response
observed in astronauts following space flight. If the two are
linked, PHCF might identify mechanisms for providing
countermeasures for astronauts on long space missions. It also
may lead to increased understanding of the processes underlying
human muscle degeneration as people age on Earth.
The PHCF experiment uses cultures of living rat pituitary
cells. These preparations will be placed in 165 culture vials
carried on the Shuttle's middeck in an incubator. After the
flight, the cells will be cultured and their growth hormone
output assayed.
IMAX CARGO BAY CAMERA (ICBC)
The IMAX Cargo Bay Camera (ICBC) is aboard STS-46 as part
of NASA's continuing collaboration with the Smithsonian
Institution in the production of films using the IMAX system.
This system, developed by IMAX Corp., Toronto, Canada, uses
specially-designed 70 mm film cameras and projectors to produce
very high definition motion picture images which, accompanied
by six channel high fidelity sound, are displayed on screens up
to ten times the size used in conventional motion picture
theaters.
PHCF
ICBC
"The Dream is Alive" and "Blue Planet," earlier products of
this collaboration, have been enjoyed by millions of people
around the world. On this flight, the camera will be used
primarily to cover the EURECA and Tether Satellite operations,
plus Earth scenes as circumstances permit. The footage will be
used in a new film dealing with our use of space to gain new
knowledge of the universe and the future of mankind in space.
Production of these films is sponsored by the Lockheed
Corporation.
AIR FORCE MAUI OPTICAL SYSTEM (AMOS)
The Air Force Maui Optical System (AMOS) is an electrical-
optical facility located on the Hawaiian island of Maui. The
facility tracks the orbiter as it flies over the area and
records signatures from thruster firings, water dumps or the
phenomena of shuttle glow, a well-documented glowing effect
around the shuttle caused by the interaction of atomic oxygen
with the spacecraft.
The information obtained is used to calibrate the infrared
and optical sensors at the facility. No hardware onboard the
shuttle is needed for the system.
ULTRAVIOLET PLUME EXPERIMENT
The Ultraviolet Plume Experiment (UVPI) is an instrument
on the Low-Power Atmospheric Compensation Experiment (LACE)
satellite launched by the Strategic Defense Initiative
Organization in February 1990. LACE is in a 43-degree
inclination orbit of 290 n.m. Imagery of Columbia's engine
firings or attitude control system firings will be taken on a
non-interference basis by the UVPI whenever an opportunity is
available during the STS-46 mission.
STS-46 CREW BIOGRAPHIES
Loren J. Shriver, 47, Col., USAF, will serve as commander
of STS-46. Selected as an astronaut in January 1978, Shriver
considers Paton, Iowa, his hometown and will be making his
third space flight.
Shriver graduated from Paton Consolidated High School,
received a bachelor's in aeronautical engineering from the Air
Force Academy and received a master's in aeronautical
engineering from Purdue University.
Shriver was pilot of STS-51C in January 1985, a Department
of Defense-dedicated shuttle flight. He next flew as commander
of STS-31 in April 1990, the mission that deployed the Hubble
Space Telescope. Shriver has logged more than 194 hours in
space.
Andrew M. Allen, 36, Major, USMC, will serve as pilot.
Selected as an astronaut in June 1987, Allen was born in
Philadephia, Pa., and will be making his first space flight.
Allen graduated from Archbishop Wood High School in
Warminster, Pa., in 1973 and received a bachelor's in
mechanical engineering from Villanova University in 1977.
Allen was commissioned in the Marine Corps in 1977.
Following flight school, he was assigned to fly the F-4 Phantom
at the Marine Corps Air Station in Beaufort, S.C. He graduated
from the Navy Test Pilot School in 1987 and was a test pilot
under instruction at the time of his selection by NASA. He has
logged more than 3,000 flying hours in more than 30 different
types of aircraft.
Claude Nicollier, 47, will be Mission Specialist 1 (MS1).
Under an agreement between the European Space Agency and NASA,
he was selected as an astronaut in 1980. Nicollier was born in
Vevey, Switzerland, and will be making his first space flight.
Nicollier graduated from Gymnase de Lausanne, Lausanne,
Switzerland, received a bachelor's in physics from the
University of Lausanne and received a master's in astrophysics
from the University of Geneva.
In 1976, he accepted a fellowship at ESA's Space Science
Dept., working as a research scientist in various airborne
infrared astronomy programs. In 1978, he was selected by ESA
as one of three payload specialist candidates for the Spacelab-
1 shuttle mission, training at NASA for 2 years as an
alternate. In 1980, he began mission specialist training.
Nicollier graduated from the Empire Test Pilot School, Boscombe
Down, England, in 1988, and holds a commission as Captain in
the Swiss Air Force. He has logged more than 4,300 hours
flying time, 2,700 in jet aircraft.
Marsha S. Ivins, 41, will be Mission Specialist 2 (MS2).
Selected as an astronaut in 1984, Ivins was born in Baltimore,
Md., and will be making her second space flight.
Ivins graduated from Nether Providence High School,
Wallingford, Pa., and received a bachelor's in aerospace
engineering from the University of Colorado.
Ivins joined NASA shortly after graduation and was
employed at the Johnson Space Center as an engineer in the Crew
Station Design Branch until 1980. she was assigned as a flight
simulation engineer aboard the Shuttle Training Aircraft and
served as co-pilot of the NASA administrative aircraft.
She first flew on STS-32 in January 1990, a mission that
retrieved the Long Duration Exposure Facility (LDEF). She has
logged more than 261 hours in space.
Jeffrey A. Hoffman, 47, will be Mission Specialist 3 (MS3)
and serve as Payload Commander. Selected as an astronaut in
January 1978, Hoffman considers Scarsdale, N.Y., his hometown
and will be making his third space flight.
Hoffman graduated from Scarsdale High School, received a
bachelor's in astronomy from Amherst College, received a
doctorate in astrophysics from Harvard University and received
a master's in materials science from Rice University.
Hoffman first flew on STS-51D in April 1985, a mission
during which he performed a spacewalk in an attempt to rescue a
malfunctioning satellite. He next flew on STS-35 in December
1990, a mission carrying the ASTRO-1 astronomy laboratory.
Franklin R. Chang-Diaz will be Mission Specialist 4 (MS4).
Selected as an astronaut in May 1980, Chang-Diaz was born in
San Jose, Costa Rica, and will be making his third space
flight.
Chang-Diaz graduated from Colegio De La Salle in San Jose
and from Hartford High School, Hartford, Ct.; received a
bachelor's in mechanical engineering from the University of
Connecticut and received a doctorate in applied physics from
the Massachusetts Institute of Technology.
Chang-Diaz first flew on STS-61C in January 1986, a
mission that deployed the SATCOM KU satellite. He next flew on
STS-34 in October 1989, the mission that deployed the Galileo
spacecraft to explore Jupiter. Chang-Diaz has logged more than
265 hours in space.
Franco Malerba, 46, will serve as Payload Specialist 1
(PS1). An Italian Space Agency payload specialist candidate,
Malerba was born in Genova, Italy, and will be making his first
space flight.
Malerba graduated from Maturita classica in 1965, received
a bachelor's degree in electrical engineering from the
University of Genova in 1970 and received a doctorate in
physics from the University of Genova in 1974.
From 1978-1980, he was a staff member of the ESA Space
Science Dept., working on the development and testing of an
experiment in space plasma physics carried aboard the first
shuttle Spacelab flight. From 1980-1989, he has held various
technical and management positions with Digital Equipment Corp.
in Europe, most recently as senior telecommunications
consultant at the European Technical Center in France. Malerba
is a founding member of the Italian Space Society.
MISSION MANAGEMENT FOR STS-46
NASA HEADQUARTERS, WASHINGTON, D.C.
Office of Space Flight
Jeremiah W. Pearson III - Associate Administrator
Brian O'Connor - Deputy Associate Administrator
Tom Utsman - Director, Space Shuttle
Office of Space Science
Dr. Lennard A. Fisk - Associate Administrator, Office of Space Science
and Applications
Alphonso V. Diaz - Deputy Associate Administrator, Office of Space Science
and Applications
George Withbroe - Director, Space Physics Division
R.J. Howard - TSS-1 Science Payload Program Manager
Office of Commercial Programs
John G. Mannix - Assistant Administrator
Richard H. Ott - Director, Commercial Development Division
Garland C. Misener - Chief, Flight Requirements and Accommodations
Ana M. Villamil - Program Manager, Centers for the Commercial Development
of Space Office of Safety and Mission Quality
Col. Federick Gregory - Associate Administrator
Dr. Charles Pellerin, Jr. - Deputy Associate Administrator
Richard Perry - Director, Programs Assurance
KENNEDY SPACE CENTER, FLA.
Robert L. Crippen - Director
James A. "Gene" Thomas - Deputy Director
Jay F. Honeycutt - Director, Shuttle Management and Operations
Robert B. Sieck - Launch Director
Conrad G. Nagel - Atlantis Flow Director
J. Robert Lang - Director, Vehicle Engineering
Al J. Parrish - Director of Safety Reliability and Quality Assurance
John T. Conway - Director, Payload Management and Operations
P. Thomas Breakfield - Director, Shuttle Payload Operations
Joanne H. Morgan - Director, Payload Project Management
Robert W. Webster - STS-46 Payload Processing Manager
MARSHALL SPACE FLIGHT CENTER, HUNTSVILLE, ALA.
Thomas J. Lee - Director
Dr. J. Wayne Littles - Deputy Director
Harry G. Craft - Manager, Payload Projects Office
Billy Nunley - TSS-1 Mission Manager
Dr. Nobie Stone - TSS-1 Mission Scientist
Alexander A. McCool - Manager, Shuttle Projects Office
Dr. George McDonough - Director, Science and Engineering
James H. Ehl - Director, Safety and Mission Assurance
Otto Goetz - Manager, Space Shuttle Main Engine Project
Victor Keith Henson - Manager, Redesigned Solid Rocket Motor Project
Cary H. Rutland - Manager, Solid Rocket Booster Project
Gerald C. Ladner - Manager, External Tank Project
JOHNSON SPACE CENTER, HOUSTON, TEX.
Paul J. Weitz - Director (Acting)
Paul J. Weitz - Deputy Director
Daniel Germany - Manager, Orbiter and GFE Projects
Donald R. Puddy - Director, Flight Crew Operations
Eugene F. Krantz - Director, Mission Operations
Henry O. Pohl - Director, Engineering
Charles S. Harlan - Director, Safety, Reliability and Quality Assurance
STENNIS SPACE CENTER, BAY ST. LOUIS, MISS.
Roy S. Estess - Director
Gerald Smith - Deputy Director
J. Harry Guin - Director, Propulsion Test Operations
AMES-DRYDEN FLIGHT RESEARCH FACILITY, EDWARDS, CALIF.
Kenneth J. Szalai - Director
T. G. Ayers - Deputy Director
James R. Phelps - Chief, Space Support Office
AMES RESEARCH CENTER, MOUNTAIN VIEW, CALIF.
Dr. Dale L. Compton Director
Victor L. Peterson Deputy Director
Dr. Steven A. Hawley Associate Director
Dr. Joseph C. Sharp Director, Space Research
| en |
all-txt-docs | 357595 | Date: Wed, 27 May 1998 00:18:59 -0700
From: wallison@dhivehinet.net.mv (William Allison)
Subject: Re: Coral Bleaching -- MALDIVES
I was in the water near Male today, inside atoll lagoon
south end of atoll and temperature was, as near as I could
read it, 30.8 at 10 m and surface until the end of dive, then
it reached 31.0 - probably effect of water coming off the
lagoon. Given reading error on a calibrated mercury lab
thermometer, 31 is the call. Corals here look a little better
than earlier, but its a tough call at this point in time. Heavy
cloud all day and strong winds and rain tonight, along with
the Return of the Jedi (I think) on TV Maldives, all in all,
exciting times, non?
....and a bit later on the 27th...
On the 24th in a channel on the east side of South Male Atoll,
current running strong into the lagoon and being forced up
over the reef, miserable survey conditions I can assure you,
the temperature over the reef was 30.5, just beside was 30.0
and in the turblent flow encountered in the channel when I
swam clear of the reef, 29.5. How's that for fit?
William R. Allison (Bill)
Ma. Maadheli
Majeedhee Magu
Male 20-03
MALDIVES
e-mail: wallison@dhivehinet.net.mv
| en |
converted_docs | 977455 | 217/782-2113
CLEAN AIR ACT PERMIT PROGRAM (CAAPP) PERMIT
[`PERMITTEE`]{.underline}
Navistar International Transportation Corp.
Attn.: Jerry G. Mittlestaedt
10400 West North Avenue
Melrose Park, Illinois 60160
[`Application No.`]{.underline}`: 95080106`` `` `` `[`I.D. No.`]{.underline}`: 031186ABK`
[`Applicant``’``s Designation`]{.underline}`:`` `` `` `[`Date Received`]{.underline}`: August 25, 1995`
[`Operation of`]{.underline}`: Diesel Engine Manufacturing`
[`Date Issued`]{.underline}`:`` `` `` `` `` `[`Expiration Date`]{.underline}`:`
[`Source Location`]{.underline}`: 10400 West North Avenue, Melrose Park, Cook County`
[`Responsible Official`]{.underline}`: Edward J. Anesi, Plant Manager`
This permit is hereby granted to the above-designated Permittee to operate a Diesel Engine Manufacturing Plant, pursuant to the above referenced permit application. This permit is subject to the conditions contained herein.
If you have any questions concerning this permit, please contact Robert Bernoteit at 217/782-2113.
Donald E. Sutton, P.E.
Manager, Permit Section
Division of Air Pollution Control
DES:RWB:psj
cc: Illinois EPA, FOS, Region 1
USEPA
TABLE OF CONTENTS
<table>
<tbody>
<tr class="odd">
<td></td>
<td></td>
<td><p><u><code>PAGE</code></u></p></td>
<td></td>
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<td></td>
<td><p><code>1.0</code></p></td>
<td><p><code>SOURCE IDENTIFICATION</code></p></td>
<td><p><code> 4</code></p></td>
<td></td>
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<td><p><code>1.1</code></p></td>
<td><p><code>Source</code></p></td>
<td></td>
<td></td>
<td><p><code>1.2</code></p></td>
<td><p><code>Owner/Parent Company</code></p></td>
<td></td>
<td></td>
<td><p><code>1.3</code></p></td>
<td><p><code>Operator</code></p></td>
<td></td>
<td></td>
<td><p><code>1.4</code></p></td>
<td><p><code>General Source Description</code></p></td>
<td></td>
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<td></td>
<td></td>
<td><p><code>2.0</code></p></td>
<td><p><code>LIST OF ABBREVIATIONS/ACRONYMS USED IN THIS PERMIT</code></p></td>
<td><p><code> 5</code></p></td>
<td></td>
<td></td>
<td></td>
<td><p><code>3.0</code></p></td>
<td><p><code>INSIGNIFICANT ACTIVITIES</code></p></td>
<td><p><code> 7</code></p></td>
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<td></td>
<td></td>
<td></td>
<td><p><code>3.1</code></p></td>
<td><p><code>Identification of Insignificant Activities</code></p></td>
<td></td>
<td></td>
<td><p><code>3.2</code></p></td>
<td><p><code>Addition of Insignificant Activities</code></p></td>
<td></td>
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<td></td>
<td><p><code>4.0</code></p></td>
<td><p><code>SIGNIFICANT EMISSION UNITS AT THIS SOURCE</code></p></td>
<td><p><code>10</code></p></td>
<td></td>
<td></td>
<td></td>
<td><p><code>5.0</code></p></td>
<td><p><code>OVERALL SOURCE CONDITIONS</code></p></td>
<td><p><code>14</code></p></td>
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<td></td>
<td><p><code>5.1</code></p></td>
<td><p><code>Source Description</code></p></td>
<td></td>
<td></td>
<td><p><code>5.2</code></p></td>
<td><p><code>Applicable Regulations</code></p></td>
<td></td>
<td></td>
<td><p><code>5.3</code></p></td>
<td><p><code>Non-Applicability of Regulations of Concern</code></p></td>
<td></td>
<td></td>
<td><p><code>5.4</code></p></td>
<td><p><code>Source-Wide Operational and Production Limits and Work Practices</code></p></td>
<td></td>
<td></td>
<td><p><code>5.5</code></p></td>
<td><p><code>Source-Wide Emission Limitations</code></p></td>
<td></td>
<td></td>
<td><p><code>5.6</code></p></td>
<td><p><code>General Recordkeeping Requirements</code></p></td>
<td></td>
<td></td>
<td><p><code>5.7</code></p></td>
<td><p><code>General Reporting Requirements</code></p></td>
<td></td>
<td></td>
<td><p><code>5.8</code></p></td>
<td><p><code>General Operational Flexibility/ Anticipated Operating Scenarios</code></p></td>
<td></td>
<td></td>
<td><p><code>5.9</code></p></td>
<td><p><code>General Compliance Procedures</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
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</tr>
<tr class="even">
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<td></td>
<td><p><code>6.0</code></p></td>
<td><p><code>EMISSION REDUCTION MARKET SYSTEM (ERMS)</code></p></td>
<td><p><code>20</code></p></td>
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<td></td>
<td><p><code>6.1</code></p></td>
<td><p><code>Description of ERMS</code></p></td>
<td></td>
<td></td>
<td><p><code>6.2</code></p></td>
<td><p><code>Applicability</code></p></td>
<td></td>
<td></td>
<td><p><code>6.3</code></p></td>
<td><p><code>Obligation to Hold Allotment Trading Units (ATUs)</code></p></td>
<td></td>
<td></td>
<td><p><code>6.4</code></p></td>
<td><p><code>Market Transaction</code></p></td>
<td></td>
<td></td>
<td><p><code>6.5</code></p></td>
<td><p><code>Emission Excursion Compensation</code></p></td>
<td></td>
<td></td>
<td><p><code>6.6</code></p></td>
<td><p><code>Quantification of Seasonal VOM Emissions</code></p></td>
<td></td>
<td></td>
<td><p><code>6.7</code></p></td>
<td><p><code>Annual Account Reporting</code></p></td>
<td></td>
<td></td>
<td><p><code>6.8</code></p></td>
<td><p><code>Allotment of ATUs to the Source</code></p></td>
<td></td>
<td></td>
<td><p><code>6.9</code></p></td>
<td><p><code>Recordkeeping for ERMS</code></p></td>
<td></td>
<td></td>
<td><p><code>6.10</code></p></td>
<td><p><code>Federal Enforceability</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
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<tr class="even">
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<td></td>
<td><p><code>7.0</code></p></td>
<td><p><code>UNIT SPECIFIC CONDITIONS</code></p></td>
<td><p><code>26</code></p></td>
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<tr class="even">
<td></td>
<td><p><code>7.1</code></p></td>
<td><p><code>Unit PB1</code><code> </code><code>Paint Booth #1</code></p>
<p><code>Control WC1</code><code> </code><code>Water Curtain</code></p></td>
<td></td>
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<tr class="odd">
<td></td>
<td></td>
<td></td>
<td><p><u><code>PAGE</code></u></p></td>
<td></td>
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<td></td>
<td><p><code>7.2</code></p></td>
<td><p><code>Unit PB2</code><code> </code><code>Paint Booth #2</code></p>
<p><code>Control WC2</code><code> </code><code>Water Curtain</code></p></td>
<td></td>
<td><p><code>7.3</code></p></td>
<td><p><code>Unit DOO</code><code> </code><code>Dry-Off Oven</code></p></td>
<td></td>
<td><p><code>7.4</code></p></td>
<td><p><code>Unit 2SDO</code><code> </code><code>Two Stage Drying Oven</code></p></td>
<td></td>
<td><p><code>7.5</code></p></td>
<td><p><code>Units B1, B2, & B3</code><code> </code><code>Boilers #1, #2, and #3</code></p></td>
<td></td>
<td><p><code>7.6</code></p></td>
<td><p><code>Unit NGDDF</code><code> </code><code>NGD Crankshaft Draw Furnace</code></p></td>
<td></td>
<td><p><code>7.7</code></p></td>
<td><p><code>Units SH</code><code> </code><code>41 Space Heaters</code></p></td>
<td></td>
<td><p><code>7.8</code></p></td>
<td><p><code>Units ETC</code><code> </code><code>79 Engine Test Cells</code></p></td>
<td></td>
<td><p><code>7.9</code></p></td>
<td><p><code>Unit COGEN</code><code> </code><code>Cogeneration System</code></p>
<p><code>Control C3</code><code> </code><code>3-Way Catalytic Converters</code></p></td>
<td></td>
<td><p><code>7.10</code></p></td>
<td><p><code>Units EETC</code><code> </code><code>15 Engineering Engine Test Cells</code></p></td>
<td></td>
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<td><p><code>8.0</code></p></td>
<td><p><code>GENERAL PERMIT CONDITIONS</code></p></td>
<td><p><code>81</code></p></td>
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<td><p><code>8.1</code></p></td>
<td><p><code>Permit Shield</code></p></td>
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<td></td>
<td><p><code>8.2</code></p></td>
<td><p><code>Applicability of Title IV Requirements </code></p></td>
<td></td>
<td></td>
<td><p><code>8.3</code></p></td>
<td><p><code>Emissions Trading Programs</code></p></td>
<td></td>
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<td><p><code>8.4</code></p></td>
<td><p><code>Operational Flexibility/Anticipated Operating Scenarios</code></p></td>
<td></td>
<td></td>
<td><p><code>8.5</code></p></td>
<td><p><code>Testing Procedures</code></p></td>
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<td><p><code>8.6</code></p></td>
<td><p><code>Reporting Requirements</code></p></td>
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<td><p><code>9.0</code></p></td>
<td><p><code>STANDARD PERMIT CONDITIONS</code></p></td>
<td><p><code>86</code></p></td>
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<td><p><code>9.1</code></p></td>
<td><p><code>Effect of Permit</code></p></td>
<td></td>
<td></td>
<td><p><code>9.2</code></p></td>
<td><p><code>General Obligations of Permittee</code></p></td>
<td></td>
<td></td>
<td><p><code>9.3</code></p></td>
<td><p><code>Obligation to Allow Illinois EPA Surveillance</code></p></td>
<td></td>
<td></td>
<td><p><code>9.4</code></p></td>
<td><p><code>Obligation to Comply with Other Requirements</code></p></td>
<td></td>
<td></td>
<td><p><code>9.5</code></p></td>
<td><p><code>Liability </code></p></td>
<td></td>
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<td><p><code>9.6</code></p></td>
<td><p><code>Recordkeeping</code></p></td>
<td></td>
<td></td>
<td><p><code>9.7</code></p></td>
<td><p><code>Annual Emissions Report</code></p></td>
<td></td>
<td></td>
<td><p><code>9.8</code></p></td>
<td><p><code>Requirement for Compliance Certification</code></p></td>
<td></td>
<td></td>
<td><p><code>9.9</code></p></td>
<td><p><code>Certification</code></p></td>
<td></td>
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<td><p><code>9.10</code></p></td>
<td><p><code>Defense to Enforcement Actions</code></p></td>
<td></td>
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<td><p><code>9.11</code></p></td>
<td><p><code>Permanent Shutdown</code></p></td>
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<td><p><code>9.12</code></p></td>
<td><p><code>Reopening And Reissuing Permit For Cause</code></p></td>
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<td><p><code>9.13</code></p></td>
<td><p><code>Severability Clause</code></p></td>
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<td><p><code>9.14</code></p></td>
<td><p><code>Permit Expiration and Renewal</code></p></td>
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<td><p><code>10.0</code></p></td>
<td><p><code>ATTACHMENTS</code></p></td>
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<td><p><code>10.1</code></p></td>
<td><p><code>Attachment </code><code>1 - </code><code>Emissions of Particulate Matter from New Process Emission Units</code></p></td>
<td><p><code>1-1</code></p></td>
<td></td>
<td><p><code>10.2</code></p></td>
<td><p><code>Attachment </code><code>2 - </code><code>Emissions of Particulate Matter from Existing Process Emission Units</code></p></td>
<td><p><code>2-1</code></p></td>
<td></td>
<td><p><code>10.3</code></p></td>
<td><p><code>Attachment 3 - Net VOM Emissions Increase Determination</code></p></td>
<td><p><code>3-1</code></p></td>
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<td><p><code>10.4</code></p></td>
<td><p><code>Attachment 4 - Example Certification by a Responsible Official</code></p></td>
<td><p><code>4-1</code></p></td>
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</table>
`1.0`` ``SOURCE IDENTIFICATION`
1.1 Source
Navistar International Transportation Corp.
10400 West North Avenue
Melrose Park, Illinois 60160
708/865-3729 or 708/865-4359
I.D. No.: 031186ABK
Standard Industrial Classification: 3519, Engines - Internal Combustion
1.2 Owner/Parent Company
Navistar International Transportation Corp.
455 North Cityfront Plaza Drive
Chicago, Illinois 60611
1.3 Operator
Navistar International Transportation Corp.
10400 West North Avenue
Melrose Park, Illinois 60160
Jerry G. Mittlestaedt or Sanjay Patel
708/865-3729 or 708/865-4359
1.4 General Source Description
Navistar International Transportation Corp. is located at 10400 West North Avenue in Melrose Park. The source is an assembly plant for diesel engines. After assembly each engine is tested for durability and performance in any of Navistar's 79 engine test cells. In addition, Navistar operates a cogeneration system to supply energy for peak demand periods at the plant.
`2.0`` ``LIST OF ABBREVIATIONS/ACRONYMS USED IN THIS PERMIT`
-------- ------------------------------------------------------- --------- -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ------- -------------------------- -------- ----------- ------- ------------------------ ------- -------------------------------------------------- --------- -------------------------------- ------- ------------------------------- ------ ------------------- -------- ------------------------------------ -------- --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ----- -------- ------- ---------- ------- ---------------------------- ------ -------------- ------ -------- ------- -------------------------------- ------------ ------------------------------------------------------------- ---------------- -------------------------------------------- -------- ------------------------------------ ------ ------------ ------ ------------ --------- ----------------- ----- --------- ------ --------- ------------ ---------------------- ------ ----------------------------- ---------- ---------------- ------ --------- ------ ------------ ---------- ------------------------------------------------------------ ----------- ------------------- -------- ------------------------------------ ------ ---------------------- ------------ --------------------------------------------------------------------------------------------------------------------------------------------------- ------- --------------------- ------- ------------------------------------------- ------- ------------------------------ ----------- ------------------ ----- ------- --------- ------------------------------------------------- ------- ----------------------------- ------ -------- ------ ----------
`ACMA` `Alternative Compliance Market Account`
`Act` `Environmental Protection Act [415 ILCS 5/1 et seq.]` `AP-42` `Compilation of Air Pollution Emission Factors, Volume 1, Stationary Point and Other Sources (and Supplements A through F), USEPA, Office of Air Quality Planning and Standards, Research Triangle Park, NC 27717` `ATU` `Allotment Trading Unit` `Ave.` `Average` `Btu` `British thermal unit` `CAA` `Clean Air Act [42 U.S.C. Section 7401 et seq.]` `CAAPP` `Clean Air Act Permit Program` `CFR` `Code of Federal Regulations` `CO` `Carbon Monoxide` `ERMS` `Emission Reduction Market System` `FIRE` `Factor Information Retrieval System, Version 5.0, Source Classification Codes and Emission Factor Listing for Criteria Air Pollutants (EPA-454/R-95-012), USEPA, Office of Air Quality Planning and Standards, Research Triangle Park, NC 27717` `g` `gram` `gal` `gallon` `HAP` `Hazardous Air Pollutants` `hp` `horsepower` `hr` `hour` `IAC` `Illinois Administrative Code` `I.D. No.` `Identification Number of Source, assigned by Illinois EPA` `Illinois EPA` `Illinois Environmental Protection Agency` `IPCT` `Industrial Process Cooling Tower` `kg` `kilogram` `kW` `kilowatt` `kW-hr` `kilowatt hour` `l` `liter` `lb` `pound` `Mft`^`3`^ `Million cubic feet` `Mg` `Metric Tonnes or Megagram` `mmBtu ` `Million Btus` `mo` `month` `MW` `Megawatt` `NESHAP` `National Emission Standards for Hazardous Air Pollutants` `NO`~`x`~ `Nitrogen Oxides` `NSPS` `New Source Performance Standards` `PM` `Particulate Matter` `PM`~`10`~ `Particulate matter with an aerodynamic diameter less than or equal to a nominal 10 microns as measured by applicable test or monitoring methods` `ppm` `parts per million` `PSD` `Prevention of Significant Deterioration` `SCC` `Source Classification Code` `SO`~`2`~ `Sulfur Dioxide` `T` `Ton` `USEPA` `United States Environmental Protection Agency` `VOM` `Volatile Organic Material` `wk` `week` `Wt` `Weight`
`yr` `year`
-------- ------------------------------------------------------- --------- -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ------- -------------------------- -------- ----------- ------- ------------------------ ------- -------------------------------------------------- --------- -------------------------------- ------- ------------------------------- ------ ------------------- -------- ------------------------------------ -------- --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ----- -------- ------- ---------- ------- ---------------------------- ------ -------------- ------ -------- ------- -------------------------------- ------------ ------------------------------------------------------------- ---------------- -------------------------------------------- -------- ------------------------------------ ------ ------------ ------ ------------ --------- ----------------- ----- --------- ------ --------- ------------ ---------------------- ------ ----------------------------- ---------- ---------------- ------ --------- ------ ------------ ---------- ------------------------------------------------------------ ----------- ------------------- -------- ------------------------------------ ------ ---------------------- ------------ --------------------------------------------------------------------------------------------------------------------------------------------------- ------- --------------------- ------- ------------------------------------------- ------- ------------------------------ ----------- ------------------ ----- ------- --------- ------------------------------------------------- ------- ----------------------------- ------ -------- ------ ----------
`3.0`` ``INSIGNIFICANT ACTIVITIES`
3.1 Identification of Insignificant Activities
The following activities at the source constitute insignificant activities as specified in 35 IAC 201.210:
3.1.1 Activities determined by the Illinois EPA to be insignificant activities, pursuant to 35 IAC 201.210(a)(1) and 201.211, as follows:
Wet Abrasive Saw
Wheelabrator with Dust Collector
Shot Blaster with Dust Collector
Carpenter Shop Woodworking Equipment with Rotoclones
NGD Machinery with Cycoils
Storage Tanks in Tank Farm Shed
Grinders with Rotoclones
Cooling Towers
Maintenance Paint Booth
Welding/Brazing
Three Stage Washer
3.1.2 Activities that are insignificant activities based upon maximum emissions, pursuant to 35 IAC 201.210(a)(2) or (a)(3), as follows:
Process Machinery with Mist Collectors
Parts Washers
Maintenance Welding
3.1.3 Activities that are insignificant activities based upon their type or character, pursuant to 35 IAC 201.210(a)(4) through (18), as follows:
Direct combustion units designed and used for comfort heating purposes and fuel combustion emission units as follows: (A) Units with a rated heat input capacity of less than 2.5 mmBtu/hr that fire only natural gas, propane, or liquefied petroleum gas; (B) Units with a rated heat input capacity of less than 1.0 mmBtu/hr that fire only oil or oil in combination with only natural gas, propane, or liquefied petroleum gas; and (C) Units with a rated heat input capacity of less than 200,000 Btu/hr which never burn refuse, or treated or chemically contaminated wood [35 IAC 201.210(a)(4)].
Extruders used for the extrusion of metals, minerals, plastics, rubber, or wood, excluding extruders used in the manufacture of polymers, provided that volatile organic materials or class I or II substances subject to the requirements of Title VI of the CAA are not used as foaming agents or release agents or were not used as foaming agents in the case of extruders processing scrap material [35 IAC 201.210(a)(5)].
Equipment used for filling drums, pails, or other packaging containers, excluding aerosol cans, with soaps, detergents, surfactants, lubricating oils, waxes, vegetable oils, greases, animal fats, glycerin, sweeteners, corn syrup, aqueous salt solutions, or aqueous caustic solutions [35 IAC 201.210(a)(8)].
Storage tanks of organic liquids with a capacity of less than 10,000 gallons and an annual throughput of less than 100,000 gallons per year, provided the storage tank is not used for the storage of gasoline or any material listed as a HAP pursuant to Section 112(b) of the CAA [35 IAC 201.210(a)(10)].
Storage tanks of any size containing virgin or re-refined distillate oil, hydrocarbon condensate from natural gas pipeline or storage systems, lubricating oil, or residual fuel oils [35 IAC 201.210(a)(11)].
Loading and unloading systems for railcars, tank trucks, or watercraft that handle only the following liquid materials, provided an organic solvent has not been mixed with such materials: soaps, detergents, surfactants, lubricating oils, waxes, glycerin, vegetable oils, greases, animal fats, sweetener, corn syrup, aqueous salt solutions, or aqueous caustic solutions [35 IAC 201.210(a)(18)].
3.1.4 Activities that are considered insignificant activities pursuant to 35 IAC 201.210(b).
3.2 Addition of Insignificant Activities
3.2.1 The Permittee is not required to notify the Illinois EPA of additional insignificant activities present at the source of a type that is identified in Condition 3.1, until the renewal application for this permit is submitted, pursuant to 35 IAC 201.212(a).
3.2.2 The Permittee must notify the Illinois EPA of any proposed addition of a new insignificant activity of a type addressed by 35 IAC 201.210(a)and 201.211 other than those identified in Condition 3.1, pursuant to Section 39.5(12)(b) of the Act.
3.2.3 The Permittee is not required to notify the Illinois EPA of additional insignificant activities present at the source of a type identified in 35 IAC 201.210(b).
`4.0`` ``SIGNIFICANT EMISSION UNITS AT THIS SOURCE`
<table>
<tbody>
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<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Date</code></p>
<p><code>Constructed</code></p></td>
<td><p><code>Emission Control </code></p>
<p><code>Equipment</code></p></td>
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<td><p><code>PB1</code></p></td>
<td><p><code>Binks Paint Spray Booth (Paint Booth #1)</code></p></td>
<td><p><code>Prior to 1970</code></p></td>
<td><p><code>Water Curtain</code></p></td>
<td><p><code>PB2</code></p></td>
<td><p><code>George Koch & Sons, Inc. Paint Spray Booth (Paint Booth #2)</code></p></td>
<td><p><code>February, 1995</code></p></td>
<td><p><code>Water Curtain</code></p></td>
<td><p><code>DOO</code></p></td>
<td><p><code>George Koch & Sons, Inc. Dry-Off Oven (Dry-Off Oven)</code></p></td>
<td><p><code>February, 1995</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>2SDO</code></p></td>
<td><p><code>George Koch & Sons, Inc. Two Stage Drying Oven (Two Stage Drying Oven)</code></p></td>
<td><p><code>February, 1995</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>B1</code></p></td>
<td><p><code>Stone Johnson Boiler (Boiler #1)</code></p></td>
<td><p><code>October, 1988</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>B2</code></p></td>
<td><p><code>Stone Johnson Boiler (Boiler #2)</code></p></td>
<td><p><code>October, 1988</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>B3</code></p></td>
<td><p><code>Stone Johnson Boiler (Boiler #3)</code></p></td>
<td><p><code>October, 1988</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>NGDDF</code></p></td>
<td><p><code>Lanley Draw Furnace (NGD Crankshaft Draw Furnace)</code></p></td>
<td><p><code>April, 1992</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>L-3</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>L-6</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>L-9</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>L-13</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>BB-3</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>BB-8</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>BB-12</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>N-18</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
</tr>
<tr class="odd">
<td><p><code>G-12</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Date</code></p>
<p><code>Constructed</code></p></td>
<td><p><code>Emission Control </code></p>
<p><code>Equipment</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><code>G-8</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>G-4</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater (8.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>BB-7</code></p></td>
<td><p><code>Rapid Model SR66 Natural Gas Fired Space Heater (6.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>B-23</code></p></td>
<td><p><code>Rapid Model 3060 Natural Gas Fired Space Heater (4.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>10-E</code></p></td>
<td><p><code>Rapid Model 3049 Natural Gas Fired Space Heater (3.25 mmBtu/hr)</code></p></td>
<td><p><code>November, 1987</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>A-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>C-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>D-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>E-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>F-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>G-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>H-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>I-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>A-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><code>B-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Date</code></p>
<p><code>Constructed</code></p></td>
<td><p><code>Emission Control </code></p>
<p><code>Equipment</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><code>C-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>E-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>F-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>G-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>I-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>G-24</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>K-15</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>K-18</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>May, 1971</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>AA-21-3</code></p></td>
<td><p><code>Hartzell Model G-2512 Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>November, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>AA-21-4</code></p></td>
<td><p><code>Hartzell Model G-2512 Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>November, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>D-2</code></p></td>
<td><p><code>Hartzell Model G-259 Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>November, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>H-2</code></p></td>
<td><p><code>Hartzell Model G-259 Natural Gas Fired Space Heater (2.5 mmBtu/hr)</code></p></td>
<td><p><code>November, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>L-9</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater (5.2 mmBtu/hr)</code></p></td>
<td><p><code>January, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>AA-17</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater (5.2 mmBtu/hr)</code></p></td>
<td><p><code>January, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><code>L-13-0</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater (5.2 mmBtu/hr)</code></p></td>
<td><p><code>January, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Date</code></p>
<p><code>Constructed</code></p></td>
<td><p><code>Emission Control </code></p>
<p><code>Equipment</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><code>L-13-3</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater (5.2 mmBtu/hr)</code></p></td>
<td><p><code>January, 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>ETC</code></p></td>
<td><p><code>79 Navistar International Transportation Corp. Engine Test Cells</code></p></td>
<td><p><code>Prior to 1970</code></p></td>
<td><p><code>None</code></p></td>
<td><p><code>COGEN</code></p></td>
<td><p><code>12 Caterpillar Model G3516SITA Natural Gas Spark Ignition Reciprocating Engines</code></p></td>
<td><p><code>July, 1992</code></p></td>
<td><p><code>3-Way Catalytic Converters (12)</code></p></td>
<td><p><code>EETC</code></p></td>
<td><p><code>15 Navistar International Transportation Corp. Engineering Engine Test Cells</code></p></td>
<td><p><code>1998</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><code>Fugitive VOM</code></p>
<p><code>Emissions</code></p></td>
<td><p><code>Cold Parts Cleaning Operations</code></p></td>
<td><p><code>-----</code></p></td>
<td><p><code>None</code></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>
`5.0`` ``OVERALL SOURCE CONDITIONS`
5.1 Source Description
`5.1.1`` ``This permit is issued based on the source requiring a CAAPP permit as a major source of CO, NO`~`x`~`, and VOM emissions.`
5.1.2 This permit is issued based on the source not being a major source of HAPs.
`5.2`` ``A``pplicable Regulations`
5.2.1 Specific emission units at this source are subject to particular regulations as set forth in Section 7 (Unit-Specific Conditions) of this permit.
5.2.2 In addition, emission units at this source are subject to the following regulations of general applicability:
a. No person shall cause or allow the emission of fugitive particulate matter from any process, including any material handling or storage activity, that is visible by an observer looking generally overhead at a point beyond the property line of the source unless the wind speed is greater than 40.2 kilometers per hour (25 miles per hour), pursuant to 35 IAC 212.301 and 212.314.
Compliance with this requirement is considered to be assured by the inherent nature of operations at this source, as demonstrated by historical operation.
b. The emission of smoke or other particulate matter from any emission unit shall not exceed an opacity of greater than 30 percent, except that an opacity of greater than 30 percent but less than 60 percent shall be allowed for a period or periods aggregating 8 minutes in any 60 minute period provided that such opaque emissions permitted during any 60 minute period shall occur from only one such emission unit located within a 305 meter (1000 feet) radius from the center point of any other such emission unit owned or operated by the Permittee, and provided further that such opaque emissions permitted from each such emission unit shall be limited to 3 times in any 24 hour period, pursuant to 35 IAC 212.123 and 212.124.
5.2.3 Operating Program for Particulate Matter
a. This source shall be operated under the provisions of an operating program prepared by the Permittee and submitted to the Illinois EPA for its review. Such operating program shall be designed to significantly reduce fugitive particulate matter emissions [35 IAC 212.309(a)].
b. The operating program shall be amended from time to time by the owner or operator so that the operating program is current. Such amendments shall be consistent with the requirements set forth by Condition 5.2.2(b) and shall be submitted to the Illinois EPA pursuant to 35 IAC 212.312.
c. All normal traffic pattern roads and parking facilities located at this source shall be paved or treated with water, oils, or chemical dust suppressants. All paved areas shall be cleaned on a regular basis. All areas treated with water, oils, or chemical dust suppressants shall have the treatment applied on a regular basis, as needed, in accordance with the operating program.
5.2.4 The Permittee shall comply with the standards for recycling and emissions reduction of ozone depleting substances pursuant to 40 CFR Part 82, Subpart F, except as provided for motor vehicle air conditioners in Subpart B of 40 CFR Part 82:
a. Persons opening appliances for maintenance, service, repair, or disposal must comply with the required practices pursuant to 40 CFR 82.156.
b. Equipment used during the maintenance, service, repair, or disposal of appliances must comply with the standards for recycling and recovery equipment pursuant to 40 CFR 82.158.
c. Persons performing maintenance, service, repair, or disposal of appliances must be certified by an approved technician certification program pursuant to 40 CFR 82.161.
5.3 Non-Applicability of Regulations of Concern
5.3.1 This permit is issued based on the source not being subject to the NESHAP for Industrial Process Cooling Towers 40 CFR 63, Subpart Q, because the industrial process cooling towers are not operated with chromium-based water treatment chemicals.
5.4 Source-Wide Operational and Production Limits and Work Practices
In addition to the source-wide requirements in the Standard Permit Conditions in Section 9, the Permittee shall fulfill the following source-wide operational and production limitations and/or work practice requirements:
5.4.1 No owner or operator of an IPCT shall use chromium-based water treatment chemicals in any affected IPCT [40 CFR 63.402].
`5.5`` ``Source-Wide Emission Limitations`
5.5.1 Permitted Emissions for Fees
The annual emissions from the source, not considering insignificant activities as addressed by Section 3.0 of this permit, shall not exceed the following limitations. The overall source emissions shall be determined by adding emissions from all emission units. Compliance with these limits shall be determined on a calendar year basis. These limitations (Condition 5.5.1) are set for the purpose of establishing fees and are not federally enforceable.
------------------------------------------------------------- ------------- --------------------------- ----------- ------------------------------ ----------- ----------------------------------- ----------- ---------------------------------- -----------
[`Permitted Emissions of Regulated Pollutants`]{.underline}
`Pollutant` `Tons/Year`
`Nitrogen Oxides (NO`~`x`~`)` `336.860` `Particulate Matter (PM)` ` 34.360` `Sulfur Dioxide (SO`~`2`~`)` ` 7.770` `Volatile Organic Material (VOM)` ` 96.950` `HAP, not included in VOM or PM` ` 0.004`
`TOTAL`
------------------------------------------------------------- ------------- --------------------------- ----------- ------------------------------ ----------- ----------------------------------- ----------- ---------------------------------- -----------
5.5.2 Emissions of Hazardous Air Pollutants
This permit is issued based on the emissions of HAPs as listed in Section 112(b) of the CAA not being equal to or exceeding 10 tons per year of a single HAP or 25 tons per year of any combination of such HAPs, so that this source is considered a minor source for HAPs.
5.5.3 Other Source-Wide Emission Limitations
The annual emissions from the source shall not exceed the following limitations:
a. Emissions and operation of the cold parts cleaning operation shall not exceed the following limits:
------------------------------ -------------------------- ------------------------ ------------------------
`Cleaning Solvent VOM Usage` `VOM Emissions`
[`(ton/mo)`]{.underline} [`(ton/yr)`]{.underline} [`ton/mo`]{.underline} [`ton/yr`]{.underline}
`1.76` `10.54` `1.76` `10.54`
------------------------------ -------------------------- ------------------------ ------------------------
These limits are based on representations of the maximum actual emissions resulting from the maximum cleaning solvent usage at the maximum VOM content of the cleaning solvents (100% by weight).
b. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
c. The limits on VOM are limitations established in Construction Permit 98070033 pursuant to 35 IAC Part 203. These limits ensure that the construction/modification addressed in the aforementioned Construction Permit does not constitute a new major source or major modification pursuant to 35 IAC Part 203. See Conditions 7.2.6 and 7.10.6.
d. The VOM emission units with contemporaneous VOM emissions are described in Table 1 of Attachment 3. The emission units or activities used to decrease emissions are described in Table 2 of Attachment 3. The net change in VOM emissions is described in Table 3 of Attachment 3.
5.6 General Recordkeeping Requirements
5.6.1 Emission Records
The Permittee shall maintain records of the following items for the source to demonstrate compliance with Condition 5.5.1 pursuant to Section 39.5(7)(b) of the Act:
Total annual emissions on a calendar year basis for the emission units covered by Section 7 (Unit Specific Conditions) of this permit.
5.6.2 General Records for IPCT's
To demonstrate continuing compliance with Condition 5.4.1 (see also 40 CFR 63.402), the owner or operator of each affected IPCT shall maintain copies of the initial notification and the notification of compliance status as required by 40 CFR 63.405 for a period of at least 5 years onsite [40 CFR 63.406(a)].
5.6.3 Records for Storage Vessels
Each storage vessel with a design capacity less than 40,000 gallons is subject to no provisions of 35 IAC Part 218 other than those required by maintaining readily accessible records of the dimensions of the storage vessel and analysis of the capacity of the storage vessel [35 IAC 218.129(f)].
5.6.4 Records for Cold Parts Cleaning
a. The amount of solvent added to the cold parts cleaning operation; lb/mo and ton/yr;
b. The VOM content of the solvent to the cold parts cleaning operation; % by weight;
c. The amount of solvent recovered from the cold parts cleaning operation for reclamation and recycling; lb/mo and ton/yr;
d. The VOM content of the solvent recovered from the cold parts cleaning operation, % by weight; and
e. The aggregate monthly and annual VOM emissions from the cold parts cleaning operation based on the solvent usage and the VOM content of the recovered solvent, with supporting calculations.
5.6.5 Retention and Availability of Records
a. All records and logs required by this permit shall be retained for at least five years from the date of entry (unless a longer retention period is specified by the particular recordkeeping provision herein), shall be kept at a location at the source that is readily accessible to the Illinois EPA or USEPA, and shall be made available for inspection and copying by the Illinois EPA or USEPA upon request.
b. The Permittee shall retrieve and print, on paper during normal source office hours, any records retained in an electronic format (e.g., computer) in response to an Illinois EPA or USEPA request for records during the course of a source inspection.
5.7 General Reporting Requirements
5.7.1 General Source-Wide Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
a. Annual emissions from the source in excess of the emission limits specified in Condition 5.5.1 based on the current month’s records plus the preceding 11 months within 30 days of such an occurrence.
b. Emissions of VOM from the Cold Parts Cleaning Operation in excess of the limits in Condition 5.5.3 based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.
5.7.2 Annual Emissions Report
The annual emissions report required pursuant to Condition 9.7 shall contain emissions information for the previous calendar year.
5.8 General Operational Flexibility/Anticipated Operating Scenarios
N/A
`5.9`` ``General Compliance Procedures`
5.9.1 Emissions of VOM from the Cold Parts Cleaning Operation
a. Cold Parts Cleaning Solvent VOM Usage:
Cleaning Solvent VOM Usage (lb) = [(Weight of Solvent Added, lb) x (VOM Content of Solvent, % by Wt.)] - [(Weight of Solvent Recovered, lb) x (VOM Content of Recovered Solvent, % by Wt.)]
b. VOM Emissions from Cold Parts Cleaning Solvent Usage:
Cleaning Solvent VOM Emissions (lb) = [(Weight of Solvent Added, lb) x (VOM Content of Solvent, % by Wt.)] - [(Weight of Solvent Recovered, lb) x (VOM Content of Recovered Solvent, % by Wt.)]
6.0 EMISSION REDUCTION MARKET SYSTEM (ERMS)
6.1 Description of ERMS
The ERMS is a “cap and trade” market system for major stationary sources located in the Chicago ozone nonattainment area. It is designed to reduce VOM emissions from stationary sources to contribute to further reasonable progress toward attainment, as required by Section 182(c) of the Clean Air Act.
The ERMS addresses VOM emissions during a seasonal allotment period from May 1 through September 30. Once the ERMS begins, participating sources must hold “allotment trading units” (ATUs) for their actual seasonal VOM emissions. Each year participating sources are issued ATUs based on allotments set during initial issuance of the sources’ CAAPP permits. These allotments are established from historical VOM emissions or “baseline emissions” lowered to provide the emission reduction from stationary sources required for further progress.
By December 31 of each year, the end of the reconciliation period following the seasonal allotment period, each source shall have sufficient ATUs in its account to cover its actual VOM emissions during the preceding season. An account’s balance as of December 31 will include any valid ATU transfer agreements entered into as of December 31 of the given year, provided such agreements are promptly submitted to the Illinois EPA for entry into the account database. The Illinois EPA will then retire ATUs in sources’ accounts in amounts equivalent to their seasonal emissions. When a source does not appear to have sufficient ATUs in its account, the Illinois EPA will issue a notice to the source to begin the process for Emissions Excursion Compensation.
In addition to receiving ATUs pursuant to their allotments, participating sources may also obtain ATUs from the market, including ATUs bought from other participating sources and general participants in the ERMS that hold ATUs (35 IAC 205.630) and ATUs issued by the Illinois EPA as a consequence of VOM emission reductions from an Emission Reduction Generator or an Intersector Transaction (35 IAC 205.500 and 205.510). During the reconciliation period, sources may also buy ATUs from a secondary reserve of ATUs managed by the Illinois EPA, the Alternative Compliance Market Account (35 IAC 205.710). Sources may also transfer or sell the ATUs that they holds to other sources or participants [35 IAC 205.630].
6.2 Applicability
This source is considered a “participating source” for purposes of the ERMS, 35 IAC Part 205.
6.3 Obligation to Hold Allotment Trading Units (ATUs)
a. Pursuant to 35 IAC 205.150(c)(1) and 205.720, and as further addressed by condition 6.8, as of December 31 of each year, this source shall hold ATUs in its account in an amount not less than its VOM emissions during the preceding seasonal allotment period (May 1 - September 30) not including VOM emissions from the following, or the source shall be subject to “emissions excursion compensation,” as described in Condition 6.4.
i. VOM emissions from insignificant units and activities as identified in Section 3 of this permit, in accordance with 35 IAC 205.220;
ii. Excess VOM emissions associated with startup, malfunction or breakdown of an emission unit as authorized elsewhere in this permit, in accordance with 35 IAC 205.225;
iii. Excess VOM emissions to the extent allowed by a Variance, Consent Order, or Compliance Schedule, in accordance with 35 IAC 205.320(e)(3);
iv. Excess VOM emissions that are a consequence of an emergency as approved by the Illinois EPA, pursuant to 35 IAC 205.750; and
v. VOM emissions from certain new and modified emission units as addressed by Section 6.7(b), if applicable, in accordance with 35 IAC 205.320(f).
b. Notwithstanding the above condition, in accordance with 35 IAC 205.150(c)(2), if a source commences operation of a major modification, pursuant to 35 IAC Part 203, the source shall hold ATUs in an amount not less than 1.3 times its VOM emissions attributable to such major modification during the seasonal allotment period, determined in accordance with the construction permit for such major modification or applicable provisions in Section 7.0 of this permit.
6.4 Market Transaction
a. The source shall apply to the Illinois EPA for and obtain authorization for a Transaction Account prior to conducting any market transactions, as specified at 35 IAC 205.610(a).
b. The Permittee shall promptly submit to the Illinois EPA any revisions to the information submitted for its Transaction Account, pursuant to 35 IAC 205.610(b).
c. The source shall have at least one account officer designated for its Transaction Account, pursuant to 35 IAC 205.620(a).
d. Any transfer of ATUs to or from the source from another source or general participant must be authorized by a qualified Account Officer designated by the source and approved by the Illinois EPA in accordance with 35 IAC 205.620 and the transfer must be submitted to the Illinois EPA for entry into the Transaction Account database.
6.5 Emission Excursion Compensation
Pursuant to 35 IAC 205.720, if the source fails to hold ATUs in accordance with Condition 6.3, it shall provide emissions excursion compensation in accordance with the following:
a. Upon receipt of an Excursion Compensation Notice issued by the Illinois EPA, the source shall purchase ATUs from the ACMA in the amount specified by notice, as follows:
i. The purchase of ATUs shall be in an amount equivalent to 1.2 times the emissions excursion; or
ii. If the source had an emissions excursion for the seasonal allotment period immediately before the period for the present emission excursion, the source shall purchase ATUs in an amount equivalent to 1.5 times the emissions excursion.
b. If requested in accordance with paragraph (c) below or in the event that the ACMA balance is not adequate to cover the total emissions excursion amount, the Illinois EPA will deduct ATUs equivalent to the specified amount or any remaining portion thereof from the ATUs to be issued to the source for the next seasonal allotment period.
c. Pursuant to 35 IAC 205.720(c), within 15 days of receipt of an Excursion Compensation Notice, the owner or operator may request that ATUs equivalent to the amount specified be deducted from the source’s next seasonal allotment by the Illinois EPA, rather than purchased from the ACMA.
6.6 Quantification of Seasonal VOM Emissions
a. The methods and procedures specified in Section 5 and 7 of this permit for determining VOM emissions and compliance with VOM emission limitations shall be used for determining seasonal VOM emissions for purposes of the ERMS, with the following exceptions [35 IAC 205.315(b)]:
No exceptions
b. The Permittee shall report emergency conditions at the source to the Illinois EPA in accordance with 35 IAC 205.750, if the Permittee intends to deduct VOM emissions in excess of the technology-based emission rates normally achieved that are attributable to the emergency from the source’s seasonal VOM emissions for purposes of the ERMS. These reports shall include the information specified by 35 IAC 205.650(a), and shall be submitted in accordance with the following:
i. An initial emergency condition report within two days of the time when such excess emissions occurred due to the emergency; and
ii. A final emergency condition report, if needed to supplement the initial report, within 10 days after the conclusion of the emergency.
6.7 Annual Account Reporting
a. For each year in which the source is operational, the Permittee shall submit, as a component of its Annual Emission Report, seasonal VOM emission information to the Illinois EPA for the seasonal allotment period. This report shall include the following information [35 IAC 205.300]:
i. Actual seasonal emissions of VOM from the source;
ii. A description of the methods and practices used to determine VOM emissions, as required by this permit, including any supporting documentation and calculations;
iii. A detailed description of any monitoring methods that differ from the methods specified in this permit, as provided in Section 205.337 of this Subpart;
iv. If a source has experienced an emergency, as provided in 35 IAC 205.750, the report shall reference the associated emergency conditions report that has been approved by the Agency;
v. If a source’s baseline emissions have been adjusted due to a variance, consent order or CAAPP permit compliance schedule, as provided for in 35 IAC 205.320(e)(3), the report shall provide documentation quantifying the excess VOM emissions during the season that were allowed by the Variance, Consent Order, or Compliance Schedule, in accordance with 35 IAC 205.320(e)(3); and
vi. If a source is operating a new or modified emission unit for which three years of operational data are not yet available, as specified in 35 IAC 205.320(f), the report shall specify seasonal VOM emissions attributable to the new emission unit or the modification of the emission unit.
`b.`` ``This report shall be submitted by November 30`**` `**`of each year, for the preceding seasonal allotment period.`
6.8 Allotment of ATUs to the Source
a. i. The allotment of ATUs to this source is 144 ATUs per seasonal allotment period.
ii. This allotment of ATUs reflects the Illinois EPA’s determination that the source’s baseline emissions were 15.16 tons.
This determination includes adjustment to actual emissions to account for voluntary over-compliance at the source, e.g., Paint Booth #1, pursuant to 35 IAC 205.320(d) as further addressed in Section 7 of this permit.
iii. The source’s allotment reflects 88% of the baseline emissions (12% reduction) except for the VOM emissions from specific emission unit excluded from such reduction, pursuant to 35 IAC 205.405 including units complying with MACT or using BAT, as identified in Section 7 of this permit.
iv. ATUs will be issued to the source’s Transaction Account by the Illinois EPA annually. These ATUs will be valid for the seasonal allotment period following issuance and, if not retired in this season, the next seasonal allotment period.
v. Condition 6.3(a) becomes effective beginning in the seasonal allotment period following the initial issuance of ATUs by the Illinois EPA into the Transaction Account for the source.
b. Contingent Allotments
(Pending construction)
Dry Off Oven
Three Stage Washer
Two Stage Drying Oven
Paint Booth #2
Cogeneration System
c. Notwithstanding the above, part or all of the above ATUs will not be issued to the source in circumstances as set forth in 35 IAC Part 205, including:
i. Transfer of ATUs by the source to another participant or the ACMA, in accordance with 35 IAC 205.630;
ii. Deduction of ATUs as a consequence of emission excursion compensation, in accordance with 35 IAC 205.720; and
iii. Transfer of ATUs to the ACMA, as a consequence of shutdown of the source, in accordance with 35 IAC 205.410.
6.9 Recordkeeping for ERMS
The Permittee shall maintain copies of the following documents as its Compliance Master File for purposes of ERMS [35 IAC 205.700(a)]:
a. Seasonal component of the Annual Emission Report;
b. Information on actual VOM emissions, as specified in detail in Sections 5 and 7 of this permit and Condition 6.6(a); and
c. Any transfer agreements for the purchase or sale of ATUs and other documentation associated with the transfer of ATUs.
6.10 Federal Enforceability
Section 6 becomes federally enforceable upon approval of the ERMS by USEPA as part of Illinois' State Implementation Plan.
`7.0`` ``UNIT SPECIFIC CONDITIONS`
7.1 Unit PB1 Paint Booth #1
Control WC1 Water Curtain
7.1.1 Description
Paint is applied to an engine after it has been tested, washed, and dried. This paint booth is equipped with a water curtain for control of particulate matter emissions. The paint is heated in the drying oven, not included in this coating line, where the majority of the volatile solvents are evaporated and the paint is dried.
7.1.2 List of Emission Units and Pollution Control Equipment
+------------+--------------------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+--------------------------------------------+--------------------+
| `PB1` | `Binks Paint Spray Booth (Paint Booth #1)` | `Water Curtain` |
+------------+--------------------------------------------+--------------------+
7.1.3 Applicability Provisions and Applicable Regulations
a. Paint Booth #1 is an “affected coating line” for the purpose of these unit-specific conditions.
b. The affected coating line is subject to the emission limits identified in Condition 5.2.2.
c. The affected coating line is subject to 35 IAC 212.322(a), which provides that:
i. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any process emission unit for which construction or modification commenced prior to April 14, 1972, which, either alone or in combination with the emission of particulate matter from all other similar process emission at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.322 (see also Attachment 2) [35 IAC 212.322(a)].
ii. Because the expected process weight rate for the affected coating line is less than 100 pounds per hour, the allowable PM emission rate for the affected coating line set by 35 IAC 212.322 is 0.55 pounds per hour.
d. No owner or operator of a coating line shall apply at any time any coating in which the VOM content exceeds the following emission limitations for Miscellaneous Metal Parts and Products/Extreme Performance/Baked Coating. The following emission limitation is expressed in units of VOM per volume of coating (minus water and any compounds which are specifically exempted from the definition of VOM) as applied at each coating applicator. Compounds which are specifically exempted from the definition of VOM should be treated as water for the purpose of calculating the "less water" part of the coating composition [35 IAC 218.204(j)(2)(B)]:
-------- ----------
`kg/l` `lb/gal`
`0.40` `3.3`
-------- ----------
7.1.4 Non-Applicability of Regulations of Concern
a. The affected coating line is not subject to the NSPS for Automobile and Light Duty Truck Surface Coating Operations, 40 CFR 60 Subpart MM because the affected coating line is not a prime coat operation, a guide coat operation, or a topcoat operation at an automobile or light-duty truck assembly plant.
`b.`` ``The affected coating line is not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
c. No owner or operator of a coating line subject to the limitations of 35 IAC 218.204 is required to meet the limitations of 35 IAC 218.301 or 218.302, Use of Organic Material, after the date by which the coating line is required to meet 35 IAC 218.204 [35 IAC 218.209].
7.1.5 Operational and Production Limits and Work Practices
The Permittee shall follow good operating practices for the water curtain, including periodic inspection, routine maintenance and prompt repair of defects.
7.1.6 Emission Limitations
There are no specific emission limitations for this unit, however, there are source wide emission limitations in Condition 5.5 that include this unit.
7.1.7 Testing Requirements
Testing for VOM content of coatings and other materials shall be performed as follows [35 IAC 218.105(a), 218.211(a), and Section 39.5(7)(b) of the Act]:
a. On at least an annual basis:
i. The VOM content of representative coatings "as applied" on the affected coating line shall be determined according to USEPA Reference Methods 24 and 24A of 40 CFR 60 Appendix A and the procedures of 35 IAC 218.105(a).
ii. This testing may be performed by the supplier of a material provided that the supplier provides appropriate documentation for such testing to the Permittee and the Permittee's records pursuant to Condition 7.1.9(b) directly reflect the application of such material and separately account for any additions of solvent.
iii. Upon written request from the Permittee, the Illinois EPA may waive this requirement on a year-by-year basis, if prior testing shows a margin of compliance and no significant changes in coating supplies have occurred.
b. Upon reasonable request by the Illinois EPA, the VOM content of specific coatings and cleaning solvents used on the affected coating line shall be determined according to USEPA Reference Methods 24 and 24A of 40 CFR 60 Appendix A and the procedures of 35 IAC 218.105(a) [35 IAC 218.105(a) and 218.211(a)].
7.1.8 Monitoring Requirements
None
7.1.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected coating line to demonstrate compliance with Conditions 5.5.1 and 7.1.3 pursuant to Section 39.5(7)(b) of the Act:
a. Records of the testing of VOM content of coatings and cleaning solvents pursuant to Condition 7.1.7, which include the following [Section 39.5(7)(e) of the Act]:
i. Identification of material tested;
ii. Results of analysis;
iii. Documentation of analysis methodology; and
iv. Person performing analysis.
b. Pursuant to 35 IAC 218.211(c)(2), the Permittee shall collect and record all of the following information each day for the affected coating line and maintain the information at the source for a period of three years:
i. The name and identification number of each coating as applied on the affected coating line; and
ii. The weight of VOM per volume of each coating (minus water and any compounds which are specifically exempted from the definition of VOM) as applied each day on the affected coating line.
c. Records addressing use of good operating practices for the water curtain:
i. Records for periodic inspection of the water curtain with date, individual performing the inspection, and nature of inspection; and
ii. Records for prompt repair of defects, with identification and description of defect, effect on emissions, date identified, date repaired, and nature of repair.
d. Coating usage, gal/day and gal/yr;
e. VOM content of coatings, % by Wt;
f. Density of coatings, lb/gal; and
g. The aggregate monthly and annual PM and VOM emissions from the affected coating line based on the operating schedule and the typical hourly emission rate, with supporting calculations.
7.1.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected coating line with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
a. Pursuant to 35 IAC 218.211(c)(3)(A), the Permittee shall notify the Illinois EPA of any record showing violation of Condition 7.1.3(d) (see also 35 IAC 218.204) within 30 days following the occurrence of the violation.
b. Continued operation of the affected coating line with a defect in the water curtain that may result in emissions of particulate matter in excess of limits in Condition 7.1.3(c) within 30 days of such an occurrence.
7.1.11 Operational Flexibility/Anticipated Operating Scenarios
The Permittee is authorized to make the following physical or operational change with respect to VARIABLE without prior notification to the Illinois EPA or revision of this permit. This condition does not affect the Permittee’s obligation to properly obtain a construction permit in a timely manner for any activity constituting construction or modification of the source, as defined in 35 IAC 201.102:
The Permittee may switch vendor and/or color of the coating used on the affected coating line as long as VOM emissions do not exceed the limits specified in Conditions 5.5 and 7.1.3(d).
`7.1.12`` ``Compliance Procedures`
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.1.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.1.3(c) is assumed by proper operation of the water curtain, as addressed by Condition 7.1.5.
b. To determine compliance with Condition 5.5.1, emissions from the affected coating line shall be calculated based on the following:
i. Volatile Organic Material Emissions:
VOM (lb) = (Coating Usage, gal) x (VOM Content of Coating, % by Wt) x (Coating Density, lb/gal)
ii. Particulate Matter Emissions:
`PM (lb) = (Wt of Coating Used, lb) x (Wt % Solids) x [1 - (Transfer Efficiency`^`*`^` (%)/100)] x [1 - (Water Curtain Efficiency`^`*`^` (%)/100)]`
^`*`^`As specified by manufacturer or vendor of the spray booth and water curtain`
7.2 Unit PB2 Paint Booth #2
Control WC2 Water Curtain
7.2.1 Description
Paint is applied to an engine after it has been tested, washed, and dried. This paint booth is equipped with a water curtain for control of particulate matter emissions. The paint booth is equipped with a make-up air heater, which uses natural gas as the fuel.
7.2.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `PB2` | `George Koch & Sons, Inc. Pai | `Water Curtain` |
| | nt Spray Booth (Paint Booth #2)` | |
+------------+----------------------------------+--------------------+
7.2.3 Applicability Provisions and Applicable Regulations
a. Paint Booth #1 is an “affected coating line” for the purpose of these unit-specific conditions.
b. The affected coating line is subject to the emission limits identified in Condition 5.2.2.
c. The affected coating line is subject to 35 IAC 212.321(a), which provides that:
i. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any new process emission unit, either alone or in combination with the emission of particulate matter from all other similar process emission units for which construction or modification commenced on or after April 14, 1972, at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.321 (see also Attachment 1) [35 IAC 212.321(a)].
ii. Because the expected process weight rate for the affected coating line is 106 pounds per hour, the allowable PM emission rate for the affected coating line set by 35 IAC 212.321 is 0.53 pounds per hour.
d. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
e. No owner or operator of a coating line shall apply at any time any coating in which the VOM content exceeds the following emission limitations for Miscellaneous Metal Parts and Products/Extreme Performance/Baked Coating. The following emission limitation is expressed in units of VOM per volume of coating (minus water and any compounds which are specifically exempted from the definition of VOM) as applied at each coating applicator. Compounds which are specifically exempted from the definition of VOM should be treated as water for the purpose of calculating the "less water" part of the coating composition [35 IAC 218.204(j)(2)(B)]:
-------- ----------
`kg/l` `lb/gal`
`0.40` `3.3`
-------- ----------
7.2.4 Non-Applicability of Regulations of Concern
a. The affected coating line is not subject to the NSPS for Automobile and Light Duty Truck Surface Coating Operations, 40 CFR 60 Subpart MM because the affected coating line is not a prime coat operation, a guide coat operation, or a topcoat operation at an automobile or light-duty truck assembly plant.
b. The make-up air heater on the affected coating line is not subject to 35 IAC 216.121, Emissions of Carbon Monoxide from Fuel Combustion Emission Units, because the actual heat input is less than 2.9 MW (10 mmBtu/hr) and the make-up air heater is not by definition a fuel combustion emission unit.
c. The make-up air heater on the affected coating line is not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input is less than 73.2 MW (250 mmBtu/hr) and the make-up air heater is not by definition a fuel combustion emission unit.
`d.`` ``The affected coating line is not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
e. No owner or operator of a coating line subject to the limitations of 35 IAC 218.204 is required to meet the limitations of 35 IAC 218.301 or 218.302, Use of Organic Material, after the date by which the coating line is required to meet 35 IAC 218.204 [35 IAC 218.209].
7.2.5 Operational and Production Limits and Work Practices
a. The Permittee shall follow good operating practices for the water curtain, including periodic inspection, routine maintenance and prompt repair of defects.
b. The make-up air heater shall only be operated with natural gas as the fuel.
c. This permit is issued based on the cleaning solvents used on the affected coating line containing no VOM.
7.2.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected coating line is subject to the following:
a. Emissions and operation of paint spray booth (Line #2) shall not exceed the following limits:
i. Paint Usage and Emissions:
---------------------------------- -------------------------- ------------------------------ ------------------------------- --------- -------- --------
`Paint Usage` `VOM Content` `VOM Emissions` `PM Emissions`
[`(gal/mo)(gal/yr)`]{.underline} [`(lb/gal)`]{.underline} [`(t/mo)(t/yr)`]{.underline} [`(lb/hr)(t/yr)`]{.underline}
`6,007` `36,044` `1.35` `4.05` `24.33` `0.42` `0.25`
---------------------------------- -------------------------- ------------------------------ ------------------------------- --------- -------- --------
ii. These limits are based on the maximum paint usage and the maximum VOM content of the coatings. Note: The above VOM content limit includes water and exempt compounds.
iii. The above limitations were established in Construction Permits 94120009 and 98070033, pursuant to 35 IAC Part 203. These limits ensure that the construction and/or modification addressed in the aforementioned Construction Permit does not constitute a new major source or major modification pursuant to 35 IAC Part 203.
iv. The above limitations contain revisions to previously issued construction permit 94120009. The source has requested that the Illinois EPA establish conditions in this permit (and in construction permit 98070033) that allow various refinements from the conditions of this construction permit (#94120009), consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit (#94120009) and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the solvent usage and emission limits were removed and the VOM emissions resulting from the solvent usage were added to the paint usage emissions.
v. The VOM emission units with contemporaneous VOM emissions are described in Table 1 of Attachment 3. The emission units or activities used to decrease emissions are described in Table 2 of Attachment 3. The net change in VOM emissions is described in Table 3 of Attachment 3.
b. Emissions and operation of equipment shall not exceed the following limits:
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
`Item of` `Fuel Usage` `NO`~`x`~` Emissions` `CO Emissions`
[`Equipment`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/mo`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline}
`Paint Booth` `4.8` `28.4` `0.24` `1.42` `0.20` `1.20`
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
i. These limits are based on standard emission factors, the type of fuel, and the maximum fuel usage.
ii. The above limitations contain revisions to previously issued construction permit 94120009. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the emission limit for CO has been increased based on a revised AP-42 emission factor and the production limitations have been switched from the maximum firing rate and maximum hours of operation of the unit to the maximum monthly and annual fuel usage rates.
c. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
7.2.7 Testing Requirements
Testing for VOM content of coatings and other materials shall be performed as follows [35 IAC 218.105(a), 218.211(a), and Section 39.5(7)(b) of the Act]:
a. On at least an annual basis:
i. The VOM content of representative coatings "as applied" on the affected coating line shall be determined according to USEPA Reference Methods 24 and 24A of 40 CFR 60 Appendix A and the procedures of 35 IAC 218.105(a).
ii. This testing may be performed by the supplier of a material provided that the supplier provides appropriate documentation for such testing to the Permittee and the Permittee's records pursuant to Condition 7.2.9(b) directly reflect the application of such material and separately account for any additions of solvent.
iii. Upon written request from the Permittee, the Illinois EPA may waive this requirement on a year-by-year basis, if prior testing shows a margin of compliance and no significant changes in coating supplies have occurred.
b. Upon reasonable request by the Illinois EPA, the VOM content of specific coatings and cleaning solvents used on the affected coating line shall be determined according to USEPA Reference Methods 24 and 24A of 40 CFR 60 Appendix A and the procedures of 35 IAC 218.105(a) [35 IAC 218.105(a) and 218.211(a)].
7.2.8 Monitoring Requirements
None
7.2.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected coating line to demonstrate compliance with Conditions 5.5.1, 7.2.3, and 7.2.6 pursuant to Section 39.5(7)(b) of the Act:
a. Records of the testing of VOM content of coatings pursuant to Condition 7.2.7, which include the following [Section 39.5(7)(e) of the Act]:
i. Identification of material tested;
ii. Results of analysis;
iii. Documentation of analysis methodology; and
iv. Person performing analysis.
b. Pursuant to 35 IAC 218.211(c)(2), the Permittee shall collect and record all of the following information each day for the affected coating line and maintain the information at the source for a period of three years:
i. The name and identification number of each coating as applied on the affected coating line; and
ii. The weight of VOM per volume of each coating (minus water and any compounds which are specifically exempted from the definition of VOM) as applied each day on the affected coating line.
c. Records addressing use of good operating practices for the water curtain:
i. Records for periodic inspection of the water curtain with date, individual performing the inspection, and nature of inspection; and
ii. Records for prompt repair of defects, with identification and description of defect, effect on emissions, date identified, date repaired, and nature of repair.
d. Coating usage, gal/day and gal/yr;
e. VOM content of coatings, lb/gal (including water and exempt compounds);
`f.`` ``Records of the fuel usage for the make-up air heater, Mft`^`3`^`/mo and Mft`^`3`^`/yr;`
g. The aggregate monthly and annual PM and VOM emissions from the affected coating line based on the operating schedule and the typical hourly emission rate, with supporting calculations; and
`h.`` ``Records of monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the make-up air heater shall be maintained, based on fuel usage and the applicable emission factors, with supporting calculations.`
7.2.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of an affected coating line with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
a. Pursuant to 35 IAC 218.211(c)(3)(A), the Permittee shall notify the Illinois EPA of any record showing violation of Condition 7.2.3(e) (see also 35 IAC 218.204) within 30 days following the occurrence of the violation.
b. Continued operation of the affected coating line with a defect in the water curtain that may result in emissions of particulate matter in excess of limits in Condition 7.2.3(c) within 30 days of such an occurrence.
c. The usage of any solvent containing VOM within 30 days of such an occurrence.
d. Emissions of VOM in excess of the limits in Condition 7.2.6(a) based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.
`e.`` ``Emissions of NO`~`x`~` and/or CO in excess of the limits in Condition 7.2.6(b) based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
7.2.11 Operational Flexibility/Anticipated Operating Scenarios
The Permittee is authorized to make the following physical or operational change with respect to VARIABLE without prior notification to the Illinois EPA or revision of this permit. This condition does not affect the Permittee’s obligation to properly obtain a construction permit in a timely manner for any activity constituting construction or modification of the source, as defined in 35 IAC 201.102:
The Permittee may switch vendor and/or color of the coating used on the affected coating line as long as VOM emissions do not exceed the limits specified in Conditions 5.5 and 7.2.3(e).
`7.2.12`` ``Compliance Procedures`
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.2.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.2.3(c) is assumed by proper operation of the water curtain, as addressed by Condition 7.2.5.
b. Compliance with Condition 7.2.3(d) is assumed by the work-practices inherent in operation of a natural gas-fired drying oven.
c. To determine compliance with Condition 5.5.1 and 7.2.6, emissions from the affected coating line shall be calculated based on the following:
i. Volatile Organic Material Emissions:
VOM (lb) = (Coating Usage, gal) x (VOM Content of Coating, lb/gal)
ii. Particulate Matter Emissions:
`PM (lb) = (Wt of Coating Used, lb) x (Wt % Solids) x [1 - (Transfer Efficiency`^`*`^` (%)/100)] x [1 - (Water Curtain Efficiency`^`*`^` (%)/100)]`
^`*`^`As specified by manufacturer or vendor of the spray booth and water curtain`
d. To determine compliance with Conditions 5.5.1 and 7.2.6(b), fuel combustion emissions from the make-up air heater on the affected coating line shall be calculated based on the following emission factors:
+-------+-------+-------+-------+------+-------+-------+-------+
| [`Pol | `E | | | | | | |
| lutan | missi | | | | | | |
| t`]{. | on Fa | | | | | | |
| under | ctor` | | | | | | |
| line} | | | | | | | |
| | [`(l | | | | | | |
| | b/Mft | | | | | | |
| | `]{.u | | | | | | |
| | nderl | | | | | | |
| | ine}^ | | | | | | |
| | [`3`] | | | | | | |
| | {.und | | | | | | |
| | erlin | | | | | | |
| | e}^[` | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `CO` | `84` | `NO` | `100` | `PM` | `7.6` | `SO` | `0.6` |
| | | ~`x`~ | | | | ~`2`~ | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `VOM` | `5.5` | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Make-Up Air Heater Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.3 Unit DOO Dry-Off Oven
7.3.1 Description
The dry-off oven is used to dry the engines after they have been washed in the three stage washer. Emissions from this unit will be due to the byproducts of natural gas fuel combustion.
7.3.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `DOO` | `George Koch & Sons, I | `None` |
| | nc. Dry-Off Oven (Dry-Off Oven)` | |
+------------+----------------------------------+--------------------+
7.3.3 Applicability Provisions and Applicable Regulations
a. The dry-off oven is an “affected dry-off oven" for the purpose of these unit-specific conditions.
b. The affected dry-off oven is subject to the emission limits identified in Condition 5.2.2.
c. The dry-off oven is subject to 35 IAC 212.321(a), which provides that:
i. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any new process emission unit, either alone or in combination with the emission of particulate matter from all other similar process emission units for which construction or modification commenced on or after April 14, 1972, at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.321 (see also Attachment 1) [35 IAC 212.321(a)].
ii. Because the expected process weight rate for the affected dry-off oven is less than 100 pounds per hour, the allowable PM emission rate for the affected dry-off oven set by 35 IAC 212.321 is 0.55 pounds per hour.
d. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
e. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, 218.304 and the following exception: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall apply only to photochemically reactive material [35 IAC 218.301].
7.3.4 Non-Applicability of Regulations of Concern
a. The affected dry-off oven is not subject to 35 IAC 216.121, Emissions of Carbon Monoxide from Fuel Combustion Emission Units, because the actual heat input is less than 2.9 MW (10 mmBtu/hr) and the affected dry-off oven is not by definition a fuel combustion emission unit.
b. The affected dry-off oven is not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input is less than 73.2 MW (250 mmBtu/hr) and the affected dry-off oven is not by definition a fuel combustion emission unit.
`c.`` ``The affected dry-off oven is not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.3.5 Operational and Production Limits and Work Practices
The affected dry-off oven shall only be operated with natural gas as the fuel.
7.3.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected dry-off oven is subject to the following:
a. Emissions and operation of equipment shall not exceed the following limits:
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
`Item of` `Fuel Usage` `NO`~`x`~` Emissions` `CO Emissions`
[`Equipment`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/mo`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline}
`Dry-Off Oven` `1.4` `8.8` `0.07` `0.44` `0.06` `0.36`
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
i. These limits are based on standard emission factors, the type of fuel, and the maximum fuel usage.
ii. The above limitations contain revisions to previously issued construction permit 94120009. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the emission limit for CO has been increased based on a revised AP-42 emission factor and the production limitations have been switched from the maximum firing rate and maximum hours of operation of the unit to the maximum monthly and annual fuel usage rates.
b. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
7.3.7 Testing Requirements
None
7.3.8 Monitoring Requirements
None
7.3.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected dry-off oven to demonstrate compliance with Conditions 5.5.1, 7.3.3, and 7.3.6 pursuant to Section 39.5(7)(b) of the Act:
`a.`` ``Records of the fuel usage for the affected dry-off oven, Mft`^`3`^`/mo and Mft`^`3`^`/yr; and`
`b.`` ``Records of monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected dry-off oven shall be maintained, based on fuel usage and the applicable emission factors, with supporting calculations.`
7.3.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of an affected dry-off oven with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`Emissions of NO`~`x`~` and/or CO in excess of the limits in Condition 7.3.6 based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
7.3.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.3.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.3.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.3.3 is assumed by the work-practices inherent in operation of a natural gas-fired dry-off oven.
b. To determine compliance with Conditions 5.5.1 and 7.3.6, fuel combustion emissions from the affected dry-off oven shall be calculated based on the following emission factors:
+-------+-------+-------+-------+------+-------+-------+-------+
| [`Pol | `E | | | | | | |
| lutan | missi | | | | | | |
| t`]{. | on Fa | | | | | | |
| under | ctor` | | | | | | |
| line} | | | | | | | |
| | [`(l | | | | | | |
| | b/Mft | | | | | | |
| | `]{.u | | | | | | |
| | nderl | | | | | | |
| | ine}^ | | | | | | |
| | [`3`] | | | | | | |
| | {.und | | | | | | |
| | erlin | | | | | | |
| | e}^[` | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `CO` | `84` | `NO` | `100` | `PM` | `7.6` | `SO` | `0.6` |
| | | ~`x`~ | | | | ~`2`~ | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `VOM` | `5.5` | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Dry-Off Oven Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.4 Unit 2SDO Two Stage Drying Oven
7.4.1 Description
The two stage drying oven is used to dry the engines after they have been painted in one of the two paint booths. Emissions from this unit will be due to byproducts of natural gas fuel combustion.
7.4.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `2SDO` | `George | `None` |
| | Koch & Sons, Inc. Two Stage Dryi | |
| | ng Oven (Two Stage Drying Oven)` | |
+------------+----------------------------------+--------------------+
7.4.3 Applicability Provisions and Applicable Regulations
a. The two stage drying oven is an “affected drying oven" for the purpose of these unit-specific conditions.
b. The affected drying oven is subject to the emission limits identified in Condition 5.2.2.
c. The affected drying oven is subject to 35 IAC 212.321(a), which provides that:
i. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any new process emission unit, either alone or in combination with the emission of particulate matter from all other similar process emission units for which construction or modification commenced on or after April 14, 1972, at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.321 (see also Attachment 1) [35 IAC 212.321(a)].
ii. Because the expected process weight rate for the affected drying oven is less than 100 pounds per hour, the allowable PM emission rate for the affected drying oven set by 35 IAC 212.321 is 0.55 pounds per hour.
d. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
e. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, 218.304 and the following exception: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall apply only to photochemically reactive material [35 IAC 218.301].
7.4.4 Non-Applicability of Regulations of Concern
a. The affected drying oven is not subject to 35 IAC 216.121, Emissions of Carbon Monoxide from Fuel Combustion Emission Units, because the actual heat input is less than 2.9 MW (10 mmBtu/hr) and the affected drying oven is not by definition a fuel combustion emission unit.
b. The affected drying oven is not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input is less than 73.2 MW (250 mmBtu/hr) and the affected drying oven is not by definition a fuel combustion emission unit.
`c.`` ``The affected drying oven is not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.4.5 Operational and Production Limits and Work Practices
The affected drying oven shall only be operated with natural gas as the fuel.
7.4.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected drying oven is subject to the following:
a. Emissions and operation of equipment shall not exceed the following limits:
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
`Item of` `Fuel Usage` `NO`~`x`~` Emissions` `CO Emissions`
[`Equipment`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/mo`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline}
`Two Stage Drying Oven` `3.0` `17.2` `0.15` `0.88` `0.12` `0.72`
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
These limits are based on standard emission factors, the type of fuel, the maximum firing rate, and the maximum fuel usage.
b. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
c. The above limitations contain revisions to previously issued construction permit 94120009. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the firing rate has been increased from 1.00 mmBtu/hr to 2.00 mmBtu/hr and the emission limit for CO has been increased based on a revised AP-42 emission factor and the production limitations have been switched from the maximum firing rate and maximum hours of operation of the unit to the maximum monthly and annual fuel usage rates.
7.4.7 Testing Requirements
None
7.4.8 Monitoring Requirements
None
7.4.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected drying oven to demonstrate compliance with Conditions 5.5.1, 7.4.3, and 7.4.6 pursuant to Section 39.5(7)(b) of the Act:
`a.`` ``Records of the fuel usage for the affected drying oven, Mft`^`3`^`/mo and Mft`^`3`^`/yr; and`
`b.`` ``Records of monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected drying oven shall be maintained, based on fuel usage and the applicable emission factors, with supporting calculations.`
7.4.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of an affected drying oven with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`Emissions of NO`~`x`~` and/or CO in excess of the limits in Condition 7.4.6 based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
7.4.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.4.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.4.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.4.3 is assumed by the work-practices inherent in operation of a natural gas-fired drying oven.
b. To determine compliance with Conditions 5.5.1 and 7.4.6, fuel combustion emissions from the affected drying oven shall be calculated based on the following emission factors:
+-------+-------+-------+-------+------+-------+-------+-------+
| [`Pol | `E | | | | | | |
| lutan | missi | | | | | | |
| t`]{. | on Fa | | | | | | |
| under | ctor` | | | | | | |
| line} | | | | | | | |
| | [`(l | | | | | | |
| | b/Mft | | | | | | |
| | `]{.u | | | | | | |
| | nderl | | | | | | |
| | ine}^ | | | | | | |
| | [`3`] | | | | | | |
| | {.und | | | | | | |
| | erlin | | | | | | |
| | e}^[` | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `CO` | `84` | `NO` | `100` | `PM` | ` | `SO` | ` |
| | | ~`x`~ | | | 7.6` | ~`2`~ | 0.6` |
+-------+-------+-------+-------+------+-------+-------+-------+
| `VOM` | ` | | | | | | |
| | 5.5` | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Drying Oven Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.5 Units B1, B2, B3 Boilers #1, #2, and #3
7.5.1 Description
Boilers are utilized to provide process steam and heat to the plant. The boilers are each identical and are fired with natural gas. The boilers have the capability to utilize distillate fuel oil, but are not normally operated with it. Emissions from the boilers are the byproducts of fuel combustion from either natural gas or distillate fuel oil.
7.5.2 List of Emission Units and Pollution Control Equipment
+----------+----------+----------+------+----------+----------+
| `E | `Desc | `R | | | |
| mission` | ription` | ated Hea | | | |
| | | t Input` | | | |
| `Unit` | | | | | |
+----------+----------+----------+------+----------+----------+
| `B1` | `Stone | `32.4 m | `B2` | `Stone | `32.4 m |
| | Johnson | mBtu/hr` | | Johnson | mBtu/hr` |
| | Boiler ` | | | Boiler ` | |
| | | | | | |
| | `(Boi | | | `(Boi | |
| | ler #1)` | | | ler #2)` | |
+----------+----------+----------+------+----------+----------+
| `B3` | `Stone | `32.4 m | | | |
| | Johnson | mBtu/hr` | | | |
| | Boiler ` | | | | |
| | | | | | |
| | `(Boi | | | | |
| | ler #3)` | | | | |
+----------+----------+----------+------+----------+----------+
7.5.3 Applicability Provisions and Applicable Regulations
a. Boilers #1, #2, and #3 are “affected boilers" for the purpose of these unit-specific conditions.
b. Each affected boiler is subject to the emission limits identified in Condition 5.2.2.
c. No person shall cause or allow the emission of carbon monoxide (CO) into the atmosphere from any fuel combustion emission unit with actual heat input greater than 2.9 MW (10 mmBtu/hr) to exceed 200 ppm, corrected to 50 percent excess air [35 IAC 216.121].
d. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period to exceed 0.15 kg of particulate matter per MW-hr of actual heat input from any fuel combustion emission unit using liquid fuel exclusively (0.10 lb/mmBtu) [35 IAC 212.206].
e. No person shall cause or allow the emission of sulfur dioxide in any one hour period from any new fuel combustion emission unit with actual heat input smaller than, or equal to 73.2 MW (250 mmBtu/hr), burning liquid fuel exclusively to exceed 0.46 kg of sulfur dioxide per MW-hr of actual heat input when distillate fuel oil is burned (0.3 lb/mmBtu) [35 IAC 214.122(b)].
7.5.4 Non-Applicability of Regulations of Concern
a. The NSPS for Small-Industrial-Commercial-Institutional Steam Generating Units, 40 CFR 60, Subpart Dc, applies to units for which construction, modification or reconstruction is commenced after June 9, 1989 and that have a maximum design heat input capacity of 29 MW (100 mmBtu/hr) or less, but greater than or equal to 2.9 MW (10 mmBtu/hr). The affected boilers were constructed in 1988, therefore, these rules do not apply.
b. The affected boilers are not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input of is less than 73.2 MW (250 mmBtu/hr).
c. Pursuant to 35 IAC 218.303, fuel combustion emission units are not subject to 35 IAC 218.301, Use Of Organic Material.
7.5.5 Operational and Production Limits and Work Practices
a. The affected boilers shall only be fired with natural gas and distillate fuel oil.
b. The Permittee shall not utilize distillate fuel oil (Grades No. 1 and 2) in the affected boilers with a sulfur content greater than the larger of the following two values:
i. 0.28 weight percent; or
ii. The Wt percent given by the formula: Maximum Wt percent sulfur = (0.000015) x (Gross heating value of oil, Btu/lb).
7.5.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected boilers are subject to the following:
a. Emissions and operation of equipment shall not exceed the following limits:
+-------+-------+-------+-------+-------+-------+-------+-------+
| `Emis | `Fi | ` | `Annu | | | | |
| sion` | ring` | Fuel | al Em | | | | |
| | | Oil U | issio | | | | |
| | ` | sage` | ns (T | | | | |
| | Rate` | | ons/Y | | | | |
| | | | ear)` | | | | |
+-------+-------+-------+-------+-------+-------+-------+-------+
| [`Uni | [ | [`(g | [`C | [`N | [`P | [`S | [`VO |
| t`]{. | `(mmB | al/yr | O`]{. | O`]{. | M`]{. | O`]{. | M`]{. |
| under | tu/hr | )`]{. | under | under | under | under | under |
| line} | )`]{. | under | line} | line} | line} | line} | line} |
| | under | line} | ^`1`^ | ~`x`~ | ^`2`^ | ~`2`~ | ^`1`^ |
| | line} | | | ^`1`^ | | ^`2`^ | |
+-------+-------+-------+-------+-------+-------+-------+-------+
| `T | ` | ` | `3 | `4 | ` | `3 | ` |
| hree` | 97.2` | 2,000 | 7.45` | 4.58` | 5.39` | 9.90` | 2.45` |
| | | ,000` | | | | | |
| `Boi | | | | | | | |
| lers` | | | | | | | |
+-------+-------+-------+-------+-------+-------+-------+-------+
^`1`^`Natural gas firing`
^`2`^`Maximum allowed oil firing rate plus natural gas firing`
These limits are based on compliance with 35 IAC 212.206 and 35 IAC 214.122(b), standard emission factors, the type of fuel, the maximum firing rate, and the maximum hours of operation (8,736 hr/yr).
b. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
`c.`` ``The above limitations contain revisions to previously issued construction permit 88080014. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, CO, NO`~`x`~`, and PM emissions have been increased based on revisions to the standard emission factors.`
7.5.7 Testing Requirements
None
7.5.8 Monitoring Requirements
None
7.5.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected boilers to demonstrate compliance with Conditions 5.5.1, 7.5.3, and 7.5.6 pursuant to Section 39.5(7)(b) of the Act:
`a.`` ``Natural gas fuel usage for the affected boilers, Mft`^`3`^`/mo and Mft`^`3`^`/yr; `
b. Distillate fuel oil usage for the affected boilers, gal/mo and gal/yr;
c. The sulfur content of the distillate fuel oil used in the affected engine test cells (% by Wt), this shall be recorded for any one shipment of oil delivered to the source each month; and
`d.`` ``Monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected boilers shall be maintained, based on fuel consumption and the applicable emission factors, with supporting calculations.`
7.5.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected boilers with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`a.`` ``Emissions of CO, NO`~`x`~`, PM, SO`~`2`~`, and/or VOM in excess of the limit specified in Condition 7.5.6; or`
`b.`` ``The use of distillate fuel oil with a sulfur content in excess of the limit specified in Condition 7.5.5(b) with the length of time this fuel was used and the effect on emissions of SO`~`2`~` within 30 days of this violation being detected.`
7.5.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.5.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.5.9 and the emission factors and formulas listed below:
a. Compliance with Conditions 7.5.3(c) and (d) is assumed by the work-practices inherent in operation of natural gas-fired and distillate oil-fired boilers.
b. Compliance with Condition 7.5.3(e) is demonstrated by operation of the boiler with distillate fuel oil with a sulfur content meeting the specification of Condition 7.5.5(b).
c. Compliance with the emission limits of Conditions 5.5.1 and 7.5.6 shall be based on the emission factors listed below:
i. To determine compliance with Conditions 5.5.1 and 7.5.6, emissions from the affected boilers burning natural gas shall be calculated based on the following emission factors:
+-------+-------+-------+-------+------+-------+-------+-------+
| [`Pol | `Na | | | | | | |
| lutan | tural | | | | | | |
| t`]{. | Gas` | | | | | | |
| under | | | | | | | |
| line} | `E | | | | | | |
| | missi | | | | | | |
| | on Fa | | | | | | |
| | ctor` | | | | | | |
| | | | | | | | |
| | [`(l | | | | | | |
| | b/Mft | | | | | | |
| | `]{.u | | | | | | |
| | nderl | | | | | | |
| | ine}^ | | | | | | |
| | [`3`] | | | | | | |
| | {.und | | | | | | |
| | erlin | | | | | | |
| | e}^[` | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `CO` | `84` | `NO` | `100` | `PM` | `7.6` | `SO` | `0.6` |
| | | ~`x`~ | | | | ~`2`~ | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `VOM` | `5.5` | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Boiler Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
ii. To determine compliance with Condition 5.5.1 and 7.5.6, emissions from the affected boilers burning distillate fuel oil shall be calculated based on the following emission factors:
+-------+-------+-------+------+------+-----+-------+-------+
| [`Pol | `D | | | | | | |
| lutan | istil | | | | | | |
| t`]{. | late | | | | | | |
| under | Fuel | | | | | | |
| line} | Oil E | | | | | | |
| | missi | | | | | | |
| | on Fa | | | | | | |
| | ctor` | | | | | | |
| | | | | | | | |
| | [`(l | | | | | | |
| | b/100 | | | | | | |
| | 0 gal | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+------+------+-----+-------+-------+
| `CO` | `5` | `NO` | `20` | `PM` | `2` | `SO` | `1 |
| | | ~`x`~ | | | | ~`2`~ | 42 S` |
+-------+-------+-------+------+------+-----+-------+-------+
| `VOM` | `0 | | | | | | |
| | .216` | | | | | | |
+-------+-------+-------+------+------+-----+-------+-------+
These are the emission factors for uncontrolled distillate fuel oil combustion in commercial/institutional/residential combustors, Tables 1.3-2 and 1.3-15, AP-42, Volume I, Fifth Edition, October, 1996. S indicates that the weight % of sulfur in the oil should be multiplied by the value given.
Boiler Emissions (lb) = (Distillate Fuel Oil Consumed, gal)x (The Appropriate Emission Factor, lb/1000 gal)
7.6 Unit NGDDF NGD Crankshaft Draw Furnace
7.6.1 Description
The next generation diesel (NGD) engine crankshaft draw furnace is used for heat treating metal. Emissions from this unit will be due to byproducts of natural gas combustion.
7.6.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `NGDDF` | `Lanley Draw Furnac | `None` |
| | e (NGD Crankshaft Draw Furnace)` | |
+------------+----------------------------------+--------------------+
7.6.3 Applicability Provisions and Applicable Regulations
a. The NGD Crankshaft Draw Furnace is an “affected draw furnace" for the purpose of these unit-specific conditions.
b. The affected draw furnace is subject to the emission limits identified in Condition 5.2.2.
c. The affected draw furnace is subject to 35 IAC 212.321(a), which provides that:
i. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any new process emission unit, either alone or in combination with the emission of particulate matter from all other similar process emission units for which construction or modification commenced on or after April 14, 1972, at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.321 (see also Attachment 1) [35 IAC 212.321(a)].
ii. Because the expected process weight rate for the affected draw furnace is 5,000 pounds per hour, the allowable PM emission rate for the affected draw furnace set by 35 IAC 212.321 is 4.14 pounds per hour.
d. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
e. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, 218.304 and the following exception: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall apply only to photochemically reactive material [35 IAC 218.301].
7.6.4 Non-Applicability of Regulations of Concern
a. The affected draw furnace is not subject to 35 IAC 216.121, Emissions of Carbon Monoxide from Fuel Combustion Emission Units, because the actual heat input is less than 2.9 MW (10 mmBtu/hr) and the affected draw furnace is not by definition a fuel combustion emission unit.
b. The affected draw furnace is not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input is less than 73.2 MW (250 mmBtu/hr) and the affected draw furnace is not by definition a fuel combustion emission unit.
`c.`` ``The affected draw furnace is not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.6.5 Operational and Production Limits and Work Practices
The affected draw furnace shall only be operated with natural gas as the fuel.
7.6.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected draw furnace is subject to the following:
a. Emissions and operation of equipment shall not exceed the following limits:
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
`Item of` `Fuel Usage` `NO`~`x`~` Emissions` `CO Emissions`
[`Equipment`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/mo`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline}
`Draw Furnace` `3.2` `19.4` `0.16` `0.97` `0.13` `0.80`
--------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------ ------------------------ ------------------------
i. These limits are based on standard emission factors, the type of fuel, and the maximum fuel usage.
ii. The above limitations contain revisions to previously issued construction permit 91100096. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and/or 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the emission limit for CO has been increased based on a revised AP-42 emission factor and the production limitations have been switched from the maximum firing rate and maximum hours of operation of the unit to the maximum monthly and annual fuel usage rates.
7.6.7 Testing Requirements
None
7.6.8 Monitoring Requirements
None
7.6.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected draw furnace to demonstrate compliance with Conditions 5.5.1, 7.6.3, and 7.6.6 pursuant to Section 39.5(7)(b) of the Act:
`a.`` ``Records of the fuel usage for the affected draw furnace, Mft`^`3`^`/mo and Mft`^`3`^`/yr; and`
`b.`` ``Records of monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected draw furnace shall be maintained, based on fuel usage and the applicable emission factors, with supporting calculations.`
7.6.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected draw furnace with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`Emissions of NO`~`x`~` and/or CO in excess of the limits in Condition 7.6.6 based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
7.6.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.6.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.6.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.6.3 is assumed by the work-practices inherent in operation of a natural gas-fired draw furnace.
b. To determine compliance with Conditions 5.5.1 and 7.6.6 fuel combustion emissions from the affected draw furnace shall be calculated based on the following emission factors:
+-------+-------+-------+-------+------+-------+-------+-------+
| [`Pol | `E | | | | | | |
| lutan | missi | | | | | | |
| t`]{. | on Fa | | | | | | |
| under | ctor` | | | | | | |
| line} | | | | | | | |
| | [`(l | | | | | | |
| | b/Mft | | | | | | |
| | `]{.u | | | | | | |
| | nderl | | | | | | |
| | ine}^ | | | | | | |
| | [`3`] | | | | | | |
| | {.und | | | | | | |
| | erlin | | | | | | |
| | e}^[` | | | | | | |
| | )`]{. | | | | | | |
| | under | | | | | | |
| | line} | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `CO` | `84` | `NO` | `100` | `PM` | `7.6` | `SO` | `0.6` |
| | | ~`x`~ | | | | ~`2`~ | |
+-------+-------+-------+-------+------+-------+-------+-------+
| `VOM` | `5.5` | | | | | | |
+-------+-------+-------+-------+------+-------+-------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Draw Furnace Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.7 Units SH 41 Natural Gas Fired Space Heaters
7.7.1 Description
Numerous natural gas-fired space heaters are located throughout the facility. The heaters are used to retain a comfortable working temperature in the area. Emissions from these units will be the byproducts of natural gas fuel combustion.
7.7.2 List of Emission Units and Pollution Control Equipment
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<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Rated Heat Input</code></p></td>
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<tr class="even">
<td><p><code>L-3</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>L-6</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>L-9</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>L-13</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>BB-3</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>BB-8</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>BB-12</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>N-18</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>G-12</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>G-8</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>G-4</code></p></td>
<td><p><code>Rapid Model 3073 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>8.25 mmBtu/hr</code></p></td>
<td><p><code>BB-7</code></p></td>
<td><p><code>Rapid Model SR66 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>6.25 mmBtu/hr</code></p></td>
<td><p><code>B-23</code></p></td>
<td><p><code>Rapid Model 3060 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>4.25 mmBtu/hr</code></p></td>
<td><p><code>10-E</code></p></td>
<td><p><code>Rapid Model 3049 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>3.25 mmBtu/hr</code></p></td>
<td><p><code>10-W</code></p></td>
<td><p><code>Rapid Model 3049 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>3.25 mmBtu/hr</code></p></td>
<td><p><code>A-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>C-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
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</tr>
<tr class="odd">
<td><p><code>D-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
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<tr class="even">
<td><p><code>Emission</code></p>
<p><code>Unit</code></p></td>
<td><p><code>Description</code></p></td>
<td><p><code>Rated Heat Input</code></p></td>
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<tr class="odd">
<td><p><code>E-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>F-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>G-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>H-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>I-20</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>A-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>B-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>C-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>E-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>F-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>G-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>I-16</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>G-24</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>K-15</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>K-18</code></p></td>
<td><p><code>Buffalo Model C-25-210-GFU Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>AA-21-3</code></p></td>
<td><p><code>Hartzell Model G-2512 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>AA-21-4</code></p></td>
<td><p><code>Hartzell Model G-2512 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>D-2</code></p></td>
<td><p><code>Hartzell Model G-259 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>H-2</code></p></td>
<td><p><code>Hartzell Model G-259 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>2.5 mmBtu/hr</code></p></td>
<td><p><code>L-9</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>5.2 mmBtu/hr</code></p></td>
<td><p><code>AA-17</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>5.2 mmBtu/hr</code></p></td>
<td><p><code>L-13-0</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>5.2 mmBtu/hr</code></p></td>
</tr>
<tr class="even">
<td><p><code>L-13-3</code></p></td>
<td><p><code>Devilbliss Model ARG-50 Natural Gas Fired Space Heater</code></p></td>
<td><p><code>5.2 mmBtu/hr</code></p></td>
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</tbody>
</table>
7.7.3 Applicability Provisions and Applicable Regulations
a. The 41 natural gas fired space heaters are “affected space heaters" for the purpose of these unit-specific conditions.
b. Each affected space heater is subject to the emission limits identified in Condition 5.2.2.
c. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
d. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, or 218.304 and the following exemption: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall only apply to photochemically reactive material [35 IAC 218.301].
7.7.4 Non-Applicability of Regulations of Concern
a. The affected space heaters are not subject to 35 IAC 216.121, emissions of carbon monoxide from fuel combustion emission units, because the affected space heaters are not by definition fuel combustion emission units.
b. The affected space heaters are not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, or 35 IAC 217.141, emissions of nitrogen oxides from existing fuel combustion emission sources in major metropolitan areas, because the actual heat input of each unit is less than 73.2 MW (250 mmBtu/hr) and the affected space heaters are not by definition fuel combustion emission units.
c. This permit is issued based on the affected space heaters not being subject to 35 IAC 212.321 or 212.322 because due to the unique nature of this process, such rules cannot reasonably be applied.
`d.`` ``The affected space heaters are not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.7.5 Operational and Production Limits and Work Practices
The affected space heaters shall only be operated with natural gas as the fuel.
7.7.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected space heaters are subject to the following:
a. Emissions and operation of the space heaters shall not exceed the following limits:
------------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------
`Fuel Usage` `NO`~`x`~` Emissions`
[`Emission Unit`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/mo`]{.underline} [`Mft`]{.underline}^[`3`]{.underline}^[`/yr`]{.underline} [`Ton/mo`]{.underline} [`Ton/yr`]{.underline}
`41 Space Heaters` `111.85` `755` `5.60` `37.75`
------------------------------- ----------------------------------------------------------- ----------------------------------------------------------- ------------------------ ------------------------
These limits are based on standard emission factors, the type of fuel and the maximum fuel usage. The above limitations have been established at the request of the Permittee pursuant to 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits ensure that the construction/modification of these units does not constitute a new major source or major modification pursuant to the federal rules for Prevention of Significant Deterioration (PSD), 40 CFR 52.21.
b. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
7.7.7 Testing Requirements
None
7.7.8 Monitoring Requirements
None
7.7.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected space heaters to demonstrate compliance with Conditions 5.5.1, 7.7.3, and 7.7.6 pursuant to Section 39.5(7)(b) of the Act:
`a.`` ``Records of the fuel usage for the affected space heaters, Mft`^`3`^`/mo and Mft`^`3`^`/yr;`
`b.`` ``Records of monthly and annual aggregate NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected space heaters shall be maintained, based on fuel usage and the applicable emission factors, with supporting calculations.`
7.7.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected space heaters with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`Emissions of NO`~`x`~` in excess of the limits in Condition 7.7.6 based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
7.7.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.7.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.7.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.7.3 is assumed by the work-practices inherent in operation of natural gas-fired space heaters.
b. To determine compliance with Conditions 5.5.1 and 7.7.6 fuel combustion emissions from the affected space heaters shall be calculated based on the following emission factors:
+-------------+-------------+------+-------+-----------+-------+
| [`P | `Emiss | | | | |
| ollutant`]{ | ion Factor` | | | | |
| .underline} | | | | | |
| | [`(l | | | | |
| | b/Mft`]{.un | | | | |
| | derline}^[` | | | | |
| | 3`]{.underl | | | | |
| | ine}^[`)`]{ | | | | |
| | .underline} | | | | |
+-------------+-------------+------+-------+-----------+-------+
| `NO`~`x`~ | `100` | `PM` | `7.6` | `SO`~`2`~ | `0.6` |
+-------------+-------------+------+-------+-----------+-------+
| `VOM` | `5.5` | | | | |
+-------------+-------------+------+-------+-----------+-------+
These are the emission factors for uncontrolled natural gas combustion in small boilers (< 100 mmBtu/hr), Tables 1.4-1 and 1.4-2, AP-42, Volume I, Fifth Edition, Supplement D, March, 1998.
`Space Heater Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.8 Units ETC 79 Engine Test Cells
7.8.1 Description
The engine test cells are operated to verify the operation of each of the assembled engines. Emissions from these cells are the byproducts of fuel combustion. The engine test cells were installed and operational since 1946.
7.8.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `ETC` | `7 | `None` |
| | 9 Navistar International Transpo | |
| | rtation Corp. Engine Test Cells` | |
+------------+----------------------------------+--------------------+
7.8.3 Applicability Provisions and Applicable Regulations
a. The 79 engine test cells are “affected engine test cells" for the purpose of these unit-specific conditions.
b. Each affected engine test cell is subject to the emission limits identified in Condition 5.2.2.
c. Pursuant to 35 IAC 214.122(b)(2) and 214.304, no person shall cause or allow the emission of sulfur dioxide into the atmosphere in any one hour period from the burning of fuel at process emission units located in the Chicago major metropolitan area with actual heat input smaller than, or equal to 73.2 MW (250 mmBtu/hr), burning liquid fuel exclusively to exceed 0.46 kg of sulfur dioxide per MW-hr of actual input when distillate fuel oil is burned (0.3 lb/mmBtu).
d. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, or 218.304 and the following exemption: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall only apply to photochemically reactive material [35 IAC 218.301].
7.8.4 Non-Applicability of Regulations of Concern
a. The affected engine test cells are not subject to 35 IAC 216.121, emissions of carbon monoxide from fuel combustion emission units, because the affected engine test cells are not by definition fuel combustion emission units.
b. The affected engine test cells are not subject to 35 IAC 217.141, emissions of nitrogen oxides from existing fuel combustion emission sources in major metropolitan areas, because the actual heat input of each unit is less than 73.2 MW (250 mmBtu/hr) and the affected engine test cells are not by definition fuel combustion emission units.
c. This permit is issued based on the affected engine test cells not being subject to 35 IAC 212.322 because due to the unique nature of this process, such rules cannot reasonably be applied.
`d.`` ``The affected engine test cells are not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.8.5 Operational and Production Limits and Work Practices
a. The affected engine test cells shall only be operated with distillate fuel oil.
b. Distillate fuel oil (Grades No. 1 and 2) with a sulfur content greater than the larger of the following two values shall not be used in an affected engine test cells:
i. 0.28 weight percent, or
ii. The Wt percent given by the formula: Maximum Wt percent sulfur = (0.000015) x (Gross heating value of oil, Btu/lb).
7.8.6 Emission Limitations
There are no specific emission limitations for this unit, however, there are source wide emission limitations in Condition 5.5 that include this unit.
7.8.7 Testing Requirements
None
7.8.8 Monitoring Requirements
None
7.8.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected engine test cells to demonstrate compliance with Conditions 5.5.1 and 7.8.3 pursuant to Section 39.5(7)(b) of the Act:
a. Distillate fuel oil usage for the Engineering Test Cells, gal/mo and gal/yr;
b. Distillate fuel oil usage for the Production Test Cells, gal/mo and gal/yr;
c. The sulfur content of the distillate fuel oil used in the affected engine test cells (% by Wt), this shall be recorded for any one shipment of oil delivered to the source each month; and
`d.`` ``Monthly and annual aggregate NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected engine test cells shall be maintained, based on the fuel usage of the affected engine test cells and the applicable emission factors, with supporting calculations.`
7.8.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected engine test cells with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`The use of distillate fuel oil with a sulfur content in excess of the limit specified in Condition 7.8.5(b) with the length of time this fuel was used and the effect on emissions of SO`~`2`~` within 30 days of this violation being detected.`
7.8.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.8.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.8.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.8.3(d) is assumed by the work-practices inherent in operation of distillate oil-fired engine test cells.
b. Compliance with Condition 7.8.3(c) is assumed to be demonstrated by operation of the affected engine test cells with distillate fuel oil with a sulfur content meeting the specification of Condition 7.8.5(b).
c. To determine compliance with Condition 5.5.1, emissions from the affected engine test cells shall be calculated based on the following emission factors:
+-------+-------+-------+------+-------+-------+-------+-------+-------+
| [`Pol | `Eng | `Pr | | | | | | |
| lutan | ineer | oduct | | | | | | |
| t`]{. | ing T | ion T | | | | | | |
| under | est C | est C | | | | | | |
| line} | ell E | ell E | | | | | | |
| | missi | missi | | | | | | |
| | on Fa | on Fa | | | | | | |
| | ctor` | ctor` | | | | | | |
| | | | | | | | | |
| | [`(l | [`(l | | | | | | |
| | b/gal | b/gal | | | | | | |
| | )`]{. | )`]{. | | | | | | |
| | under | under | | | | | | |
| | line} | line} | | | | | | |
+-------+-------+-------+------+-------+-------+-------+-------+-------+
| `NO` | `0 | `0 | `PM` | `0 | `0 | `SO` | `7 | `7 |
| ~`x`~ | .188` | .192` | | .011` | .006` | ~`2`~ | .1 S` | .1 S` |
+-------+-------+-------+------+-------+-------+-------+-------+-------+
| `VOM` | `0 | `0 | | | | | | |
| | .023` | .012` | | | | | | |
+-------+-------+-------+------+-------+-------+-------+-------+-------+
These are the emission factors for uncontrolled diesel reciprocating engine testing at this source based on stack testing. S indicates that the weight % of sulfur in the oil should be multiplied by the value given.
Engine Test Cell Emissions (lb) = (Distillate Fuel Oil Consumed, gal)x (The Appropriate Emission Factor, lb/gal)
7.9 Unit COGEN Cogeneration System
Control C3 3-Way Catalytic Converters
7.9.1 Description
The cogeneration system is used to supply electricity to the plant during the peak operating hours and for emergency purposes when the facility experiences a loss of electrical service from the public utility company. The system consists of 12 Caterpillar natural gas reciprocating engines producing a combined total of 9.4 MW. Each engine has a 4160 volt generator to produce nominally 770 kW of self-generated power. Each engine also has an exhaust heat recovery silencer and produces steam for heating and process as well as a three-way catalytic converter to reduce emissions. The catalytic converter has temperature sensors to monitor operation. In addition, an air/fuel controller is mounted to each engine set to maintain a rich fuel mixture.
7.9.2 List of Emission Units and Pollution Control Equipment
+------------+---------------------------+---------------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+---------------------------+---------------------------+
| `COGEN` | `12 Ca | `3-Way C |
| | terpillar Model G3516SITA | atalytic Converters (12)` |
| | Natural Gas Spark Igniti | |
| | on Reciprocating Engines` | |
+------------+---------------------------+---------------------------+
7.9.3 Applicability Provisions and Applicable Regulations
a. Each engine is an “affected engine" for the purpose of these unit-specific conditions.
b. Each affected engine is subject to the emission limits identified in Condition 5.2.2.
c. No person shall cause or allow the emission of sulfur dioxide into the atmosphere from any process emission unit to exceed 2000 ppm, [35 IAC 214.301].
d. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, or 218.304 and the following exemption: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall only apply to photochemically reactive material [35 IAC 218.301].
7.9.4 Non-Applicability of Regulations of Concern
a. The affected engines are not subject to 35 IAC 216.121, emissions of carbon monoxide from fuel combustion emission units, because the affected engines are not by definition fuel combustion emission units.
b. The affected engines are not subject to 35 IAC 217.121, emissions of nitrogen oxides from new fuel combustion emission sources, because the actual heat input of each unit is less than 73.2 MW (250 mmBtu/hr) and the affected engines are not by definition fuel combustion emission units.
c. This permit is issued based on the affected engines not being subject to 35 IAC 212.321 because due to the unique nature of this process, such rules cannot reasonably be applied.
`d.`` ``The affected engines are not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.9.5 Operational and Production Limits and Work Practices
a. The 3-way catalytic converters shall be operated to control emissions of nitrogen oxides (NOx), carbon monoxide (CO), and volatile organic material (VOM).
`i.`` ``The 3-way catalytic converters shall be operated to provide 92.5%, 83%, and 45% control efficiency for NO`~`x`~`, CO, and VOM respectively.`
ii. The Permittee shall follow good operating practices for the 3-way catalytic converters, including periodic inspection, routine maintenance and prompt repair of defects.
b. The affected engines shall only be operated with natural gas as the fuel.
7.9.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected engines are subject to the following:
a. The operation of affected engines shall not exceed the following limits:
------------------------------- ----------------------------- -----------------------------
`Natural Gas Usage`
[`Emission Unit`]{.underline} [`(Therms/mo)`]{.underline} [`(Therms/yr)`]{.underline}
`12 Engines` `537,339` `3,224,034`
------------------------------- ----------------------------- -----------------------------
`b.`` ``Emissions of nitrogen oxides (NO`~`x`~`), carbon monoxide (CO), and volatile organic material (VOM) from the engines shall not exceed the following limits:`
---------------------- ------------------------ ------------------------ ------------------------ ------------------------ ------------------------ ------------------------
`E M I S S I O N S`
`Emission` `NO`~`x`~ `CO` `VOM`
[`Unit`]{.underline} [`(T/Mo)`]{.underline} [`(T/Yr)`]{.underline} [`(T/Mo)`]{.underline} [`(T/Yr)`]{.underline} [`(T/Mo)`]{.underline} [`(T/Yr)`]{.underline}
`12 Engines` `6.27` `37.56` `14.55` `87.60` `0.57` `4.20`
---------------------- ------------------------ ------------------------ ------------------------ ------------------------ ------------------------ ------------------------
c. These limits are based on emission factors supplied by the vendor, the type of fuel, and the maximum electric outputs of the affected engines.
d. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
e. The above limitations contain revisions to previously issued construction permit 92080029. The source has requested that the Illinois EPA establish conditions in this permit that allow various refinements from the conditions of this construction permit, consistent with the information provided in the CAAPP application. The source has requested these revisions and has addressed the applicability and compliance of 35 IAC Part 203, Major Stationary Sources Construction and Modification and 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits continue to ensure that the construction and/or modification addressed in this construction permit does not constitute a new major source or major modification pursuant to these rules. These limits supersede the limitations established in this construction permit and the information in the CAAPP application contains the most current and accurate information for the source. Specifically, the limits for the operating hours and natural gas fuel usage have been replaced with monthly and annual limits of the natural gas usage for all 12 of the affected engines.
7.9.7 Testing Requirements
None
7.9.8 Monitoring Requirements
Monitoring of the fuel usage of the affected engines shall be performed as follows [Section 39.5(7)(b) of the Act]:
a. The Permittee shall install and operate a continuous monitoring system to monitor and record the fuel consumption for the affected engines.
b. The Permittee shall install and operate a continuous monitoring system to monitor and record the electrical output of the affected engines.
7.9.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected engines to demonstrate compliance with Conditions 5.5.1, 7.9.3, and 7.9.6 pursuant to Section 39.5(7)(b) of the Act:
a. Records addressing use of good operating practices for the 3-way catalytic converters:
i. Records for periodic inspection of the 3-way catalytic converters with date, individual performing the inspection, and nature of inspection; and
ii. Records for prompt repair of defects, with identification and description of defect, effect on emissions, date identified, date repaired, and nature of repair.
b. Natural gas fuel consumption for each affected engine, Therms/mo, and Therms/yr;
`c.`` ``Monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected engines shall be maintained, based on the electrical output of the affected engines and the applicable emission factors, with supporting calculations.`
7.9.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected engines with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
a. Continued operation of an affected engine with a defect in a 3-way catalytic converter that may result in emissions in excess of limits in Condition 7.9.3(c) and/or 7.9.6(b) within 30 days of such an occurrence.
`b.`` ``Emissions of NO`~`x`~`, CO, and/or VOM in excess of the limits in Condition 7.9.6(b) based on the current month's records plus the preceding 11 months within 30 days of such an occurrence.`
c. Operation of the affected engines in excess of the limit for electrical output in Condition 7.9.6(a) within 30 days of such an occurrence.
7.9.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.9.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.9.9 and the emission factors and formulas listed below:
a. Compliance with Conditions 7.9.3(b) and (c) is assumed by the work-practices inherent in operation of natural gas-fired engines.
b. Compliance with Condition 7.9.3(c) is assumed to be demonstrated by operation of the 3-way catalytic converters as specified in Condition 7.9.5(a).
c. Compliance with the emission limits of Conditions 5.5.1 and 7.9.6(b) shall be based on the emission factors listed below:
`i.`` ``To determine compliance with Conditions 5.5.1 and 7.9.6(b), emissions of CO, NO`~`x`~`, and VOM from the affected engines shall be calculated based on the following emission factors:`
+-----------------------+-----------------------+-----------+-------+
| [`Po | `Emission Factor` | | |
| llutant`]{.underline} | | | |
| | [`(lb/Mft`]{.unde | | |
| | rline}^[`3`]{.underli | | |
| | ne}^[`)`]{.underline} | | |
+-----------------------+-----------------------+-----------+-------+
| `CO` | `541` | `NO`~`x`~ | `233` |
+-----------------------+-----------------------+-----------+-------+
| `VOM` | ` 21` | | |
+-----------------------+-----------------------+-----------+-------+
`These are the uncontrolled emission factors for CO, NO`~`x`~`, and VOM for the Caterpillar Model 3516 SI natural gas reciprocating engine and were supplied by the vendor. VOM emission factor is based on the nonmethane emission factor.`
`Engine Emissions (lb) = (Natural Gas Consumed, Therms) x (100 ft`^`3`^`/Therm) x (1 Mft`^`3`^`/1,000,000 ft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`) x [1 - (Catalytic Converter Efficiency`^`*`^` (%)/100)]`
^`*`^`As specified by Condition 7.9.5(a)(i).`
`ii.`` ``To determine compliance with Condition 5.5.1 emissions of PM and SO`~`2`~` from the affected engines shall be calculated based on the following emission factors:`
+---------------------------+-----------------------------------------+
| [`Pollutant`]{.underline} | `Emission Factor` |
| | |
| | [`(lb/Mft`]{.underli |
| | ne}^[`3`]{.underline}^[`)`]{.underline} |
+---------------------------+-----------------------------------------+
| `PM` | `10.0` |
+---------------------------+-----------------------------------------+
| `SO`~`2`~ | `0.6` |
+---------------------------+-----------------------------------------+
`These are the emission factors for uncontrolled natural gas reciprocating cogeneration engines (SCC #20200204), FIRE Version 5.0 Source Classification Codes and Emission Factor Listing for Criteria Air Pollutants, August, 1995. PM emission factor is based on the PM`~`10`~` factor.`
`Engine Emissions (lb) = (Natural Gas Consumed, Mft`^`3`^`) x (100 ft`^`3`^`/Therm) x (1 Mft`^`3`^`/1,000,000 ft`^`3`^`) x (The Appropriate Emission Factor, lb/Mft`^`3`^`)`
7.10 Units EETC 15 Engineering Engine Test Cells
7.10.1 Description
The engineering engine test cells are used to support new light duty engine development and testing. These test cells include chassis emission cells, mileage accumulation stands, powertrain simulation test cells and performance dyno test cells. Emissions from these cells are the byproducts of fuel combustion.
7.10.2 List of Emission Units and Pollution Control Equipment
+------------+----------------------------------+--------------------+
| `Emission` | `Description` | `Emission Control` |
| | | |
| `Unit` | | `Equipment` |
+------------+----------------------------------+--------------------+
| `EETC` | `15 Navistar I | `None` |
| | nternational Transportation Corp | |
| | . Engineering Engine Test Cells` | |
+------------+----------------------------------+--------------------+
7.10.3 Applicability Provisions and Applicable Regulations
a. The 15 engineering engine test cells are “affected engine test cells" for the purpose of these unit-specific conditions.
b. Each affected engine test cell is subject to the emission limits identified in Condition 5.2.2.
c. Pursuant to 35 IAC 214.122(b)(2) and 214.304, no person shall cause or allow the emission of sulfur dioxide into the atmosphere in any one hour period from the burning of fuel at process emission units located in the Chicago major metropolitan area with actual heat input smaller than, or equal to 73.2 MW (250 mmBtu/hr), burning liquid fuel exclusively to exceed 0.46 kg of sulfur dioxide per MW-hr of actual input when distillate fuel oil is burned (0.3 lb/mmBtu).
d. No person shall cause or allow the discharge of more than 3.6 kg/hr (8 lb/hr) of organic material into the atmosphere from any emission unit, except as provided in 35 IAC 218.302, 218.303, or 218.304 and the following exemption: If no odor nuisance exists the limitation of 35 IAC 218 Subpart G shall only apply to photochemically reactive material [35 IAC 218.301].
7.10.4 Non-Applicability of Regulations of Concern
a. The affected engine test cells are not subject to 35 IAC 216.121, emissions of carbon monoxide from fuel combustion emission units, because the affected engine test cells are not by definition fuel combustion emission units.
b. The affected engine test cells are not subject to 35 IAC 217.141, emissions of nitrogen oxides from existing fuel combustion emission sources in major metropolitan areas, because the actual heat input of each unit is less than 73.2 MW (250 mmBtu/hr) and the affected engine test cells are not by definition fuel combustion emission units.
c. This permit is issued based on the affected engine test cells not being subject to 35 IAC 212.321 because due to the unique nature of this process, such rules cannot reasonably be applied.
`d.`` ``The affected engine test cells are not subject to 35 IAC 212.324, Process Emission Units In Certain Areas, because the source is not located in a non-attainment area for PM`~`10`~`, as identified in 35 IAC 212.324(a)(1).`
7.10.5 Operational and Production Limits and Work Practices
a. The affected engine test cells shall only be operated with distillate fuel oil.
b. Distillate fuel oil (Grades No. 1 and 2) with a sulfur content greater than the larger of the following two values shall not be used in an affected engine test cells:
i. 0.28 weight percent, or
ii. The Wt percent given by the formula: Maximum Wt percent sulfur = (0.000015) x (Gross heating value of oil, Btu/lb).
7.10.6 Emission Limitations
In addition to Condition 5.2.2 and the source wide emission limitations in Condition 5.5, the affected engine test cells are subject to the following:
a. The total fuel usage for all fifteen diesel engine test cells shall not exceed the following limits:
------------------------------- ------------------------------
[`gallons/month`]{.underline} [`gallons/year`]{.underline}
`53,625` `321,750`
------------------------------- ------------------------------
b. The total emissions from all fifteen diesel engine test cells shall not exceed the following limits:
------------------------------- ------------------------------- ------------------------------- --------- -------- --------
`CO` `NO`~`x`~ `PM`
[`(t/mo) (t/yr)`]{.underline} [`(t/mo) (t/yr)`]{.underline} [`(t/mo) (t/yr)`]{.underline}
`43.76` `16.41` `82.37` `30.89` `4.72` `1.77`
`SO`~`2`~ `VOM`
[`(t/mo) (t/yr)`]{.underline} [`(t/mo) (t/yr)`]{.underline}
`5.96` `2.23` `9.87` `3.70`
------------------------------- ------------------------------- ------------------------------- --------- -------- --------
`c.`` ``These limits are based on the maximum fuel usage for the engine test cells and representations of the maximum actual emissions resulting from the maximum fuel usage. The emission factors for NO`~`x`~` (0.188 lb/gal), PM (0.011 lb/gal), SO`~`2`~` (0.0139 lb/gal), and VOM (0.023 lb/gal) are based on stack testing and a standard emission factor for CO (102 lb/1000 gal).`
d. Compliance with annual limits shall be determined on a monthly basis from the sum of the data for the current month plus the preceding 11 months (running 12 month total).
e. The above limitations were established in Construction Permit 98070033, pursuant to 35 IAC Part 203 and 40 CFR 52.21, Prevention of Significant Deterioration (PSD). These limits ensure that the construction and/or modification addressed in the aforementioned Construction Permit does not constitute a new major source or major modification pursuant to 35 IAC Part 203 and the federal rules for Prevention of Significant Deterioration (PSD), 40 CFR 52.21.
f. The VOM emission units with contemporaneous VOM emissions are described in Table 1 of Attachment 3. The emission units or activities used to decrease emissions are described in Table 2 of Attachment 3. The net change in VOM emissions is described in Table 3 of Attachment 3.
7.10.7 Testing Requirements
None
7.10.8 Monitoring Requirements
None
7.10.9 Recordkeeping Requirements
In addition to the records required by Condition 5.6, the Permittee shall maintain records of the following items for the affected engine test cells to demonstrate compliance with Conditions 5.5.1 and 7.10.3 pursuant to Section 39.5(7)(b) of the Act:
a. Distillate fuel oil usage for the affected engine test cells, gal/mo and gal/yr (running total);
b. The sulfur content of the distillate fuel oil used in the affected engine test cells (% by Wt), this shall be recorded for any one shipment of oil delivered to the source each month; and
`c.`` ``Monthly and annual aggregate CO, NO`~`x`~`, PM, SO`~`2`~`, and VOM emissions from the affected engine test cells shall be maintained, based on the fuel usage of the affected engine test cells and the applicable emission factors, with supporting calculations.`
7.10.10 Reporting Requirements
The Permittee shall promptly notify the Illinois EPA, Compliance Section of noncompliance of the affected engine test cells with the permit requirements as follows pursuant to Section 39.5(7)(f)(ii) of the Act. Reports shall describe the probable cause of such deviations, and any corrective actions or preventive measures taken:
`a.`` ``The use of distillate fuel oil with a sulfur content in excess of the limit specified in Condition 7.10.5(b) with the length of time this fuel was used and the effect on emissions of SO`~`2`~` within 30 days of this violation being detected.`
b. Emissions from the fifteen diesel engine test cells in excess of the limits in Condition 7.10.6(b) within 30 days of a record showing such an occurrence.
7.10.11 Operational Flexibility/Anticipated Operating Scenarios
N/A
7.10.12 Compliance Procedures
Compliance with the emission limits shall be based on the recordkeeping requirements in Condition 7.10.9 and the emission factors and formulas listed below:
a. Compliance with Condition 7.10.3(d) is assumed by the work-practices inherent in operation of distillate oil-fired engine test cells.
b. Compliance with Condition 7.10.3(c) is assumed to be demonstrated by operation of the affected engine test cells with distillate fuel oil with a sulfur content meeting the specification of Condition 7.10.5(b).
c. To determine compliance with Condition 5.5.1, emissions from the affected engine test cells shall be calculated based on the following emission factors:
`i.`` ``NO`~`x`~`, PM, SO`~`2`~`, and VOM Emissions:`
+------------+------------+------+---------+-----------+---------+
| [`Pol | `Emissi | | | | |
| lutant`]{. | on Factor` | | | | |
| underline} | | | | | |
| | [` | | | | |
| | lb/gal`]{. | | | | |
| | underline} | | | | |
+------------+------------+------+---------+-----------+---------+
| `NO`~`x`~ | `0.188` | `PM` | `0.011` | `SO`~`2`~ | `7.1 S` |
+------------+------------+------+---------+-----------+---------+
| `VOM` | `0.023` | | | | |
+------------+------------+------+---------+-----------+---------+
These are the emission factors for uncontrolled diesel reciprocating engine testing at this source based on stack testing. S indicates that the weight % of sulfur in the oil should be multiplied by the value given.
Engine Test Cell Emissions (lb) = (Distillate Fuel Oil Consumed, gal)x (The Appropriate Emission Factor, lb/gal)
ii. CO Emissions:
+---------------------------+-----------------------------+
| [`Pollutant`]{.underline} | `Emission Factor` |
| | |
| | [`lb/1000 gal`]{.underline} |
+---------------------------+-----------------------------+
| `CO` | `0.102` |
+---------------------------+-----------------------------+
This is the emission factor for emissions of CO from Diesel/Kerosene Reciprocating Engine Testing (SCC 20400402), FIRE Version 5.0 Source Classification Codes and Emission Factor Listing for Criteria Air Pollutant (August, 1995).
Engine Test Cell Emissions (lb) = (Distillate Fuel Oil Consumed, gal)x (The Appropriate Emission Factor, lb/1000 gal)
`8.0`` ``GENERAL PERMIT CONDITIONS`
8.1 Permit Shield
Pursuant to Section 39.5(7)(j) of the Act, the Permittee has requested and has been granted a permit shield. This permit shield provides that compliance with the conditions of this permit shall be deemed compliance with applicable requirements which were applicable as of the date the proposed permit for this source was issued, provided that either the applicable requirements are specifically identified within this permit, or the Illinois EPA, in acting on this permit application, has determined that other requirements specifically identified are not applicable to this source and this determination (or a concise summary thereof) is included in this permit.
`This permit shield does not extend to applicable requirements which are promulgated after `**`________``{``insert public notice start date``}`**` (the date of issuance of the draft permit) unless this permit has been modified to reflect such new requirements.`
8.2 Applicability of Title IV Requirements (Acid Deposition Control)
This source is not an affected source under Title IV of the CAA and is not subject to requirements pursuant to Title IV of the CAA.
8.3 Emissions Trading Programs
No permit revision shall be required for increases in emissions allowed under any USEPA approved economic incentives, marketable permits, emissions trading, and other similar programs or processes for changes that are provided for elsewhere in this permit and that are authorized by the applicable requirement [Section 39.5(7)(o)(vii) of the Act].
8.4 Operational Flexibility/Anticipated Operating Scenarios
8.4.1 Changes Specifically Addressed by Permit
Physical or operational changes specifically addressed by the Conditions of this permit that have been identified as not requiring Illinois EPA notification may be implemented without prior notice to the Illinois EPA.
8.4.2 Changes Requiring Prior Notification
The Permittee is authorized to make physical or operational changes without applying for or obtaining an amendment to this permit, provided that the changes do not constitute a modification under Title I of the CAA, emissions will not exceed the emissions allowed under this permit following implementation of the physical or operational change and the Permittee provides written notice to the Illinois EPA, Division of Air Pollution Control, Permit Section, at least 7 days before commencement of the change [Section 39.5(12)(a) of the Act]. This notice shall:
a. Describe the physical or operational change;
b. Identify the schedule for implementing the physical or operational change;
c. Provide a statement of whether or not any New Source Performance Standard (NSPS) is applicable to the physical or operational change and the reason why the NSPS does or does not apply;
d. Provide emission calculations which demonstrate that the physical or operational change will not result in a modification; and
`e.`` ``Provide a certification that the physical or operational change will not result in emissions greater than authorized under the Conditions`**` `**`of this permit.`
8.5 Testing Procedures
Tests conducted to measure composition of materials, efficiency of pollution control devices, emissions from process or control equipment, or other parameters shall be conducted using standard test methods. Documentation of the test date, conditions, methodologies, calculations, and test results shall be retained pursuant to the recordkeeping procedures of this permit. Reports of any tests conducted as required by this permit or as the result of a request by the Illinois EPA shall be submitted as specified in Condition 8.6.
8.6 Reporting Requirements
8.6.1 Monitoring Reports
A report summarizing required monitoring as specified in the conditions of this permit shall be submitted to the Air Compliance Section of the Illinois EPA every six months as follows [Section 39.5(7)(f) of the Act]:
----------------------------------- ---------------------------------
[`Monitoring Period`]{.underline} [`Report Due Date`]{.underline}
`January - June` `September 1`
`July - December` `March 1`
----------------------------------- ---------------------------------
All instances of deviations from permit requirements must be clearly identified in such reports. All such reports shall be certified in accordance with Condition 9.9.
8.6.2 Test Notifications
Unless otherwise specified elsewhere in this permit, a written test plan for any test required by this permit shall be submitted to the Illinois EPA for review at least 60 days prior to the testing pursuant to Section 39.5(7)(a) of the Act. The notification shall include at a minimum:
a. The name and identification of the affected unit(s);
b. The person(s) who will be performing sampling and analysis and their experience with similar tests;
c. The specific conditions under which testing will be performed, including a discussion of why these conditions will be representative of maximum emissions and the means by which the operating parameters for the source and any control equipment will be determined;
d. The specific determination of emissions and operation which are intended to be made, including sampling and monitoring locations;
e. The test method(s) which will be used, with the specific analysis method, if the method can be used with different analysis methods;
f. Any minor changes in standard methodology proposed to accommodate the specific circumstances of testing, with justification; and
g. Any proposed use of an alternative test method, with detailed justification.
8.6.3 Test Reports
Unless otherwise specified elsewhere in this permit, the results of any test required by this permit shall be submitted to the Illinois EPA within 60 days of completion of the testing. The test report shall include at a minimum [Section 39.5(7)(e)(i) of the Act]:
a. The name and identification of the affected unit(s);
b. The date and time of the sampling or measurements;
c. The date any analyses were performed;
d. The name of the company that performed the tests and/or analyses;
e. The test and analytical methodologies used;
f. The results of the tests including raw data, and/or analyses including sample calculations;
g. The operating conditions at the time of the sampling or measurements; and
h. The name of any relevant observers present including the testing company’s representatives, any Illinois EPA or USEPA representatives, and the representatives of the source.
8.6.4 Reporting Addresses
a. The following addresses should be utilized for the submittal of reports, notifications, and renewals:
i. Illinois EPA - Air Compliance Section
Illinois Environmental Protection Agency
Bureau of Air
Compliance Section (MC 40)
P.O. Box 19276
Springfield, Illinois 62794-9276
ii. Illinois EPA - Air Regional Field Office
Illinois Environmental Protection Agency
Division of Air Pollution Control
Eisenhower Tower
1701 First Avenue
Maywood, Illinois 60153
iii. Illinois EPA - Air Permit Section (MC 11)
Illinois Environmental Protection Agency
Division of Air Pollution Control
Permit Section
P.O. Box 19506
Springfield, Illinois 62794-9506
iv. USEPA Region 5 - Air Branch
USEPA (AR - 17J)
Air & Radiation Division
77 West Jackson Boulevard
Chicago, Illinois 60604
b. Unless otherwise specified in the particular provision of this permit, reports shall be sent to the Illinois EPA - Air Compliance Section with a copy sent to the Illinois EPA - Air Regional Field Office.
`9.0`` ``STANDARD PERMIT CONDITIONS`
9.1 Effect of Permit
9.1.1 The issuance of this permit does not release the Permittee from compliance with State and Federal regulations which are part of the Illinois State Implementation Plan, as well as with other applicable statutes and regulations of the United States or the State of Illinois or applicable ordinances, except as specifically stated in this permit and as allowed by law and rule [Section 39.5(7)(j)(iv) of the Act].
9.1.2 In particular, this permit does not alter or affect the following:
a. The provisions of Section 303 (emergency powers) of the CAA, including USEPA's authority under that Section;
b. The liability of an owner or operator of a source for any violation of applicable requirements prior to or at the time of permit issuance;
c. The applicable requirements of the acid rain program consistent with Section 408(a) of the CAA; and
d. The ability of USEPA to obtain information from a source pursuant to Section 114 (inspections, monitoring, and entry) of the CAA.
9.1.3 Notwithstanding the conditions of this permit specifying compliance practices for applicable requirements, any person (including the Permittee) may also use other credible evidence to establish compliance or noncompliance with applicable requirements.
9.2 General Obligations of Permittee
9.2.1 Duty to Comply
The Permittee must comply with all terms and conditions of this permit. Any permit noncompliance constitutes a violation of the CAA and the Act, and is grounds for any or all of the following: enforcement action, permit termination, revocation and reissuance, modification, or denial of a permit renewal application [Section 39.5(7)(o)(i) of the Act].
The Permittee shall meet applicable requirements that become effective during the permit term in a timely manner unless an alternate schedule for compliance with the applicable requirement is established.
9.2.2 Duty to Maintain Equipment
The Permittee shall maintain all equipment covered under this permit in such a manner that the performance or operation of such equipment shall not cause a violation of applicable requirements.
9.2.3 Duty to Cease Operation
No person shall cause, threaten or allow the continued operation of any emission unit during malfunction or breakdown of the emission unit or related air pollution control equipment if such operation would cause a violation of an applicable emission standard, regulatory requirement, ambient air quality standard or permit limitation unless such malfunction or breakdown is allowed by a permit condition [Section 39.5(6)(c) of the Act].
9.2.4 Disposal Operations
The source shall be operated in such a manner that the disposal of air contaminants collected by the equipment operations, or activities shall not cause a violation of the Act or regulations promulgated thereunder.
9.2.5 Duty to Pay Fees
The Permittee must pay fees to the Illinois EPA consistent with the fee schedule approved pursuant to Section 39.5(18) of the Act, and submit any information relevant thereto [Section 39.5(7)(o)(vi) of the Act]. The check should be payable to "Treasurer, State of Illinois" and sent to: Fiscal Services Section, Illinois Environmental Protection Agency, P.O. Box 19276, Springfield, Illinois 62794-9276.
9.3 Obligation to Allow Illinois EPA Surveillance
Upon presentation of proper credentials and other documents, the Permittee shall allow the Illinois EPA, or an authorized representative to perform the following [Section 39.5(7)(p)(ii) of the Act]:
a. Enter upon the Permittee's premises where an actual or potential emission unit is located; where any regulated equipment, operation, or activity is located or where records must be kept under the conditions of this permit;
b. Have access to and copy, at reasonable times, any records that must be kept under the conditions of this permit;
c. Inspect during hours of operation any sources, equipment (including monitoring and air pollution control equipment), practices, or operations regulated or required under this permit;
d. Sample or monitor any substances or parameters at any location:
i. At reasonable times, for the purposes of assuring permit compliance; or
ii. As otherwise authorized by the CAA, or the Act.
e. Obtain and remove samples of any discharge or emission of pollutants; and
f. Enter and utilize any photographic, recording, testing, monitoring, or other equipment for the purposes of preserving, testing, monitoring, or recording any activity, discharge or emission at the source.
9.4 Obligation to Comply With Other Requirements
The issuance of this permit does not release the Permittee from applicable State and Federal laws and regulations, and applicable local ordinances addressing subjects other than air pollution control.
9.5 Liability
9.5.1 Title
This permit shall not be considered as in any manner affecting the title of the premises upon which the permitted source is located.
9.5.2 Liability of Permittee
This permit does not release the Permittee from any liability for damage to person or property caused by or resulting from the construction, maintenance, or operation of the sources.
9.5.3 Structural Stability
This permit does not take into consideration or attest to the structural stability of any unit or part of the source.
9.5.4 Illinois EPA Liability
This permit in no manner implies or suggests that the Illinois EPA (or its officers, agents or employees) assumes any liability, directly or indirectly, for any loss due to damage, installation, maintenance, or operation of the source.
9.5.5 Property Rights
This permit does not convey any property rights of any sort, or any exclusive privilege [Section 39.5(7)(o)(iv) of the Act].
9.6 Recordkeeping
9.6.1 Control Equipment Maintenance Records
A maintenance record shall be kept on the premises for each item of air pollution control equipment. As a minimum, this record shall show the dates of performance and nature of preventative maintenance activities.
9.6.2 Records of Changes in Operation
A record shall be kept describing changes made at the source that result in emissions of a regulated air pollutant subject to an applicable requirement, but not otherwise regulated under this permit, and the emissions resulting from those changes [Section 39.5(12)(b)(iv) of the Act].
9.6.3 Retention of Records
a. Records of all monitoring data and support information shall be retained for a period of at least 5 years from the date of the monitoring sample, measurement, report, or application. Support information includes all calibration and maintenance records, original strip-chart recordings for continuous monitoring instrumentation, and copies of all reports required by this permit [Section 39.5(7)(e)(ii) of the Act].
b. Other records required by this permit shall be retained for a period of at least 5 years from the date of entry unless a longer period is specified by a particular permit provision.
9.7 Annual Emissions Report
The Permittee shall submit an annual emissions report to the Illinois EPA, Compliance Section no later than May 1 of the following year, as required by 35 IAC Part 254.
9.8 Requirements for Compliance Certification
Pursuant to Section 39.5(7)(p)(v) of the Act, the Permittee shall submit compliance certifications annually or more frequently as specified in the applicable requirement or by permit condition.
a. The certifications shall include descriptions of means to monitor the compliance of the source including emissions limitations, standards, and work practices in accordance with applicable requirements and permit conditions. The certification shall include the identification of each term or condition of this permit that is the basis of the certification; the compliance status; whether compliance was continuous or intermittent; the method(s) used for determining the compliance status of the source, both currently and over the reporting period consistent with the conditions of this permit.
b. All compliance certifications shall be submitted to USEPA Region 5 in Chicago as well as to the Illinois EPA.
c. All compliance reports required to be submitted shall include a certification in accordance with Condition 9.9.
9.9 Certification
Any document (including reports) required to be submitted by this permit shall contain a certification by a responsible official of the Permittee that meets the requirements of Section 39.5(5) of the Act [Section 39.5(7)(p)(i) of the Act]. An example Certification by a Responsible Official is included as an attachment to this permit.
9.10 Defense to Enforcement Actions
9.10.1 Need to Halt or Reduce Activity Not a Defense
It shall not be a defense for the Permittee in an enforcement action that it would have been necessary to halt or reduce the permitted activity in order to maintain compliance with the conditions of this permit [Section 39.5(7)(o)(ii) of the Act].
9.10.2 Emergency Provision
a. An emergency shall be an affirmative defense to an action brought for noncompliance with the technology-based emission limitations under this permit if the following conditions are met through properly signed, contemporaneous operating logs, or other relevant evidence:
i. An emergency occurred as provided in Section 39.5(7)(k) of the Act and the Permittee can identify the cause(s) of the emergency. Normally, an act of God such as lightning or flood is considered an emergency;
ii. The permitted source was at the time being properly operated;
iii. The Permittee submitted notice of the emergency to the Illinois EPA within two working days of the time when emission limitations were exceeded due to the emergency. This notice must contain a detailed description of the emergency, any steps taken to mitigate emissions, and corrective actions taken; and
iv. During the period of the emergency the Permittee took all reasonable steps to minimize levels of emissions that exceeded the emission limitations, standards, or regulations in this permit.
b. This provision is in addition to any emergency or upset provision contained in any applicable requirement. This provision does not relieve a Permittee of any reporting obligations under existing federal or state laws or regulations.
9.11 Permanent Shutdown
This permit only covers emission units and control equipment while physically present at the indicated source location(s). Unless this permit specifically provides for equipment relocation, this permit is void for the operation or activity of any item of equipment on the date it is removed from the permitted location(s) or permanently shut down. This permit expires if all equipment is removed from the permitted location(s), notwithstanding the expiration date specified on this permit.
9.12 Reopening and Reissuing Permit for Cause
9.12.1 Permit Actions
This permit may be modified, reopened, and reissued, for cause pursuant to Section 39.5(15) of the Act. The filing of a request by the Permittee for a permit modification, revocation, and reissuance, or of a notification of planned changes or anticipated noncompliance does not stay any permit condition [Section 39.5(7)(o)(iii) of the Act].
9.12.2 Reopening and Revision
This permit must be reopened and revised if any of the following occur [Section 39.5(15)(a) of the Act]:
a. Additional requirements become applicable to the equipment covered by this permit and three or more years remain before expiration of this permit;
b. Additional requirements become applicable to an affected source for acid deposition under the acid rain program;
c. The Illinois EPA or USEPA determines that this permit contains a material mistake or inaccurate statement when establishing the emission standards or limitations, or other terms or conditions of this permit; and
d. The Illinois EPA or USEPA determines that this permit must be revised to ensure compliance with the applicable requirements of the Act.
9.12.3 Inaccurate Application
The Illinois EPA has issued this permit based upon the information submitted by the Permittee in the permit application. Any misinformation, false statement or misrepresentation in the application shall be grounds for revocation under Section 39.5(15)(b) of the Act.
9.12.4 Duty to Provide Information
The Permittee shall furnish to the Illinois EPA, within a reasonable time specified by the Illinois EPA any information that the Illinois EPA may request in writing to determine whether cause exists for modifying, revoking and reissuing, or terminating this permit, or to determine compliance with this permit. Upon request, the Permittee shall also furnish to the Illinois EPA copies of records required to be kept by this permit, or for information claimed to be confidential, the Permittee may furnish such records directly to USEPA along with a claim of confidentiality [Section 39.5(7)(o)(v) of the Act].
9.13 Severability Clause
The provisions of this permit are severable, and should any one or more be determined to be illegal or unenforceable, the validity of the other provisions shall not be affected. The rights and obligations of the Permittee shall be construed and enforced as if this permit did not contain the particular provisions held to be invalid and the applicable requirements underlying these provisions shall remain in force [Section 39.5(7)(i) of the Act].
9.14 Permit Expiration and Renewal
The right to operate terminates on the expiration date unless the Permittee has submitted a timely and complete renewal application. For a renewal to be timely it must be submitted no later than 9 and no sooner than 12 months prior to expiration. The equipment may continue to operate during the renewal period until final action is taken by the Illinois EPA, in accordance with the original permit conditions [Section 39.5(5)(l), (n), and (o) of the Act].
`10.0`` ``ATTACHMENTS`
`10.1`` ``Attachment ``1`` ``Emissions of Particulate Matter from New Process Emission Units`
10.1.1 Process Emission Units for Which Construction or Modification Commenced On or After April 14, 1972
`a``.`` ``No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any new process emission unit, either alone or in combination with the emission of particulate matter from all other similar process emission units for which construction or modification commenced on or after April 14, 1972, at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.321 [35 IAC 212.321(a)].`
b. Interpolated and extrapolated values of the data in subsection (c) of 35 IAC 212.321 shall be determined by using the equation [35 IAC 212.321(b)]:
`E = A(P)`^`B`^
where
P = Process weight rate; and
E = Allowable emission rate; and,
`i``.`` ``Up to process weight rates of 408 Mg/hr (450 T/hr):`
----- ---------- ----------- ----- --------- --------- ----- --------- --------
`Metric` `English`
`P` `Mg/hr` `T/hr` `E` `kg/hr` `lb/hr` `A` `1.214` `2.54`
`B` `0.534` `0.534`
----- ---------- ----------- ----- --------- --------- ----- --------- --------
`ii``.`` ``For process weight rate greater than or equal to 408 Mg/hr (450 T/hr):`
----- ---------- ----------- ----- --------- --------- ----- --------- --------
`Metric` `English`
`P` `Mg/hr` `T/hr` `E` `kg/hr` `lb/hr` `A` `11.42` `24.8`
`B` `0.16` `0.16`
----- ---------- ----------- ----- --------- --------- ----- --------- --------
`c``.`` ``Limits for Process Emission Units For Which Construction or Modification Commenced On or After April 19, 1972 [35 IAC 212.321(c)]:`
---------- -------- ----------- --------- --------- --------- -------- --------- ---------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- --------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- ---------
`Metric` `English`
`P` `E` `P` `E` `Mg/hr` `kg/hr` `T/hr` `lb/hr` ` 0.05` ` 0.25` ` 0.05` ` 0.55` ` 0.1` ` 0.29` ` 0.10` ` 0.77` ` 0.2` ` 0.42` ` 0.2` ` 1.10` ` 0.3` ` 0.64` ` 0.30` ` 1.35` ` 0.4` ` 0.74` ` 0.40` ` 1.58` ` 0.5` ` 0.84` ` 0.50` ` 1.75` ` 0.7` ` 1.00` ` 0.75` ` 2.40` ` 0.9` ` 1.15` ` 1.00` ` 2.60` ` 1.8` ` 1.66` ` 2.00` ` 3.70` ` 2.7` ` 2.1` ` 3.00` ` 4.60` ` 3.6` ` 2.4` ` 4.00` ` 5.35` ` 4.5` ` 2.7` ` 5.00` ` 6.00` ` 9.0` ` 3.9` ` 10.00` ` 8.70` ` 13.0` ` 4.8` ` 15.00` `10.80` ` 18.0` ` 5.7` ` 20.00` `12.50` ` 23.0` ` 6.5` ` 25.00` `14.00` ` 27.0` ` 7.1` ` 30.00` `15.60` ` 32.0` ` 7.7` ` 35.00` `17.00` ` 36.0` ` 8.2` ` 40.00` `18.20` ` 41.0` ` 8.8` ` 45.00` `19.20` ` 45.0` ` 9.3` ` 50.00` `20.50` ` 90.0` `13.4` `100.00` `29.50` `140.0` `17.0` `150.00` `37.00` `180.0` `19.4` `200.00` `43.00` `230.0` `22.0` `250.00` `48.50` `270.0` `24.0` `300.00` `53.00` `320.0` `26.0` `350.00` `58.00` `360.0` `28.0` `400.00` `62.00` `408.0` `30.1` `450.00` `66.00`
`454.0` `30.4` `500.00` `67.00`
---------- -------- ----------- --------- --------- --------- -------- --------- ---------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- --------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- ---------
10.2 Attachment 2 Emissions of Particulate Matter from Existing Process Emission Units
10.2.1 Process Emission Units for Which Construction or Modification Commenced Prior to April 14, 1972
a. No person shall cause or allow the emission of particulate matter into the atmosphere in any one hour period from any process emission unit for which construction or modification commenced prior to April 14, 1972, which, either alone or in combination with the emission of particulate matter from all other similar process emission at a source or premises, exceeds the allowable emission rates specified in subsection (c) of 35 IAC 212.322 [35 IAC 212.322(a)].
b. Interpolated and extrapolated values of the data in subsection (c) of 35 IAC 212.321 shall be determined by using the equation [35 IAC 212.322(b)]:
`E = C + A(P)`^`B`^
where:
P = Process weight rate; and
E = Allowable emission rate; and,
i. Up to process weight rates up to 27.2 Mg/hr (30 T/hr):
----- ---------- ----------- ----- --------- --------- ----- --------- -------- ----- -------- --------
`Metric` `English`
`P` `Mg/hr` `T/hr` `E` `kg/hr` `lb/hr` `A` `1.985` `4.10` `B` `0.67` `0.67`
`C` `0` `0`
----- ---------- ----------- ----- --------- --------- ----- --------- -------- ----- -------- --------
ii. For process weight rate in excess of 27.2 Mg/hr (30 T/hr):
----- ---------- ----------- ----- --------- --------- ----- --------- -------- ----- -------- --------
`Metric` `English`
`P` `Mg/hr` `T/hr` `E` `kg/hr` `lb/hr` `A` `25.21` `55.0` `B` `0.11` `0.11`
`C` `-18.4` `-40.0`
----- ---------- ----------- ----- --------- --------- ----- --------- -------- ----- -------- --------
c. Limits for Process Emission Units For Which Construction or Modification Commenced Prior to April 14, 1972 [35 IAC 212.322(c)]:
---------- -------- ----------- --------- --------- --------- -------- --------- ---------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- --------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- ---------
`Metric` `English`
`P` `E` `P` `E` `Mg/hr` `kg/hr` `T/hr` `lb/hr` ` 0.05` ` 0.27` ` 0.05` ` 0.55` ` 0.1` ` 0.42` ` 0.10` ` 0.87` ` 0.2` ` 0.68` ` 0.2` ` 1.40` ` 0.3` ` 0.89` ` 0.30` ` 1.83` ` 0.4` ` 1.07` ` 0.40` ` 2.22` ` 0.5` ` 1.25` ` 0.50` ` 2.58` ` 0.7` ` 1.56` ` 0.75` ` 3.38` ` 0.9` ` 1.85` ` 1.00` ` 4.10` ` 1.8` ` 2.9` ` 2.00` ` 6.52` ` 2.7` ` 3.9` ` 3.00` ` 8.56` ` 3.6` ` 4.7` ` 4.00` `10.40` ` 4.5` ` 5.4` ` 5.00` `12.00` ` 9.0` ` 8.7` ` 10.00` `19.20` ` 13.0` `11.1` ` 15.00` `25.20` ` 18.0` `13.8` ` 20.00` `30.50` ` 23.0` `16.2` ` 25.00` `35.40` ` 27.2` `18.15` ` 30.00` `40.00` ` 32.0` `18.8` ` 35.00` `41.30` ` 36.0` `19.3` ` 40.00` `42.50` ` 41.0` `19.8` ` 45.00` `43.60` ` 45.0` `20.2` ` 50.00` `44.60` ` 90.0` `23.2` `100.00` `51.20` `140.0` `25.3` `150.00` `55.40` `180.0` `26.5` `200.00` `58.60` `230.0` `27.7` `250.00` `61.00` `270.0` `28.5` `300.00` `63.10` `320.0` `29.4` `350.00` `64.90` `360.0` `30.0` `400.00` `66.20` `400.0` `30.6` `450.00` `67.70`
`454.0` `31.3` `500.00` `69.00`
---------- -------- ----------- --------- --------- --------- -------- --------- ---------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- --------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- --------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- --------- --------- -------- ---------- ---------
10.3 Attachment 3 Net VOM Emissions Increase Determination
` `` `` `` `` `` `` `` `[`Table 1`]{.underline}
` `` `` `` `` `` `[`Contemporaneous VOM Increases`]{.underline}
+-------+-------+-------+-------+-------+-------+-------+-------+
| [`E | [` | [` | `VOM` | | | | |
| missi | Permi | Date | | | | | |
| on Un | t`]{. | Issue | [ | | | | |
| it/Ac | under | d`]{. | `(Ton | | | | |
| tivit | line} | under | /year | | | | |
| y`]{. | | line} | )`]{. | | | | |
| under | | | under | | | | |
| line} | | | line} | | | | |
| | | | ^`*`^ | | | | |
+-------+-------+-------+-------+-------+-------+-------+-------+
| `Pain | `9412 | ` | `2 | `12 | `9208 | ` | [ |
| t Lin | 0009` | 2/17/ | 4.33` | CAT | 0029` | 11/8/ | ` 0.3 |
| e #2` | | 1995` | | 3516 | | 1995` | 5`]{. |
| | | | | Natur | | | under |
| | | | | al Ga | | | line} |
| | | | | s Eng | | | |
| | | | | ines` | | | |
+-------+-------+-------+-------+-------+-------+-------+-------+
| | | `T | | | | | |
| | | otal` | | | | | |
+-------+-------+-------+-------+-------+-------+-------+-------+
` `` `` `` `` `` `` `` `[`Table 2`]{.underline}
` `` `` `` `` `` `[`Contemporaneous VOM Decreases`]{.underline}
+----------+----------+----------+----------+----------+----------+
| [`Emis | [`Perm | `VOM` | | | |
| sion Uni | it`]{.un | | | | |
| t/Activi | derline} | [` | | | |
| ty`]{.un | | (Ton/yea | | | |
| derline} | | r)`]{.un | | | |
| | | derline} | | | |
+----------+----------+----------+----------+----------+----------+
| `Cold | `7 | `18.1 | `Cold P | `9 | [` |
| Parts C | 3030760` | 4`^`**`^ | arts Cle | 8070033` | 10.54`]{ |
| leaning` | | | aning (S | | .underli |
| | | | pecial C | | ne}^`+`^ |
| | | | ondition | | |
| | | | No. 7 o | | |
| | | | f Constr | | |
| | | | uction P | | |
| | | | ermit 98 | | |
| | | | 070033)` | | |
+----------+----------+----------+----------+----------+----------+
| | `Dif | `7.60` | | | |
| | ference` | | | | |
+----------+----------+----------+----------+----------+----------+
` `` `` `` `` `` `` `` `[`Table 3`]{.underline}
` `` `` `` `` `` `` `[`Net VOM Emission Increase`]{.underline}
+----------+----------+----------+----------+----------+----------+
| | `VOM` | | | | |
| | | | | | |
| | [` | | | | |
| | (Ton/yea | | | | |
| | r)`]{.un | | | | |
| | derline} | | | | |
+----------+----------+----------+----------+----------+----------+
| `Eng | `+ 3.70` | `Co | `+24.68` | `Co | [`- 7. |
| ine Test | | ntempora | | ntempora | 60`]{.un |
| Cells ( | | neous In | | neous De | derline} |
| Special | | creases` | | creases` | |
| Conditio | | | | | |
| n No. 5( | | | | | |
| a)(ii) o | | | | | |
| f Constr | | | | | |
| uction P | | | | | |
| ermit 98 | | | | | |
| 070033)` | | | | | |
+----------+----------+----------+----------+----------+----------+
| | `+20.78` | | | | |
+----------+----------+----------+----------+----------+----------+
^`*`^` ``Maximum emissions allowed by permit.`
^`**`^` ``Based upon the actual VOM emissions from Cold Parts Cleaning, averaged over the last two years prior to implementation of pollution prevention projects (1994-1995).`
^`+`^` ``Based upon pollution prevention projects designed to reduce VOM emissions, including substitution of cleaning solvent with aqueous cleaner, introduction of high flash non-hazardous solvent, and improving housekeeping.`
10.4 Attachment 4 Example Certification by a Responsible Official
I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.
Signature ______________________________________________
Name ______________________________________________
Official Title ______________________________________________
Telephone No. ______________________________________________
Date Signed ______________________________________________
RWB:psj
| en |
converted_docs | 990609 | February 2007 P2 Conference Call
15 February 2007
1\. Pantex Moratorium Pilot Project Protocol Update -- Craig Snider, 806
477 5906, <csnider@pantex.doe.gov>
Pantex and HQ are still resolving the issue of whether metals with
tritium will be included in the Pantex pilot protocol for releasing
uncontaminated scrap metal. That appears to be the only remaining issue
associated with releasing the protocol and initiating the release of
metals.
2\. Federal Electronics Challenge (FEC) -- Jeff Eagan, 202 586 4598
[**Jeff.Eagan@hq.doe.gov**](mailto:Jeff.Eagan@hq.doe.gov)
The DOE Chief Information Officer (CIO) issued the Department's Cyber
Security Program *Media Clearing, Purging, and Destruction Guidance*
which describes the major elements of sanitizing electronic media,
hardware, and devices. The guidance describes the minimum requirements
to be included in the Program Cyber Security Plans (PCSPs) developed by
senior management. The guidance, available at
<http://www.cio.energy.gov/documents/2006DOECyberSecurityRevitalizationPlan.pdf>,
annuls the previously announced prohibition on hard drive destruction.
Based on the strength of the electronics recycling and reuse
presentation made by Idaho National Laboratory at the recent **Federal
Electronics Stewardship Conference, DOE was asked to develop a panel
discussion on electronic stewardship best practices** for the June 2007
OFEE Symposium. Please contact Jeff if you are interested in
participating on the panel.
Although t**he FEC Electronics Reuse and Recycling Campaign started on
15 November 2006 it does not end until 15 March 2007 and it is not too
late to participate. The definitions of "reuse and recycling" are wide
open so many activities, such as returning leased computers, can qualify
towards the Campaign. The simplified registration process is available
at <http://www.federalelectronicschallenge.net/>**.
3\. How Y-12's Recycling Program Works with the EMS -- Janice Jackson,
865-
241-2567, <gilbertjm@y12.doe.gov>
Including a recycling objective in the Y-12 EMS contributed to not only
meeting but exceeding it. Although the target was 21,000 metric tons,
consisting of the many waste streams Y-12 recycles, the site actually
recycled 34,000 metric tons in 2006. Each month the environment officer
for each Y-12 organization reports on the site's EMS goals and
objectives which served as a constant reminder to the organizations to
seek out recycling opportunities. So committed are the organizations to
recycling that they contribute to funding a full-time recycling
coordinator.
**4. Executive Order 13423, Strengthening Federal Environmental, Energy,
and Transportation Management** -- Steve Woodbury, 202-586-4371,
<Steven.Woodbury@eh.doe.gov>
Executive Order (EO) 13423 establishes agency goals and sustainable
practices and states that EMSs -- to be established at all appropriate
levels within organizations -- are the vehicle to achieve those goals
and practices. The new EO raises several issues.
Determinations must be made as to the appropriate levels within an
organization for which EMSs are appropriate. Next, because EO 13423
expands upon EO 13148 by embracing sustainable energy, water, and
transportation practices, existing EMSs may need to be expanded to
accommodate these new EMS elements. Expanding the EMS scope requires
reaching out and working cooperatively with the site organizations
responsible for energy, water and transportation. Further, site's
conception of "safety" as implemented through the ISMS will need to be
broadened -- and the ISMS changed accordingly -- to incorporate energy,
water, and transportation.
Additionally, the EO uses a "top-down" strategy and establishes agency
goals. By way of contrast, DOE O 450.1, Chg 2 uses a "bottom-up"
approach which requires sites to determine and work toward
site-appropriate goals.
These issues will be addressed through any necessary changes to DOE
orders, contractor requirements documents, and guidance documents. These
changes will be made through the DOE Directive System thereby
encouraging input from program and field offices and sites.
**5. P2 Awards / EO 13101 Report --** Jane Powers, 202-586-7301,
<Jane.Powers@eh.doe.gov>
The EO 13101 report on the Department's recycling and acquisition
progress in 2006 is due for delivery by 16 March.
The Department's nominations to the White House Closing the Circle (CTC)
competition were submitted on January 25. DOE's CTC winners will be
honored at the June 7 DOE P2/EMS Workshop. The nominations for the DOE
P2 Star award are presently under review by a three-person independent
panel.
**6. Site EMS Profiles / OFEE Workshop** -- Beverly Whitehead,
202-586-6073, <Beverly.Whitehead@eh.doe.gov>
Within the next week or two, Bev and Don Lentzen will meet with the PSO
EMS representatives to discuss profiles and EMS scores for the sites
under their purview.
The Federal Environmental Symposium, sponsored by the Office of the
Federal Environmental Executive, will be held June 4-6 at the National
Institutes of Health (NIH) campus. The symposium, which is free to
Federal employees and support contractors will focus on understanding
and meeting the goals of EO 13423.
The deadline for abstract submissions for the Symposium is March 9,
2007. Additional information is available at
[**http://www.fedcenter.gov/\_kd/go.cfm?destination=page&pge_id=3232**](http://www.fedcenter.gov/_kd/go.cfm?destination=page&pge_id=3232).
Symposium exhibit space is available -- contact Melanie Pearson at 202
586 0939 if interested.
| en |
converted_docs | 250248 | # [DELETE THE FOLLOWING AFTER ADDED TO PROJECT SCRS]{.mark}
FEDERAL HIGHWAY ADMINISTRATION
EASTERN FEDERAL LANDS HIGHWAY DIVISION
LIBRARY OF SPECIFICATIONS (LOS)
TO
FP-03
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
# [INCLUDE THE FOLLOWING]{.mark}
\$\$000.00A
FEDERAL HIGHWAY ADMINISTRATION
EASTERN FEDERAL LANDS HIGHWAY DIVISION
SPECIAL CONTRACT REQUIREMENTS
Project *[INSERT PROJECT NAME AND NUMBER]{.mark}*
*[INSERT PARK, FOREST, OR PARTNER AGENCY NAME]{.mark}*
The following Special Contract Requirements amend and supplement the
*Standard Specifications for Construction of Roads and Bridges on
Federal Highway Projects (FP-03) U. S. Customary [(Metric)]{.mark}
Units*, U. S. Department of Transportation, Federal Highway
Administration.
\$\$101.00A
######### Section 101.---TERMS, FORMAT, AND DEFINITIONS
Revised 2 October 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$101.01A
101.01. Delete the last paragraph.
# [INCLUDE THE FOLLOWING FOR LOOP DETECTORS]{.mark}
\$\$101.03A
101.03(a). Add the following:
> IPCEA - Insulated Power Cable Engineers Association
[]{.mark}
*[INCLUDE THE FOLLOWING WHEN THE FP DEFINITION IS INADEQUATE]{.mark}*
\$\$101.04A
101.04. Delete the definition for \"Substantial Completion\" and
substitute the following:
> **Substantial Completion** \-- For conventional bridge and highway
> work, the point at which all bridge deck and parapet work is
> completed, all pavement structure and shoulder work is completed, and
> all permanent signing and striping is in place. In addition, all
> guardrail, guardwalls, and safety appurtenances within *[[(insert
> distance)]{.underline}]{.mark}* feet [(meters)]{.mark} of the traveled
> way is completed. For all other work, the point at which the CO
> determines the project can be safely and effectively used by the
> public without further delays, disruption, or other impediments.
\$\$102.00A
######### Section 102.---BID, AWARD, AND EXECUTION OF CONTRACT
Revised 25 January 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$102.04A
102.04. Add the following:
Furnish documentary evidence as to the ownership and value of the assets
pledged in support of the bond and details of the security interest in
the assets by the individual sureties for the apparent low bidder within
14 calendar days after the opening of bids. Failure to submit evidence
within the time required will be grounds for declaring the surety
unacceptable.
In addition, the CO may, after reviewing the Affidavit of Individual
Surety and documentary information on the security interest and the
assets pledged, by certified mail to the surety\'s business or residence
address (as shown on the bond), request the surety to provide further
information and/or documents with respect to any of the documents
provided. The CO may require such information to be furnished under
oath. Failure of the surety to accept such mail, or failure of the
surety to respond with the requested information or documents within 7
business days of receipt of the request, will be cause for rejection of
the surety.
These requirements are in addition to the requirements in FAR Subpart
28.203, except where in conflict with the requirements in the FAR, in
which case the FAR controls.
\$\$102.06A
102.06. Add the following after the last paragraph:
Submit the documentary evidence for individual sureties at the same time
as the Affidavit of Individual Surety and security interest in assets
pledged. A Contractor submitting an unacceptable individual surety in
satisfaction of a performance or payment bond before the issuance of the
Notice to Proceed will be permitted one opportunity to substitute an
acceptable surety or sureties within 7 business days of receipt of
notification that the surety is unacceptable.
The Government\'s right to direct the substitution of sureties to ensure
the continuing acceptability of the bonds during the performance of the
Contract according to FAR Clause 52.228-2, Additional Bond Security, is
not restricted.
These requirements are in addition to the requirements in FAR Subpart
28.203, except where in conflict with the requirements in the FAR, in
which case the FAR controls.
\$\$104.00A
######### Section 104. --- CONTROL OF WORK
Revised 1 November 2007
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$104.03A
104.03(a). Add the following to the third paragraph:
Drawings will be reviewed in the order they are received.
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$104.03B
104.03(b). Add the following after 104.03(b):
> **(c) As-built working drawings.** Furnish 2 sets of as-built working
> drawings. The Government will provide 2 sets of contract drawings to
> be used exclusively for recording the as-built details of the project.
>
> Keep the as-built working drawings current on a weekly basis and have
> at least 1 set available on the jobsite at all times. Accurately and
> neatly record changes from the contract plans, which are made in the
> work, or additional information, which might be uncovered in the
> course of construction, as they occur by means of details and notes.
> Maintain a log of all changes made to the as-built working drawings,
> and monthly, at the estimate cutoff date, make the as-built working
> drawings and log available for review by the CO.
>
> Note all additions or revisions to the location, character, and
> dimensions of the prescribed work shown on the contract drawings. Line
> out all details shown that are not applicable to the completed work.
> Use the red-line process (red pencil or red ink) to record on the
> as-built working drawings and final as-built drawings, as a minimum,
> but not limited to, the information described below:
(1) Typical section(s)
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(a) Revisions in dimensions; and
(b) Revisions in materials.
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(2) Plan and profile
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(a) Plan
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(1) Revisions to the alignment;
(2) Changes in the construction limits;
(3) Revisions in location, type, and grade of road approaches;
(4) Location and type of utilities;
(5) Location, size, and type of underdrains;
(6) Skew of culverts;
(7) Channel changes;
(8) Location of monuments and permanent references;
(9) Elevations for all aerial and underground crossings of utilities;
and
(10) Location, length, and type of fencing.
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(b) Profile
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(1) Revisions to grades, elevations, and stationing of intersection PIs;
(2) Equations;
(3) Culvert diameter, length, type, and stationing;
(4) Length of culvert extension, and length of existing culvert;
(5) Location, length, stationing, and type of retaining walls; and
(6) Location, length, stationing, and end treatment of guardrail.
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(3) Bridge
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(a) Stationing of bridge ends;
(b) Elevations including footing, bearing pads, deck, and top of walls;
(c) Pile driving record with pile length, size, type, and tip elevation;
(d) Post-tensioning records including stressing sequence, jacking force,
and duct size and layout;
(e) Construction and concrete placement sequences;
(f) Bearing details with orientation;
(g) Expansion joints including actual clearance with atmospheric
temperature; and
(h) Any changes in plan or dimensions including any major changes in
reinforcing.
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(4) Miscellaneous
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(a) Revisions to parking areas or turnouts;
(b) Final location, type and length of curbs, sidewalks, etc.;
(c) Fencing type and limits; and
(d) Landscaping and planting.
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(5) Special Contract Procedures
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(a) Method of excavation, concrete placement, girder erection, structure
repairs, etc.
> Prepare final as-built drawings after the completion of each definable
> feature of work as listed in the Contractor Quality Control Plan
> (Foundations, Utilities, Structural Steel, etc., as appropriate for
> the project). The as-built working drawings and final as-built
> drawings will be jointly reviewed for accuracy and completeness by the
> CO and the Contractor prior to submission of each monthly pay
> estimate.
>
> If the monthly review finds that the Contractor is not maintaining the
> as-built working drawings, payment of the Contractor's invoice will be
> withheld until the as-built working drawings are brought up to date.
>
> Furnish the as-built working drawings to the CO before the final
> inspection. Correct all details found during the final inspection that
> are not shown on the as-built working drawings and return to the CO
> within 5 working days for approval.
>
> Once final as-built working drawings have been approved by the CO,
> provide final as-built drawings in the latest version of Adobe Acrobat
> (PDF) format (at the time of submission) on two sets of CD-R or DVD-R.
> Include the latest version Adobe Acrobat reader on the CD-R or DVD-R.
> Provide the final as-built drawings with a resolution quality such
> that the redlined drawings and notations are clearly discernable.
> Final payment per Subsection 109.09 will not be made until the CD-R or
> DVD-R of the final as-built drawings have been reviewed and approved
> by the CO.
>
> No direct payment will be made for maintaining and furnishing as-built
> working drawings.
*[INCLUDE THE FOLLOWING ON NPS PROJECTS]{.mark}*
\$\$104.05A
104.05. Add the following:
When hauling on National Park Service roads, do not exceed the following
load restrictions:
+--------------------+---------+--------------------------------------+
| > [Single | | [Gross Vehicle Weight -- pounds |
| > | | [(kilograms)]{.mark}]{.underline} |
| Units]{.underline} | | |
+--------------------+---------+--------------------------------------+
| > 2 axles | | 40,000 [(18,100)]{.mark} |
+--------------------+---------+--------------------------------------+
| > 3 axles | | 48,000 [(21,800)]{.mark} |
+--------------------+---------+--------------------------------------+
| > 4 or more axles | | 52,000 [(23,600)]{.mark} |
+--------------------+---------+--------------------------------------+
| | | |
+--------------------+---------+--------------------------------------+
| > [Combination | | |
| > | | |
| Units]{.underline} | | |
+--------------------+---------+--------------------------------------+
| > 3 axles | | 57,000 [(25,900)]{.mark} |
+--------------------+---------+--------------------------------------+
| > 4 axles | | 62,000 [(28,100)]{.mark} |
+--------------------+---------+--------------------------------------+
| > 5 or more axles | | 66,000 [(29,900)]{.mark} |
+--------------------+---------+--------------------------------------+
Where the ground is saturated with water or during periods of freezing
and thawing, the CO may impose further load restrictions or suspend
hauling.
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$104.05B
104.05. Add the following:
Operate loaded vehicles hauling material at speeds not exceeding 40
miles per hour [(65 kilometers per hour)]{.mark}, or the posted speed
limit whichever is lower, and spaced at 500-foot [(150-meter)]{.mark}
minimum intervals. Do not exceed 25 miles per hour [(40 kilometers per
hour)]{.mark}, or the posted speed limit whichever is lower, or operate
more than 1 loaded hauling vehicle at a time on a bridge.
\$\$105.00A
######### Section 105.---CONTROL OF MATERIAL
Revised 25 January 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$105.02A
105.02(b). Add the following:
> If any material is to be excavated from any material source outside
> the construction limits, other than commercially operated sites,
> before work begins provide a certification from the State Historic
> Preservation Officer or Indian Tribal Council, if applicable, stating:
1. That a cultural resource survey (a survey for historical sites and
archeological remains) has been performed at the proposed site, and
2. That no significant cultural resources exist in the area that will
be disturbed by the Contractor.
\$\$106.00A
######### Section 106.---ACCEPTANCE OF WORK
Revised 2 October 2005
###### [INCLUDE THE FOLLOWING]{.mark}
\$\$106.03A
106.03. Delete the first sentence of the second paragraph and substitute
the following:
Other than references in or to the FAR or Federal Law, when these
Standard Specifications or Supplemental Contract Requirements reference
certifications; certificates; or certified documents, equipment, or
individuals, these references are not certifications under Section 4301
of Public Law 104‑106, National Defense Authorization Act for Fiscal
Year 1996.
*[INCLUDE THE FOLLOWING WHEN STATISTICAL SPECIFICATIONS (A.K.A. MATERIAL
INCENTIVES) ARE USED]{.mark}*
\$\$106.05A
106.05(a) Add the following:
> At the Preconstruction Conference, the Government will provide a copy
> of the computer program \"QL-PAY,\" along with instructions. QL-Pay is
> a Windows based program that computes the quality levels and pay
> factors as described in this Subsection.
\$\$107.00A
######### Section 107.---LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC
Revised 2 October 2005
[INCLUDE THE FOLLOWING. ADD ANY SPECIAL PERMITS REQUIRED BY THE
PARTNERING AGENCY TO THE LIST.]{.mark}
\$\$107.01A
107.01. Add the following:
The following permits may be required for this project:
> **(a)** *[(list only those permits required by the partnering
> agencies)]{.mark}*
This list of permits may not be all inclusive of those required for
construction. No time or damages, including impact damages, will be
allowed for failure to obtain necessary permits or agreements. Provide
copies of these permits and agreements upon request.
107.01. Delete the second sentence of the third paragraph and substitute
the following:
Obtain all additional permits or agreements and modifications to
Government-obtained permits or agreements that are required.
*[INCLUDE THE FOLLOWING ON ALL NPS PROJECTS]{.mark}*
\$\$107.02A
107.02. Add the following after the third paragraph:
For the full duration of construction, protect the existing trees that
are tagged by the CO in the following manner:
> **(a)** Install and maintain a 4-foot [(1.2-meter)]{.mark} high wood
> slat fence with steel posts around the perimeter of the root
> protection area, per Subsection 619.06. The root protection area is
> defined as an area equal to 10 feet [(3 meters)]{.mark} outside the
> dripline.
>
> **(b)** All construction which takes place within the root protection
> area must be approved by the CO. Do not store or locate construction
> materials, vehicles, staging areas, topsoil, disposal areas, or
> trailers within the root protection area. Protect the area from
> flooding, erosion, sedimentation, and potentially harmful materials
> through run-off or spillage.
>
> **(c)** Remove all tree protection prior to final acceptance.
\$\$107.02B
107.02. Add the following after the sixth paragraph:
Notify the CO in writing at least 48 hours in advance of any scheduled
utility shutdown, investigation, and /or related work.
[INCLUDE THE FOLLOWING WHEN THERE IS RAILROAD WORK]{.mark}
\$\$107.04A
107.04. Add the following after the third paragraph:
The Railroad will, at all times, have jurisdiction over the safety of
railroad operations, and the decision as to procedures which may affect
the safety of railroad operations shall be final.
\$\$107.04B
107.04(a)(4). Add the following:
> The Railroad Protective Policy shall name the Railroad as the insured
> and contain an endorsement in the form prescribed for State or Federal
> highway projects for Railroad Protective Liability.
>
> Title 23 CFR, paragraph 646, subpart A, as amended, is hereby
> incorporated by reference. Form of policy shall be in accordance with
> that specified in Appendix A to Title 23 CFR, paragraph 646.
>
> Furnish to the Railroad the Railroad Protective Policy and
> certificates evidencing the other insurance coverage required. The
> Railroad Protective Policy and all insurance certificates will be
> subject to the Railroad\'s approval before any work can begin on the
> Railroad\'s property. In addition, furnish evidence of commitment by
> the Insurance Company to notify the Railroad and the CO in writing of
> any material change, expiration, or cancellation of the policy not
> less than 30 calendar days before such change, expiration, or
> cancellation is effective. Railroad Protective Liability and Property
> Damage Liability Insurance shall conform to the Federal-Aid Policy
> Guide, Chapter 1, Subchapter G, Part 646, issued by the U.S.
> Department of Transportation, FHWA, dated December 9, 1991, as
> supplemented and amended.
\$\$107.04C
107.04(e). Add the following:
> The current approximate wage rate is \$*[(insert rate)]{.mark}* per
> hour. In addition, a surcharge of *[(insert percentage]{.mark})*
> percent computed on the actual payroll, will be included to cover the
> cost of overhead and fringe benefits.
[]{.mark}
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$107.05A
107.05. Add the following after the second paragraph:
Submit all claims to the insurance company for investigation, regardless
of deductible, unless the Contractor has chosen to pay the claim
directly. Provide the results of any investigations and subsequent
actions to the CO within 1 week of receipt from the insurance company or
of action. Determination by the insurance company that the claim is not
covered by the policy is not an adequate basis for the Contractor to
fail to meet its obligations under the requirements of this Section.
\$\$108.00A
######### Section 108.---PROSECUTION AND PROGRESS
Revised 6 October 2006
*[INCLUDE THE FOLLOWING AS APPLICABLE]{.mark}*
\$\$108.01A
108.01. Add the following:
\$\$108.01B
Construction operations are limited as follows:
\$\$108.01C
No work will be permitted on Sundays or National legal holidays.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR VIRGIN ISLANDS ONLY, THAT ARE NON-NPS &
EFLHD ADMINISTERED]{.mark}*
\$\$108.02A
108.02. Add the following:
#### 108.02A Disadvantaged Business Enterprise (DBE) Subcontracting Requirements.
# **SELECTED DBE PROGRAM PROVISIONS FOR THE VIRGIN ISLANDS --**
**DISADVANTAGED BUSINESS ENTERPRISE (DBE) PARTICIPATION IN USDOT
ASSISTED CONTRACTS**
**(EFLHD -- ADMINISTERED CONTRACTS)**
**Policy.** It is the policy of the United States that small business
concerns, including small disadvantaged business concerns, shall have
the maximum practicable opportunity to participate in performing
contracts. It is further the policy of the United States that its prime
contractors establish procedures to ensure the timely payment of amounts
due pursuant to the terms of their subcontracts with small business
concerns, including small disadvantaged business concerns.
The Contractor hereby agrees, by signature on this Contract, to carry
out this policy in the awarding of subcontracts to the fullest extent
consistent with efficient contract performance. The Contractor further
agrees to cooperate in any studies or surveys as may be conducted by the
United States Small Business Administration, the Federal Highway
Administration (FHWA), or the Virgin Islands, as may be necessary to
determine the extent of the Contractor's compliance with this policy.
**DBE Participation/Contract Goal And Good Faith Efforts.** For purposes
of this Contract, the DBE subcontracting goal is [(*obtain percentage
from PSERT*)]{.mark} percent of the total contract amount, as determined
by the Virgin Islands Department of Public Works with the concurrence of
the Contracting Officer. When the contract goal DBE participation is 0
percent, the contractor, if not an approved DBE, must still submit a
small business subcontracting plan prior to award identifying all DBE's
which the contractor intends to use on the project.
This Contract will be awarded only to the low responsive and responsible
bidder who meets this goal or who demonstrates good faith efforts to do
so. Failure to make a good faith effort is defined as willful or
intentional failure to perform in accordance with the requirements of
this Contract, or willful or intentional action to frustrate the
achievement of the Subcontracting Plan, if applicable. Guidance on what
constitutes good faith efforts is described in the Virgin Islands
Department of Public Works' (VIDPW) approved DBE Program. Bidders are
required to obtain a current copy of the Disadvantaged Business
Enterprise Program, Directory of Contractors from the VIDPW's Civil
Rights Program Manager.
All Business Concerns. Prior to award, the successful bidder must submit
a Subcontracting Plan, which shows a commitment to meet the goal. All
DBEs must be certified by the VIDPW prior to submission of the
Subcontracting Plan. If the successful bidder is unable to meet the
goal/DBE participation, it must demonstrate the good faith effort
exerted to do so. It is the Contracting Officer's discretion to
determine whether the good faith efforts exerted are acceptable. The
following information must be included in the Subcontracting Plan:
> **(a)** The names and addresses of DBE subcontractors and suppliers
> that will participate in the contract;
>
> **(b)** A description of the work that each DBE will perform;
>
> **(c)** The dollar amount of the participation of each DBE firm
> listed;
>
> **(d)** Written documentation of the bidder's commitment to use a DBE
> subcontractor/supplier whose participation it submits to meet the DBE
> contract goal; and
>
> **(e)** Written confirmation from the DBE that it is participating in
> the contract. The written confirmation shall describe the work to be
> performed and the dollar amount contracted consistent with **(b)** and
> **(c)** above.
The DBE contract goal/DBE participation committed to by the large
business concern will become the established DBE subcontracting goal for
the project as a contract requirement. Compliance with the established
goal will be determined by reviewing the required submissions, including
Standard Form 1413 and FHWA Form 1775. If, at the completion of the
project, the prime contractor fails to meet its commitment, it will be
required to document and justify why it failed to meet this commitment.
The Liquidated Damage Provision as stated below will apply if the
contractor fails to meet the goal or demonstrate good faith efforts.
## **Termination / Substitution / Replacement Of Listed DBE Firms.** The Prime contractor may not terminate for convenience a DBE subcontractor without the Contracting Officer's prior written consent. The prime contractor will be expected to identify an acceptable certified DBE subcontractor replacement in that event, or demonstrate good faith efforts to do so. This restriction does not prohibit termination for default or for failure to perform adequately. If a DBE subcontractor is unwilling or unable to perform the work of the commitment made to the prime contractor, the prime contractor shall immediately notify in writing the Contracting Officer, and request to be relieved of the commitment to use the named DBE.
### **Counting DBE Participation.** When a DBE participates in a contract, only the value of the work actually performed by the DBE will be counted toward performance of the goal. The entire amount of that portion of a construction contract or other contract that is performed by the DBE's own forces will be credited. Included are the costs of supplies and materials obtained by the DBE for the work of the contract (DBE manufacturer 100 percent of the cost of the materials or supplies may be counted & DBE regular dealer 60 percent of the cost of the materials or supplies), including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate). Credit will be allowed for the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a USDOT-assisted contract. Credit will be allowed for fees considered reasonable and not excessive as compared with fees customarily allowed for similar services.
Credit to a DBE contractor will be allowed only if the DBE is performing
a commercially useful function on the contract. A DBE performs a
commercially useful function when it is responsible for execution of the
work of the contract and is carrying out its responsibilities by
actually performing, managing, and supervising the work involved.
When a DBE subcontracts part of the work of its contract to another
firm, the value of the subcontracted work may be counted only if the
DBE's subcontractor is itself a certified DBE. Work that a DBE
subcontracts to a non-DBE firm does not count**.**
When a DBE performs as a participant in a joint venture, credit for a
portion of the total dollar value of the contract equal to the distinct,
clearly defined portion of the work of the contract that the DBE
performs with its own forces will be allowed.
The Prime Contractor may not count the participation of a DBE
subcontractor toward its DBE achievements or the overall goal until the
amount being counted toward the goal has been paid to the DBE.
**Prompt Payment.** This Contract includes Prompt Payment for
Construction Contracts, which requires payment to the subcontractor for
satisfactory performance under its subcontract not later than 7 days
from receipt of payment from the United States for work performed by the
subcontractor. If retainage is withheld the prime contractor shall be
required to release such retainage to subcontractors within 30 calendar
days of satisfactory completion, i.e. according to the specifications,
of the entire subcontractor's work.
### **Liquidated Damages.** If at the completion of the project, the prime contractor has failed to meet the established goal/commitment, or has not demonstrated good faith efforts to do so, the prime contractor shall be assessed liquidated damages for the difference between the established goal/commitment and the actual DBE participation achieved.
### **Record Keeping Requirements.** The Prime Contractor shall keep such records as necessary to ensure compliance with its DBE utilization obligations. The Prime contractor must retain all such records for at least 3 years after project acceptance by the Contracting Officer following the completion of the contract. These records shall be available for inspection by the Virgin Islands Department of Public Works, the FHWA, the USDOT, or other appropriately sanctioned Virgin Islands State Agencies or Federal Agencies or Departments, to determine the Prime Contractor's good faith effort to meet the established DBE subcontracting goal. The prime contractor's DBE liaison officer or designee shall complete the top half of Form A-644, Monthly Contractor DBE Participation, and submit the form or its facsimile to the Contracting Officer monthly.
### **Compliance Procedures.** Whenever it appears that the Prime Contractor or any subcontractor or supplier may not be operating in compliance with the terms, conditions or requirements of this Contract, including but not limited to, encouraging fronting, brokering or the circumstance of a DBE not performing a commercially useful function as defined, an investigation will be conducted. If it is found that the contractor or any subcontractor or supplier is not in compliance with these Special Provisions, the party in non-compliance will be notified in writing.
If the deficiencies are not corrected, the Contracting Officer reserves
the right to initiate administrative action against the party or parties
in non-compliance, which may include but not be limited to:
> **(a)** Termination of the contract for Default, which is a part of
> this Contract.
>
> **(b)** Withholding an appropriate percentage of partial payments
> pursuant to Section 109 of the Standard Specifications for Highway and
> Bridge Construction. This appropriate percentage may be the amount of
> any proposed monetary sanction.
>
> **(c)** Initiation of appropriate debarment proceedings.
>
> **(d)** Referral of any unlawful actions to the appropriate
> enforcement agencies.
>
> **(e)** Other actions as appropriate, at the discretion of the
> Contracting Officer.
*[INCLUDE THE FOLLOWING FOR INCENTIVE / DISINCENTIVE CLAUSES]{.mark}*
\$\$108.04A
108.04. Delete the second and third paragraphs and substitute the
following:
It is anticipated that multiple work shifts, weekend, and holiday work,
will be required to complete the work within the contract time.
Therefore, because time is of the essence in completing the contract
work, a monetary incentive is offered for early completion of the work
as well as a disincentive assessment and/or liquidated damages for work
being completed late.
> **(a)** For each calendar day prior to [*[(insert
> date)]{.mark}*]{.underline} by which Contract work is substantially
> complete, payment to the Contractor will be increased by an incentive
> of \$ [*[(insert I/D amount)]{.mark}*]{.underline} per day up to a
> maximum of \$ *[[(insert amount)]{.underline}]{.mark}*
>
> **(b)** For each calendar day beyond [*[(insert same
> date)]{.mark}*]{.underline} which is required to achieve substantial
> completion, payment to the Contractor will be decreased by a
> disincentive of \$ [*[(insert I/D amount)]{.mark}*]{.underline} per
> day beginning the day after that date and ending with the day of
> substantial completion.
>
> **(c)** For each calendar day beyond [*[(insert same
> date)]{.mark}*]{.underline} which is required to achieve final
> completion and acceptance by the Government, payment to the Contractor
> will be decreased by liquidated damages of 20 percent of the amount
> specified in Table 108-1, beginning on the day after that date or the
> day after substantial completion, whichever occurs later, and ending
> with the day of final completion and acceptance by the Government.
\$\$109.00A
######### Section 109.---MEASUREMENT AND PAYMENT
Revised 2 October 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$109.08A
109.08(b). Add the following:
> Submit invoices by the 7th day after the closing date. Invoices
> received after the 16th day following the closing date will not be
> accepted for payment processing that month. Include late, unprocessed
> invoice submittals in the following month's invoice.
109.08(c). Add the following:
> The government's designated billing office is:
Federal Highway Administration
Eastern Federal Lands Highway Division
Loudoun Tech Center
21400 Ridgetop Circle
Room 200
Sterling, Virginia 20166-6511
ATTN: CONSTRUCTION DIVISION
\$\$152.00A
######### Section 152.---CONSTRUCTION SURVEY AND STAKING
Revised 6 May 2005
*[INCLUDE THE FOLLOWING. DELETE PARAGRAPHS THAT ARE NOT
APPLICABLE]{.mark}*
\$\$152.03A
152.03. Delete the text of paragraphs [**(\_)**, **(\_)**, and
**(\_)**]{.mark}.
*[INCLUDE THE FOLLOWING AS APPLICABLE]{.mark}*
\$\$152.03B
152.03**(a)**. Add the following:
Set benchmarks (at least every 1,000 feet [(300 meters)]{.mark} of
roadway). Replace any missing control points.
*[INCLUDE THE FOLLOWING FOR MONUMENTATION ALONG PRIVATE
PROPERTY.]{.mark}*
\$\$152.03C
152.03**(k)**. Add the following:
> Perform the portion of the survey work required to establish permanent
> monuments and markers by a land surveyor registered in the State,
> Commonwealth, or Territory of [*[(insert name)]{.underline}*.]{.mark}
[]{.mark}
*[INCLUDE THE FOLLOWING, IF APPLICABLE, & RENUMBER AS NECESSARY]{.mark}*
\$\$152.03D
152.03(**l**)(**9**) and (**10**). Delete the subsections and replace
with the following:
> **(9)** Traffic control (both permanent and temporary) signs, signals,
> markings, delineators, object markers, etc.
\$\$152.03E
152.03**(l)**. Add the following:
\$\$152.03F
> **(10)** Excavation limits for various drainage, walls, structures,
> and other pertinent items.
\$\$152.03G
> **(11)** Landscaping work.
\$\$154.00A
######### Section 154.---CONTRACTOR SAMPLING AND TESTING
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR CONTRACTOR TESTING]{.mark}*
\$\$154.03A
154.03. Add the following:
Furnish test results to the CO immediately after completing the test.
The requirements for furnishing test results do not include sample aging
or curing time; therefore, reporting times will be extended accordingly.
Submit proposals for using alternate AASHTO or State approved test
methods in writing for approval. Alternate methods may be allowed based
on documented equivalence to the method specified.
\$\$154.04A
154.04. Add the following:
On a weekly basis, submit a copy of all current Contractor test results
and pay factor calculations based on those tests for items accepted
under Subsection 106.05. When large quantities are produced, calculate
pay factors as soon as possible. Use this information to make any
necessary adjustments to operations to achieve acceptable pay factors.
The Government may use the Contractor\'s test results to determine final
pay factors for acceptance according to Subsection 154.05.
\$\$155.00A
######### Section 155.---SCHEDULES FOR CONSTRUCTION CONTRACTS
Revised 6 May 2005
*[INCLUDE THE FOLLOWING WHEN EE LESS THAN \$3 MILLION, UNLESS LONG CPM
CLAUSE APPLIES, SEE BELOW]{.mark}*
\$\$155.02A
155.02. Add the following after the third paragraph:
**155.02A Weather Delays.**
> **(a) Weather Delay Definitions.**
>
> **(1) Reasonably Predictable Weather.** The number of workdays that
> can expected to be lost in any month due to rainfall based on 10-year
> historical weather data.
>
> **(2) Rain Day.** A potentially lost workday on which rainfall is
> equal to or greater than 0.10 inches [(2.5 millimeters)]{.mark}.
>
> **(3) Drying Day.** A work day(s) immediately following a rainfall
> equal to or greater than 1.00 inch [(2.5 centimeters)]{.mark} which is
> potentially lost because of wet ground conditions.
>
> **(4) Workday.** A day not excluded from work by Section 108 of the
> Special Contract Requirements.
>
> **(5) Unusually Severe Weather.** When the number of Actual Workdays
> Lost is greater than the calculated Total Lost Days for the month in
> question.
>
> **(b) Reasonably Predictable Weather.** Determine Reasonably
> Predictable Weather for this contract by completing Table 155-1.
> Calculate data for Table 155-1 as follows:
>
> **(1)** Using the last 10 years of historical weather data from the
> nearest NOAA weather data collection station, compute the average
> number of workdays lost (rain days plus drying days) for each month
> and the standard deviation from the average. Add the average number of
> workdays lost to the standard deviation.
>
> **(2)** The Total number of Lost Days (Average Workdays Lost plus 1
> Standard Deviation, rounded to whole days) will be considered normal
> for each month.
>
> **(3)** Submit a completed Table 155-1 with the initial construction
> schedule.
>
> **(c) Unusually Severe Weather** Under FAR Clause 52.249-10, Default
> (Fixed‑Price Construction), the Contractor can request time for a
> delay due to Unusually Severe Weather.
>
> The number of Actual Workdays Lost is calculated by first totaling the
> actual Rain Days plus the actual Drying Days occurring in the month in
> question. From this total, deduct any workdays meeting the following
> conditions:
>
> **(1)** The Rain Day or Drying Day occurred on a non-work weekday such
> as a holiday.
>
> **(2)** Rainfall occurred at a time when no weather dependent work was
> in progress or occurred during planned or unplanned shutdowns due to
> other circumstances such as equipment failure, strikes, material
> supplies, delays, etc.
>
> **(3)** The Contractor was still working or able to work on weather
> dependent activities to the extent that less than 50 percent of the
> workday was lost due to weather.
>
> If the net number of Actual Workdays Lost is greater than the Total
> Lost Days, then Unusually Severe Weather occurred during the month in
> question.
>
> **(d) Time Adjustments for Rain Delays.** If the net number of Actual
> Workdays Lost to rain is less than the Total Lost Days for the month
> in question, no time adjustments will be made. If the net number of
> Actual Workdays Lost is more, then an excusable time extension may be
> granted. The Contractor must submit a Weather Time Impact Analysis
> supporting any alleged delays due to Unusually Severe Weather.
>
> **(e) Delays Due To Other Weather Conditions.** Delays due to other
> unusually severe weather conditions (snow, extreme cold or heat, high
> winds, etc.) must be supported with a Weather Time Impact Analysis
> using historical weather data.
\$\$155.02B
155.02. Delete the last paragraph and substitute the following:
The Construction Contract Time shown on the construction schedule for
contract completion or for any interim completion dates shall be the
calendar dates established in the contract.
\$\$155.04A
155.04. Add the following to the first paragraph:
For a computer-generated CPM, use Primavera software or software that is
file-compatible with Primavera.
*[INCLUDE THE FOLLOWING (LONG CPM CLAUSE) WHEN EE EXCEEDS \$3 MILLION OR
THE PROJECT IS SENSITIVE (COMPLEX CONSTRUCTION OR POLITICALLY) TO THE
TIMING OF CONSTRUCTION ACTIVITIES. ALSO INCLUDE THE 15501-0000
CONSTRUCTION SCHEDULE IN THE EE.]{.mark}*
\$\$155.02C
155.02 through 155.09. Delete the Subsections and substitute the
following:
## **Construction Requirements**
**155.02 General**
**(a) General format and purpose of the project schedule.**
> **(1)** Develop a network plan and schedule, demonstrating fulfillment
> of the contract requirements. Keep the network up to date and utilize
> the plan for scheduling, coordinating, and monitoring work under this
> contract. The network schedule shall be computer-generated using
> Primavera software or software that is file compatible with Primavera.
> The schedule shall be called the Critical Path Method - Project
> Schedule (CPM-PS).
>
> Use the principles and definitions of the terms in The Association of
> General Contractors in America (AGC) publication \"Construction
> Planning & Scheduling\", copyright January 1994, except that this
> specification shall govern in the case of conflicts.
>
> **(2)** Use the CPM-PS for coordination and monitoring of all work
> under this contract, including all subcontractors and suppliers. If a
> subcontract has not yet been awarded for a certain portion of the
> work, develop the schedule for that work. After any subsequent
> subcontract award, propose a revision to the CPM-PS to reflect any
> changes resulting from this new contractual arrangement.
>
> **(3)** No construction work on the project (other than mobilization
> and traffic control) is allowed without an approved 60-day Preliminary
> Activity Schedule (PAS).
>
> **(4)** No progress payments will be made until the Initial CPM
> Progress Schedule (Initial CPM-PS) has been approved.
>
> **(b) Contractor\'s Representative.** At or before the Preconstruction
> Conference, designate an individual in the Contractor\'s organization
> who shall be the Contractor\'s authorized representative responsible
> for the preparation, updating, and revision of the Project Schedule
> and who shall review and report progress of the project with and to
> the CO. This person shall be skilled in the application of computer
> network scheduling techniques on construction projects of the
> magnitude and complexity of this project.
>
> **(c) Weather Delays.**
>
> **(1) Weather Delay Definitions.**
>
> *(a)* Reasonably Predictable Weather. The number of workdays that can
> expected to be lost in any month due to rainfall based on 10-year
> historical weather data.
>
> *(b)* Rain Day. A potentially lost workday on which rainfall is equal
> to or greater than 0.10 inches [(2.5 millimeters)]{.mark}.
>
> *(c)* Drying Day. A work day(s) immediately following a rainfall equal
> to or greater than 1.00 inch [(2.5 centimeters)]{.mark} which is
> potentially lost because of wet ground conditions.
>
> *(d)* Workday. A day not excluded from work by Section 108 of the
> Special Contract Requirements.
>
> *(e)* Unusually Severe Weather. When the number of Actual Workdays
> Lost is greater than the calculated Total Lost Days for the month in
> question.
>
> **(2) Reasonably Predictable Weather.** Determine Reasonably
> Predictable Weather for this contract by completing Table 155-1.
> Calculate data for Table 155-1 as follows:
>
> *(a)* Using the last 10 years of historical weather data from the
> nearest NOAA weather data collection station, compute the average
> number of workdays lost (rain days plus drying days) for each month
> and the standard deviation from the average. Add the average number of
> workdays lost to the standard deviation.
>
> *(b)* The Total number of Lost Days (Average Workdays Lost plus one
> Standard Deviation, rounded to whole days) will be considered normal
> for each month.
>
> *(c)* Submit a completed Table 155-1 with the initial construction
> schedule.
>
> **(3) Unusually Severe Weather** Under FAR Clause 52.249-10, Default
> (Fixed‑Price Construction), the Contractor can request time for a
> delay due to Unusually Severe Weather.
The number of Actual Workdays Lost is calculated by first totaling the
actual Rain Days plus the actual Drying Days occurring in the month in
question. From this total, deduct any workdays meeting the following
conditions:
> *(a)* The Rain Day or Drying Day occurred on a non-work weekday such
> as a holiday.
>
> *(b)* Rainfall occurred at a time when no weather dependent work was
> in progress or occurred during planned or unplanned shutdowns due to
> other circumstances such as equipment failure, strikes, material
> supplies, delays, etc.
>
> *(c)* The Contractor was still working or able to work on weather
> dependent activities to the extent that less than 50 percent of the
> workday was lost due to weather.
If the net number of Actual Workdays Lost is greater than the Total Lost
Days, then Unusually Severe Weather occurred during the month in
question.
> **(4) Time Adjustments for Rain Delays.** If the net number of Actual
> Workdays Lost to rain is less than the Total Lost Days for the month
> in question, no time adjustments will be made. If the net number of
> Actual Workdays Lost is more, then an excusable time extension may be
> granted. The Contractor must submit a Weather Time Impact Analysis
> supporting any alleged delays due to Unusually Severe Weather.
>
> **(5) Delays Due To Other Weather Conditions.** Delays due to other
> unusually severe weather conditions (snow, extreme cold or heat, high
> winds, etc.) must be supported with a Weather Time Impact Analysis
> using historical weather data.
**155.03 60-DAY PRELIMINARY ACTIVITY SCHEDULE (PAS)**
> **(a) Requirement to Submit.** At least 5 working days before the
> Preconstruction Conference, submit 5 copies of a 60-Day Preliminary
> Activity Schedule (PAS) to the CO for review and approval.
>
> **(b) Form.** Submit the PAS in written narrative form and include a
> detailed breakdown of all contract activities scheduled for the first
> 60 calendar days after Notice to Proceed.
>
> Include an overall description of site mobilization, all shop drawing
> and sample submittals, and the fabrication and delivery of key and
> long-lead procurement activities. Indicate intended submittal dates
> and realistic delivery dates for fabrication and delivery items.
> Provide sufficient time, in accordance with Subsection 155.03(c) for
> the CO to review, approve and dispatch each shop drawing or submittal
> after its receipt with the required information.
>
> **(c) Review and Approval of the PAS.** The CO will respond in 14
> calendar days to the PAS submission and either approve the PAS or
> request revisions. Provide the requested revisions in 7 calendar days.
>
> **(d) Effect of the PAS.** Submission and use of an approved PAS does
> not relieve the Contractor from the requirement to provide and
> implement an approved Initial CPM-PS.
**155.04 Initial (Baseline) CPM Project Schedule (Initial CPM-PS)**
> **(a) Submission.** Within 30 calendar days after the Notice to
> Proceed, develop a proposed initial CPM-PS and submit 5 hard copies of
> all CPM-PS documents and 2 copies of 3.5-inch high density computer
> diskettes containing the Primavera compatible files to the CO for
> review. The initial baseline CPM-PS shall reflect the Contractor\'s
> planned performance of the contract work including all contractual
> requirements (e.g. construction or traffic staging) and any physical
> constraints on the project. The initial baseline CPM-PS will be the
> basis on which any impacts from future contract modifications are
> determined. Proposed changes to the contractual requirements must be
> submitted, approved, and then may be included in revisions to the
> CPM-PS.
>
> **(b) Form and Requirements of the CPM-PS.** The CPM-PS shall consist
> of a schedule diagram and supporting documents. The initial CPM-PS
> shall conform to the following:
>
> **(1)** Prepare the schedule diagram using the activity-on-arrow
> diagram method (ADM) or the precedence diagram method (PDM). Depict
> the order and interdependence of all activities and the sequence of
> the work that will be accomplished by the Contractor in coordination
> with its subcontractors. Show how the completion of predecessor
> activities restricts the start of successor activities.
>
> **(2)** Cover all activities required by the contract, including both
> construction and non-construction. To the extent feasible, define and
> relate an activity (or groups of activities) to contract pay items.
>
> **(3)** The CO may require that unreflected items, or components of
> work within an item, be added to the diagram as separate activities,
> based on what the CO considers to be reasonable for a project of this
> scope and complexity.
>
> **(4)** Failure to include in the CPM-PS any elements of work required
> for performance of the contract will not excuse the Contractor from
> completing all work required by the contract by the contract
> completion date.
>
> **(5)** The CPM-PS shall begin with the date of issuance of the Notice
> to Proceed and conclude with the contract completion date established
> in the contract. Float or slack time within the CPM-PS is not for use
> or benefit of either party, but is a jointly owned, expiring project
> resource available to both parties as needed to meet the completion
> date established in the contract. No time extensions will be granted
> nor delay damages paid until a delay occurs which impacts the
> project\'s critical path, consumes all available float, and extends
> the work beyond the contract completion date.
>
> **(6)** Supporting documents shall include a submittal list, written
> narrative, tabulated schedule, and weather Table 155-1.
(c) A Time-Scaled Network Logic Diagram shall be submitted for the
initial CPM-PS. Include the following on the schedule diagram:
1. All activities including those covered by the PAS. Include
activities for correcting punchlist items and general cleanup.
2. Show all activity nodes or boxes, activity IDs, activity
descriptions, and durations.
**(3)** Group the activities independently by area (i.e. separate
distinct bridges or roadways) and by type of work (e.g. submittals,
utilities, roadway, bridge).
> **(4)** Include a concise description of the work represented by each
> activity, which shall be placed at or near the event node or box for
> each activity. If the project is of sufficient complexity that the
> concise description cannot be legibly placed on the diagram, submit a
> tabulation of all activities by their event node or box numbering and
> description.
>
> **(5)** Code each subcontractors\' activities so that their activities
> can be shown separately as well as cumulatively.
>
> **(6)** Construction activities shall have durations of whole working
> days, with a maximum duration of 25 working days each. Divide
> activities with longer durations into subgroups of activities not
> exceeding 25 working days in duration. Indicate logical start and end
> points (e.g. stationing, staging, etc.) for each subgroup.
>
> **(7)** Non-construction activities may have durations exceeding 25
> working days consistent with the contract. Non-construction activities
> include mobilization, all shop drawing and sample submittals, and the
> fabrication and delivery of key materials. Indicate intended submittal
> dates and realistic delivery dates for fabrication and delivery
> activities. Provide the required times for CO review, approval, and
> dispatch of each submittal and resubmittals. Where no times are
> specified, provide 14 calendar days for the review, approval, and
> dispatch of each submittal and resubmittals after receipt by the CO.
>
> **(8)** Indicate the total number of anticipated working days to
> complete each activity of work.
>
> **(9)** Identify the critical path on the diagram.
(d) **Supporting documents**
**(1) Submittal List.** Submit a list of all drawing and sample
submittals required for the entire contract period. Include:
> *(a)* Contractor Quality Control Plan;
>
> *(b)* Asphalt Mix Designs;
>
> *(c)* Concrete Mix Designs;
>
> *(d)* Bridge Falsework and Formwork Designs;
>
> *(e)* Manufactured Items;
>
> *(f)* Test Panels;
>
> *(g)* Contract Specialty Items.
(2) Include the following information for each submittal:
> *(a)* Bid Item Number;
>
> *(b)* Item Description;
>
> *(c)* Related Activity ID Number and Description from the CPM-PS;
>
> *(d)* Planned Date of Initial Submittal;
>
> *(e)* Planned Date of CO\'s Initial Response;
>
> *(f)* Comments.
>
> **(3) Written Narrative.** Provide a written narrative describing the
> rationale and assumptions utilized in the development of the proposed
> CPM‑PS schedule. The narrative will serve, in conjunction with the
> diagram, as the basis for the CO\'s review and approval of the CPM-PS.
> This narrative should use the schedule diagram as the basis of all
> schedule-related comments, referencing specific activities by number
> and description. Include the following in the written narrative:
>
> *(a)* A description of the planned critical path and the general
> sequence of work.
>
> *(b)* Information and references to adequately define the scope of
> work included in each major activity type (e.g. roadway excavation,
> aggregate base course). This would include such information as station
> numbers, location, etc.
>
> *(c)* A description of the resource loading planned for use in the
> performance of the work for each major activity. The Contractor\'s
> determination of major activities is subject to approval by the CO.
> The description should include manpower allocation by types of labor
> and crew size, types and number of equipment and any special
> equipment, materials, and subcontractors involved.
>
> *(d)* A description of the basis (including the resource loading
> above) for the calculation of the duration for all major activities,
> to be stated as quantity production rates (e.g. cubic feet of
> excavation per day, etc).
>
> *(e)* A description of planned workdays per week (Monday through
> Friday, or Saturday), number of shifts per day, and number of hours
> per shift.
>
> *(f)* A description of the assumptions used in converting working days
> to calendar dates; including anticipated holidays, non-work (idle)
> days, Contractor scheduled winter shutdowns, contract constraints, and
> weather constraints as determined in Subsection 155.02(c).
>
> *(g)* Identify the subcontractor or supplier performing an activity
> and identify their activity codes used on the schedule diagram. State
> all assumptions made in the scheduling of the subcontractor\'s or
> supplier\'s work.
>
> *(h)* Describe expected and critical delivery dates for equipment or
> material that can affect timely completion of the project.
>
> *(i)* Describe critical completion dates for maintaining the
> construction schedule.
>
> *(j)* A description of any organizational limitations such as resource
> constraints or subcontractor commitments, which limit scheduling
> flexibility.
>
> *(k)* Ensure that there is no conflict between the diagram and the
> narrative. The CO\'s approval of the CPM‑PS does not waive this
> responsibility.
>
> **(4) Tabular schedule.** Provide a computer generated tabular
> schedule using the Classic Schedule Report format sorted by early
> start and total float. The tabular schedule shall include the
> following data: activity ID, original and remaining duration, activity
> percent complete, subcontractors codes, activity description, early
> and late schedule dates, and total float. Two copies of the computer
> diskettes containing this data shall be submitted with the CPM-PS
> along with the hard copy printouts of this tabular schedule.
>
> Other tabular schedule report formats may be requested to analyze
> CPM-PS revisions or time impacts.
>
> **(5) Reasonably Predictable Weather.** Submit a completed Table 155-1
> using 10-year historical weather data from the nearest NOAA weather
> data collection station (see Subsection 155.02(c)).
>
> **(e) Review and Approval of the Initial CPM-PS**
(1) Within 21 calendar days of receipt of the proposed CPM‑PS, the CO
will either approve the proposed CPM‑PS or convene a Joint Review
Conference at which the CO and the Contractor will discuss
corrections and adjustments to the proposed CPM-PS. If any
corrections or adjustments to the proposed CPM-PS are agreed upon or
directed by the CO based on this review, adjust the CPM-PS and
submit to the CO for review and approval within 14 calendar days
after the date of this meeting. No progress payment will be made
until an initial baseline CPM-PS is approved.
> **(2)** When an initial baseline CPM-PS is approved, the CO will
> return an approved copy of the CPM-PS to the Contractor. This approved
> CPM-PS with its supporting documents becomes the CPM‑PS of Record.
> Thereafter, implement and execute the work under the contract in
> accordance with this schedule, unless, a revision to this schedule is
> approved by the CO. An approved updated or revised CPM-PS becomes the
> current CPM-PS of Record. The current CPM-PS of Record will be
> considered the Contractor\'s work plan for completing the entire
> contract.
**155.05 CPM-PS Updates**
> **(a) Definition of a CPM-PS Update.** A CPM-PS Update is a normal
> monthly updating of the current CPM-PS of Record with no changes in
> the schedule logic or activities and no changes to the critical path.
> An Update shall reflect work completed to date, as well as the
> Contractor\'s projection of work yet to be completed. A normal Update
> should show the project being completed by the Contract Completion
> Date.
An Update may show negative float in the schedule (i.e. the actual
completion occurs later than the Contract Completion Date). Receipt of
an Update with negative float does not constitute agreement by the
Government with the revised completion schedule. The reason for late
completion (Government, weather, or Contractor caused delay) must be
clearly explained in the written narrative. Any change to the CPM-PS of
Record regarding work that is still to be completed, can only be
effected by a CPM-PS Revision, including a Time Impact Analysis.
> Negative float due to Contractor caused delay may result in the
> following actions by the CO: a request for a revision to the schedule
> to meet the Contract Completion Date; retent withheld from progress
> payments; assessment of liquidated damages; issuance of a cure notice;
> or termination.
>
> **(b) Timing of Updates.** Monthly job site meetings to review
> progress and payment quantities will be held on a date mutually agreed
> to by the CO and the Contractor. Submit a CPM-PS Update to the CO 3
> working days before the meeting date.
>
> **(c) Form and Requirements of the CPM-PS Update.** Submit the
> following:
**(1)** Tabular Schedule (Classic Schedule Report), updated as follows:
> *(a)* Actual finish dates for completed activities;
(b) Remaining duration required to complete each activity started, or
scheduled to start, but not completed;
(c) Float remaining for each activity;
(d) Percentages for completed and partially completed activities;
(e) The CO may request additional tabular schedules using different sort
parameters.
**(2)** The Submittal List updated as follows:
> *(a)* Actual date(s) of initial (and all subsequent) submittal(s);
(b) Actual date(s) of CO\'s initial (and subsequent) response(s);
(c) Status of CO\'s initial (and subsequent) response(s) (i.e. Approved,
Rejected, Approved As Noted, etc.)
(d) Comments.
> **(3) Written narrative.** Identify all changes made to the schedule
> since the last update. Describe any issues that occurred in the
> previous month impacting the schedule (e.g. delaying factors and their
> estimated impact on performance of other activities and completion
> dates; weather delays; and an explanation of corrective action taken
> or proposed). Describe any changes in the resource loading.
>
> **(4)** Provide an updated Time-Scaled Logic Diagram when requested by
> the CO.
>
> **(d) Review and Approval of the CPM-PS Update**
>
> **(1)** The CO will review and approve the CPM-PS Update within 7
> calendar days or return it for corrections. The approved CPM-PS Update
> shall become the current CPM-PS of Record.
>
> **(2)** No monthly progress payment will be made until a CPM-PS Update
> is approved.
**155.06 CPM-PS Revisions**
> **(a) Definition of a CPM-PS Revision.** A CPM-PS Revision reflects a
> significant change to the schedule logic, schedule activities,
> activity durations or some other modification to the schedule of
> planned work. Activities performed out of sequence from the CPM-PS of
> Record affecting the critical path will require a CPM-PS Revision.
>
> **(b) Timing of a Revision.** Submit proposed revisions to the CPM-PS
> in writing, as they are determined necessary by either party. A
> revision shall be submitted in conjunction with any contract
> modification that affects the CPM-PS of Record. Submission of a
> proposed CPM-PS Revision will not in itself be considered to be Notice
> to the CO of a delay or disruption, or of any other basis for a change
> under the Contract. Refer to the notice requirements in other sections
> of the Contract. Continue to submit monthly CPM-PS Updates to the
> current CPM-PS of Record until a CPM-PS Revision is approved.
>
> **(c) Form and Requirements for Submitting a Proposed CPM-PS
> Revision.** Submit the following:
(1) **Written narrative.** All proposals to revise the CPM-PS shall
include a written narrative describing the changes to the critical
path and any logic revisions or modifications to the schedule,
including, but not limited to, changes in the resource loading, in
durations, in specifications, in subcontractors, the addition or
deletion of work, increased or decreased quantities, defective work,
and acceleration of the work.
> Delays and disruptions, which are ongoing and of uncertain duration as
> of the date of the proposed revision, shall be identified. When any
> delays or disruptions have occurred which are the contractual
> responsibility of the Contractor (i.e. which do not entitle the
> Contractor to a time extension under the terms of the Contract),
> advise the CO of the proposed efforts to return the project to a
> schedule consistent with the terms of the Contract\--including the
> commitment of additional resources or other appropriate action. If
> this is not possible, advise the CO of the extent to which completion
> dates or other terms of the Contract will not be met so the Government
> may evaluate its options under the terms of the Contract.
>
> **(2) Time Impact Analysis.** Submit a Time Impact Analysis according
> to Subsection 155.07.
**(d) Execution of a Proposed CPM-PS Revision.** When the parties agree
to a proposed CPM-PS Revision, submit 5 hard copies of the revised
CPM-PS and 2 copies of the computer file diskettes within 7 calendar
days after the parties reach agreement. The revised CPM-PS shall include
all of the items required by Subsection 155.04(b), plus a narrative
description of the basis for the approved revisions to the CPM-PS. The
approved CPM-PS Revision shall become the current CPM-PS of Record.
**155.07 Time Impact Analysis**
> **(a) General.** A Time Impact Analysis is the procedure by which the
> Contractor demonstrates the effect of specific time impacts on the
> overall project CPM-PS. Time impacts may result in an increase or
> decrease in contract time.
If the Contractor does not submit a Time Impact Analysis, it is mutually
agreed that the particular event does not require an extension of time
to the Contract Completion Date, and the Contractor waives its right to
subsequently request a time extension.
Once any Time Impact Analysis is approved by the CO, both parties agree
to waive any rights to re-evaluate the impacts, evaluated therein, at a
later date.
> **(b) Situations Requiring a Time Impact Analysis**
>
> **(1) CO Requested Contract Modifications.** When requested by the CO
> in connection with a proposed contract modification, prepare a
> proposed revision to the CPM-PS of Record with a Time Impact Analysis
> reflecting, in detail, the anticipated impact of the contract
> modification. This revised CPM‑PS will be used as a basis to modify
> the contract time resulting from the contract modification.
>
> **(2) Time Impacts of a Contractor Proposed Contract Modification.**
> When notification of a Contractor proposed contract modification is
> given which may result in a time impact under the terms of the
> contract, (see Subsection 155.07(d)), identify the events and provide
> written notice to the CO within 7 calendar days after the commencement
> of the alleged time impact. This notice shall detail the contractual
> basis for the time impact.
Within 14 calendar days after the end of the time impact event, for
which the Contractor has given notice, submit a Time Impact Analysis
which reflects and analyzes the alleged event or contract modification.
> **(3) Weather Delays.** Submit a Weather Time Impact Analysis for
> alleged weather delays according to Subsection 155.02(c).
>
> **(c) Form and Requirements of a Time Impact Analysis.** Consecutively
> number each Time Impact Analysis. Include in each Time Impact
> Analysis, the following documents or information:
>
> **(1)** The CPM-PS of Record at the time of the alleged impact
> (Affected CPM-PS).
(2) **Narrative Impact Analysis.** Provide a detailed narrative
description of each alleged impact event. The alleged impact to each
and every specifically affected activity in the Affected CPM‑PS
shall be described in detail, including how each activity referenced
in the Time Impact Analysis reflects the alleged impact. This
narrative shall describe:
a. The cause of the impact;
b. The start date of the impact;
c. The duration of the impact, specifically describing how
Contractor caused delays were deleted from the analysis;
d. The activities affected; and
e. Whatever methods the Contractor can employ, at no or minimal
cost to the Government, to re-sequence or reschedule the work to
mitigate the delay.
> **(3) As-Properly Impacted Schedule.** Revise the Affected CPM-PS to
> show the impact of the activities identified in Subsection 155.07(b),
> including any re-sequencing which would mitigate the delay. If the
> contract completion date is delayed, note the amount of the requested
> time extension as a request for a delay to that date.
>
> **(d) Analysis of a Time Impact**
>
> **(1) General.**
(a) Any request for an extension of the contract time will be determined
by the CO\'s review of the Time Impact Analysis\' effect on the
Affected CPM-PS;
(b) Activity delays will not automatically mean that an extension of the
Final Contract Completion Date is warranted or due. A Contract
Modification or delay may not affect existing critical activities or
cause non-critical activities to become critical, but may result in
only absorbing a part of the available total float that may exist
within an activity chain of the Network, thereby not causing any
effect on the Final Contract Completion Date.
(c) Only delays to activities which affect the Contract Completion Date
will be considered for a time extension. The extension of the
specified completion date will be based upon the actual number of
calendar days the Contract Completion Date is adjusted.
(d) Extensions of time to the Contract Completion Date under the FAR
Clauses 52.243-4, Changes; 52.236.2, Differing Site Conditions; or
52.212‑12, Suspension of Work, will be granted only if requested in
writing by the Contractor within the applicable notice period.
> **(2) Float.** No extension to the Contract Completion Date will be
> issued for work performed on activities with available float. Float is
> defined as the amount of time between when an activity \"can start\"
> (the early start) and when an activity \"must start\" (the late
> start). Float is a shared commodity, not for the exclusive use or
> benefit of either party. Either party has the full use of the float
> until it is depleted. Float may be consumed by the Contractor through
> routine operational considerations; by the Government through contract
> modifications, or other actions, which are its responsibility; or by
> unusually severe weather, strikes or other actions which are the
> responsibility of neither the Contractor nor the Government. Each
> updated or revised CPM-PS shall depict float as it is currently
> projected. Once all or part of this float has been consumed, it will
> no longer be an issue with respect to subsequent events.
>
> **(3) Contractor\'s Duty to Mitigate.** It is the Contractor\'s duty
> to attempt to mitigate delay. Analyze and discuss what measures the
> Contractor plans to take to mitigate delay. Include as a minimum those
> items of no cost to the Government. Accompany any measures which are
> alleged to increase cost, such as additional staffing or equipment, by
> corresponding rationale and assumptions which analyze the additional
> requirements. In addition, any Time Impact Analysis which does not
> include a discussion of the feasibility of re-sequencing future work
> to mitigate delay at no cost to the Government will be rejected.
>
> **(e) Extensions to Contract Dates.** The Government desires all
> contract work (including all work associated with an approved time
> impact analysis) to be completed by the Contract Completion Date.
> Therefore, any time extensions to the Contract Completion Date will
> require a contract modification. In addition, no increased cost will
> be paid to the contractor to accelerate the work unless the Contractor
> has expressly notified the Government under FAR Clause 52.243-4,
> Changes, and a contract modification has been issued.
**(f) Execution of the Time Impact Analysis.** Incorporate approved
logic changes or time extensions into the CPM-PS by or before the next
monthly meeting.
**155.08 Failure to Maintain Sufficient Progress.** The Contractor shall
furnish sufficient forces, offices, facilities, and equipment, and work
such hours, including multiple shift and overtime operations, as is
necessary to ensure progress consistent with the requirements of the
contract and the current CPM-PS of Record.
The currently approved CPM-PS of Record will be used to evaluate
progress as required by FAR Clause 52.232-5, Payments Under Fixed‑Price
Construction Contracts. If the Contractor\'s actual progress is less
than that required by the currently approved CPM-PS of Record for
completion by the Contract Completion Date, 10 percent of the amount of
all progress payments will be withheld until completion, or until
progress is improved for completion by the Contract Completion Date.
If the Contractor fails to improve progress for completion by the
Contract Completion Date, the Government may exercise its rights and
options pursuant to FAR Clause 52.249-10, Default (Fixed-Price
Construction), including the issuance of a Termination for Default.
# **Measurement**
**155.09** Measure the Section 155 items listed in the bid schedule
according to Subsection 109.02.
# **Payment**
**155.10** The accepted quantities will be paid at the contract price
per unit of measurement for the Section 155 pay item listed in the bid
schedule. Payment will be full compensation for the work prescribed in
this Section. See Subsection 109.05.
Progress payments for construction schedule will be paid as follows:
**(a)** 25 percent of the unit bid price will be paid upon approval of
the Initial CPM-PS, not to exceed 0.25 percent of the original contract
bid amount.
**(b)** The remaining portion will be paid in increments equal to the
progress of the work, not to exceed 0.5 percent of the original contract
bid amount.
**(c)** Any portion of the lump sum in excess of 0.5 percent of the
original contract amount will be paid after final acceptance.
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$155.00B
Add the following at the end of the Subsection:
[TABLE 155-1]{.underline}
Project Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Location of NOAA Data Collection
Station\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Data Years (10-year history): 19\_\_\_ through 20\_\_\_
[REASONABLY PREDICTABLE WEATHER]{.underline}
------------- --------------------- ----------------- -----------------
MONTH AVERAGE WORKDAYS LOST STANDARD TOTAL LOST DAYS
DEVIATION
JANUARY
FEBRUARY
MARCH
APRIL
MAY
JUNE
JULY
AUGUST
SEPTEMBER
OCTOBER
NOVEMBER
DECEMBER
------------- --------------------- ----------------- -----------------
\$\$156.00A
######### Section 156.---PUBLIC TRAFFIC
Revised 6 May 2005
*[INCLUDE THE FOLLOWING FOR RUSH HOUR RESTRICTIONS]{.mark}*
\$\$156.03A
156.03. Add the following:
Rush hours are defined as:
*[(insert rush hours)]{.mark}*
Perform the work during the time periods specified. Schedule and perform
the work so as not to interfere with traffic during rush hours.
Installing traffic control devices before a rush hour is over, or
failing to complete work and remove traffic control devices before a
rush hour begins, will be considered Contractor noncompliance.
Noncompliance will result in a reduction in payment to the Contractor
equal to \$[(*insert amount*)]{.mark} per hour, for each hour or portion
thereof. This reduction in payment will be subtracted from the
Contractor\'s progress payments and will be unrecoverable.
The CO reserves the right to review the Contractor\'s progress before
rush hour begins. The CO may direct the Contractor to stop operations to
ensure the Contractor completes all work, including the removal of all
lane restriction traffic control devices and installation of rush hour
traffic control devices before rush hour begins.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR HIGH ADT OR URBAN AREAS]{.mark}*
\$\$156.03B
156.03. Add the following:
Comply with all of the requirements of the Traffic Control Plan and
adequately maintain all of the devices required. Clean, service, and
replace all traffic control devices when they become inoperative,
damaged, or when the specified reflectivity of the device is reduced by
50 percent. The Contractor will be given written notice of those traffic
control items not in compliance with the Contract. Revise the identified
items into compliance within 24 hours. If the Contractor fails to bring
the specified items into compliance within the 24-hour period, the CO
may assess a daily reduction in payment to the Contractor of \$[(*insert
amount, typically ½ of the liquidated damages amount*)]{.mark} per day.
The CO may continue to assess the daily reduction in payment for each
additional 24-hour period until the items are corrected. This reduction
in payment will be subtracted from the Contractor\'s progress payments
and will be unrecoverable. Use of this reduction in payment does not
waive the CO\'s right to suspend the work in whole or in part according
to Subsection 108.05.
*[INCLUDE THE FOLLOWING, IF APPROPRIATE]{.mark}*
\$\$156.03C
156.03. Add the following:
Hauling will only be permitted from the nearest point of public access
to the work site. Minimize hauling over completed pavement.
\$\$156.04A
156.04. Add the following:
> **(f)** Ensure that all drains and inlets within the project limits
> are fully functional throughout the duration of the project.
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$156.06A
156.06(b). Delete the second sentence and substitute the following:
> For shoulder drop-offs in excess of 3 inches [(7.5
> centimeters)]{.mark}, provide a 1V:3H fillet with "*Low Shoulder*"
> warning signs.
*[INCLUDE THE FOLLOWING FOR URBAN AREAS]{.mark}*
\$\$156.06B
156.06**(i)** Delete the text and substitute the following:
> (**i**) Limit construction caused delays to public traffic to a
> maximum of 15 minutes per passage through the project.
*[INCLUDE THE FOLLOWING IF NIGHT OPERATIONS ARE NOT PERMITTED]{.mark}*
\$\$156.07A
156.07. Delete the Subsection and substitute the following:
**156.07 Nighttime Operations.** Nighttime operations are not permitted.
Perform construction operations during the hours of daylight (½ hour
after sunrise to ½ hour before sunset).
*[INCLUDE THE FOLLOWING FOR COMPLEX URBAN PROJECTS]{.mark}*
\$\$156.08A
156.08. Add the following:
Employ a full-time Traffic Safety Supervisor, exclusively for this
project, and designate the person in writing to the CO at the
preconstruction conference. The Traffic Safety Supervisor will be on the
site at all times when work is being performed and available during
non-work hours.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR RURAL OR UNCOMPLICATED PROJECTS]{.mark}*
\$\$156.08B
156.08. Delete the second sentence of the first paragraph and substitute
the following:
The traffic safety supervisor may be the superintendent.
\$\$201.00A
######### Section 201.---CLEARING AND GRUBBING
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR USFS PROJECTS]{.mark}*
\$\$201.03A
201.03. Add the following:
Pay to the Forest Service within 30 calendar days after contract award
or before the start of clearing and grubbing operations, the lump sum
price of [*[(obtain \$ value from USFS)]{.mark}*]{.underline} as payment
in full for all merchantable timber involved in clearing and grubbing
and individual removal of trees.
\$\$203.00A
######### Section 203.---REMOVAL OF STRUCTURES AND OBSTRUCTIONS
Revised 6 May 2005
# [INCLUDE THE FOLLOWING FOR BRIDGE CONCRETE REMOVAL]{.mark}
\$\$203.04A
4. Add the following:
> **(a) Concrete Removal by Mechanical Impact Methods**. Furnish
> equipment that complies with the following:
>
> **(1)** Use power-driven hand tools for removal of existing concrete
> with the following restrictions:
>
> *(a)* Do not use jackhammers heavier than 30 pounds [(13.6
> kilograms)]{.mark}.
>
> *(b)* Do not operate 30-pound [(13.6 kilogram)]{.mark} jackhammers and
> mechanical chipping tools at an angle in excess of 45 degrees measured
> from the surface of the slab.
>
> *(c)* Do not use chipping hammers heavier than a nominal 15-pound
> [(6.8-kilogram)]{.mark} class to remove concrete from beneath any
> reinforcing bar.
>
> **(2)** Use hand tools (hammers and chisels) for removal of final
> particles of concrete or to achieve the required depth.
>
> **(b) Reinforcing Steel.** Clean all reinforcing steel that is to
> remain in place and has been exposed by removal operations. Remove all
> rust and corrosive products, including oil, dirt, concrete fragments,
> laitance, loose scale, and other coating of any character that would
> destroy or inhibit the bond with the new concrete.
When cleaned reinforcing steel will be exposed for more than 7 calendar
days before placing the concrete, protect the steel from corrosion and
contamination. Clean and/or replace all reinforcing steel corroded or
contaminated because of the Contractor\'s failure to protect the steel.
> Prevent cutting or damaging reinforcing steel designated to remain in
> place. Repair or replace any damaged bars.
[]{.mark}
*[INCLUDE THE FOLLOWING, IF APPLICABLE]{.mark}*
\$\$203.05A
203.05(b). Delete the Subsection and substitute the following:
> **(b) Burn.** Burning is prohibited. Dispose of material according to
> Subsection 203.05(a).
\$\$203.05B
203.05(c). Add the following after the first sentence of the first
paragraph:
Bury debris beyond the toes of fills in areas authorized by the CO.
\$\$203.05C
203.05(c). Delete the Subsection and substitute the following:
> **(c) Bury.** Burying debris is prohibited. Dispose of material
> according to Subsection 203.05(a).
\$\$204.00A
######### Section 204.---EXCAVATION AND EMBANKMENT
Revised 25 January 2005
# [INCLUDE THE FOLLOWING]{.mark}
\$\$204.13A
204.13(d). Add the following:
Flush the exposed faces of rock embankment with soil conserved from the
excavation.
\$\$205.00A
######### Section 205.---ROCK BLASTING
Revised 6 May 2005
*[INCLUDE THE FOLLOWING FOR NPS PROJECTS]{.mark}*
\$\$205.08A
205.08(c) Delete the first sentence of the sixth paragraph and
substitute the following:
> Allow a 2-foot [(0.6-meter)]{.mark} offset for a working bench at the
> bottom of each lift for drilling the next lower controlled blasting
> hole pattern.
\$\$205.08B
205.08(c). Delete the ninth paragraph and substitute the following:
Presplitting is not permitted.
\$\$212.00A
######### Section 212.---LINEAR GRADING
Revised 25 January 2005
# [INCLUDE THE FOLLOWING]{.mark}
\$\$212.03A
212.03. Delete the Subsection and substitute the following:
Construct the roadbeds according to Section 204.
\$\$212.04A
212.04. Add the following after the second sentence:
Submit any deviations from the established vertical or horizontal
alignment shown in the plans for approval.
\$\$253.00A
######### Section 253.\--GABIONS AND REVET MATTRESSES
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR NPS PROJECTS AND OTHERS IF
APPLICABLE]{.mark}*
\$\$253.06A
253.06 Add the following after the second paragraph:
Hand place the rock for the visible faces of exterior basket cells to
ensure an attractive appearance as directed by the CO. Rock in other
sections of baskets may be placed by mechanical equipment.
\$\$257.00A
######### Section 257.---ALTERNATE RETAINING WALLS
Revised 16 May 2005
*[INCLUDE THE FOLLOWING FOR ALTERNATE RETAINING WALLS]{.mark}*
\$\$257.04A
257.04**(i)**. Add the following:
> **Design Criteria.** Consider the internal and the external stability
> of the wall. For internal stability, the wall system must be coherent
> and self‑supporting mass under the action of its own weight and any
> externally applied forces. For external stability the wall system must
> be stable against sliding, overturning, foundation failure, and
> overall slope failure including failure of temporary construction
> slopes.
The CO will provide the angle of internal friction used for the
computations of earth pressures in the reinforced and retained soil
backfill.
The CO may reject any proposed wall alternate should the alternate
present unreasonable slope stability risks at any individual site.
\$\$257.04B
Add the following after Subsection 257.04:
**257.04A Mechanically Stabilized Embankment Walls.** Construct
mechanically stabilized embankment walls using either or both extensible
and inextensible reinforcements conforming to Section 255 and to the
following design criteria:
> **(a) Structure Dimensions.** Dimension structures to satisfy the
> following minimum Factors of Safety:
>
> **(1)** Sliding \> 1.5
>
> **(2)** Overturning \> 2.0
>
> **(3)** Bearing Capacity \> 2.5
>
> **(4)** Pullout Resistance \> 1.5
>
> **(5)** Overall Stability \> 1.3 (1.2 for temporary construction
> slopes)
Design the minimum reinforcement length to be 70 percent of the wall
height (as measured from the back of the wall) and not less than 8 feet
[(2.4 meters)]{.mark} for wall heights up to 20 feet [(6.1
meters)]{.mark}. For wall heights over 20 feet [(6.1 meters)]{.mark},
design the minimum reinforcement length to be 70 percent of the wall
height (as measured from the back of the wall) and not less than 15 feet
[(4.6 meters)]{.mark}, unless substantiating evidence is presented to
indicate that shorter lengths are satisfactory. Consider rock intrusion
into the design of the embedment length design. Include a minimum
embedment length of 70 percent of the wall height (as measured from the
back of the wall) if the design embedment length cannot be reached
because of bedrock intrusion. In addition, the reinforcement length must
be sufficient to satisfy all external and internal stability
considerations.
> **(b) Wall Embedment Depth.** Design structures for the following
> minimum embedment unless constructed on rock foundations. The minimum
> embedment is determined as a function of the height of structure (H)
> above the base of the wall.
------------------------ ------------ ------- -------------------------------
[Slope in Front of [Minimum Embedment]{.underline}
Structure]{.underline}
Horizontal walls H/20
3H:1V walls H/10
2H:1V walls H/7
3H:2V walls H/5
------------------------ ------------ ------- -------------------------------
Design the minimum embedment depth to the top of leveling pad to be 2
feet [(0.6 meters)]{.mark} or below the prevailing depth of frost
penetration.
[]{.mark}
*[INSERT THE FIGURE NUMBERS AND EARTH PRESSURE DIAGRAMS FROM
GEOTECH]{.mark}*
> **(c) External Stability Computations.** Assume the stabilized earth
> mass to be a rigid body for stability computations. Compute the
> coefficient of active earth pressure (K~a~), used to compute the
> horizontal force resulting from the random backfill and other loads,
> based on the friction angle of the random backfill.
Compute the active earth pressure coefficients for random backfill as
follows:
$\text{Ka} = \text{cos}B\left\lbrack \frac{\text{cos}B - \sqrt{(\text{cos}^{2}B - \text{cos}^{2}\phi}}{\text{cos}B + \sqrt{(\text{cos}^{2}B - \text{cos}^{2}\phi}} \right\rbrack$
> Where: *B* = Slope angle above wall
*ϕ* = Internal angle of friction of random backfill
> Figures *[[(insert figure number)]{.underline}]{.mark}* and *[[(insert
> figure number)]{.underline}]{.mark}* illustrate external stability
> equations for walls with horizontal backslope and inclined backslope
> respectively. The resultant force acting on the base lies within the
> middle third of the base width.
>
> **(d) Internal Stability.** Perform internal stability analyses to
> verify that the reinforcing material is not over-stressed and that the
> reinforcement embedment length beyond the failure surface is
> sufficient to prevent pullout.
>
> **(1) Reinforcement Tension.** Use the tie-back wedge method of
> analysis for analysis of retaining walls reinforced with extensible
> reinforcement.
>
> The required reinforcement tension to prevent rupture, T~r~,
> calculated using the tie-back wedge method, is less than or equal to
> the allowable reinforcement tension, T~a~, determined as outlined in
> Subsection 257.04A(f).
>
> **(2) Reinforcement Length.** Design the reinforcement length to be
> the longer of the length required for external stability or internal
> stability. Design the length required for external stability according
> to Subsection 257.04A(c). Determine the length required for internal
> stability as follows:
>
> At each reinforcement level, design the reinforcement length for a
> minimum factor of safety of 1.5 against pullout failure (i.e., at each
> reinforcement level the pullout resistance, T~p~, is at least 1.5
> times the required reinforcement tension, T~r~). Use only the
> effective pullout length extending beyond the Rankine failure surface
> into the resistant zone in the computation of the required pullout
> resistance.
The minimum reinforcement length in the resistant zone shall be 3 feet
[(0.9 meters)]{.mark}. The total reinforcement length at any level is
equal to the sum of the lengths in the active and resistant zones.
Provide uniform reinforcement length throughout any section of the
structure.
> **(e) Reinforcement Pullout Resistance.** Evaluate the pullout
> resistance from the results of pullout tests. The use of direct shear
> tests to determine the pullout resistance of reinforcement is not
> acceptable. Base pullout resistance for design on a maximum elongation
> of the embedded reinforcement of ¾ inch [(19 millimeters)]{.mark} as
> measured at the leading edge of the compressive zone within the soil
> mass and not the ultimate pullout capacity.
>
> For geogrids, where insufficient data exists to evaluate pullout
> resistance as a function of soil type, pullout tests will be required
> on a project specific basis until such time that the engineering
> behavior of the soil‑reinforcement system is clearly defined. Perform
> the pullout tests using vertical stress (~v~) variations and
> reinforcement element configurations simulating the actual project
> conditions.
>
> Perform the pullout tests on samples with a minimum embedded length of
> 2 feet [(0.6 meters)]{.mark}. Perform the tests on samples with a
> minimum width of 1 foot [(0.3 meters)]{.mark} or a width equal to a
> 4 longitudinal reinforcement element, whichever is greater. Conduct
> tests at 70±2 ^o^F [(21±1 ^o^C)]{.mark} at constant strain rates of
> 0.02 inches [(0.5 millimeters)]{.mark} per minute.
Evaluate the pullout resistance for geogrids by the following relation:
T~p~ = 2 tan ~v~ A~s~ fd
where:
T~p~ = Ultimate pullout capacity of tensile reinforcement (pounds
[(kilograms)]{.mark})
~v~ = Vertical stress (pounds per square foot [(kilograms per square
meter)]{.mark})
A~s~ = Total plan area of geogrid beyond failure plans (square feet
[(square meters)]{.mark})
= Internal angle of friction of backfill
fd = Equivalent coefficient of direct sliding derived from pullout tests
The equivalent coefficient of direct sliding is a function of the open
area of the grid. For preliminary analysis estimate from the following
in the absence of product specific data tested with site-specific
granular backfills:
+-----------+-----------------------+--------------+--------------------+
| [% Open | | Equivalent | |
| Area of | | Coefficient | |
| Grid]{.u | | | |
| nderline} | | [of Direct | |
| | | Sliding] | |
| | | {.underline} | |
+-----------+-----------------------+--------------+--------------------+
| | 80 or more | | 0.5 |
+-----------+-----------------------+--------------+--------------------+
| | 51 to 79 | | 0.7 |
+-----------+-----------------------+--------------+--------------------+
| | 50 or less | | 0.6 |
+-----------+-----------------------+--------------+--------------------+
> **(f) Reinforcement Properties and Allowable Stress.**
>
> **(1) General.** The long‑term tension‑strain characteristics of
> extensible reinforcements are influenced by:
>
> *(a)* Long‑term polymer creep,
>
> *(b)* Long‑term polymer degradation, and
>
> *(c)* Construction induced reinforcement damage as well as variations
> in the manufacturing process.
Account for and verify these factors by testing to determine the
allowable long‑term reinforcement tensions for design.
> **(2) Creep.** Determine the long-term tension-strain-time behavior of
> polymeric reinforcement from results of controlled laboratory creep
> tests conducted for a minimum duration of 10,000 hours for a range of
> load levels on samples of the finished product to be used on the
> project. Test samples in the direction in which the load will be
> applied in use in either a confined or unconfined mode. Extrapolate
> results using a minimum design life of 100 years.
Determine the following from these tests:
> *(a)* The highest tension level at which the accumulative creep
> strain-rate continues to decrease with Log-time within the required
> design lifetime and which would preclude brittle or ductile failures.
> Term this value of load the limit state reinforcement tensile load and
> designate as T~1~.
>
> *(b)* The tension level at which total strain is not expected to
> exceed 5 percent within the design lifetime. Term this value of load
> the serviceability state reinforcement tension, and designate as T~w~.
>
> **(3) Polymer Durability.** Perform product specific studies to assess
> the effects on the reinforcement\'s durability in differing
> environments. Include the effect on short‑term and long‑term
> mechanical properties as well as changes to the reinforcement
> microstructure, dimensional changes, changes in mass, oxidation,
> environmental stress cracking, hydrolysis, temperature, and
> plasticization in the studies. Provide the test results for
> verification of product durability. Investigate the full range of soil
> environments to which the reinforcements may be potentially exposed
> and the site-specific environment. As a minimum include the following:
(a) The pH in the range of 3 to 9 - ASTM D 2165;
(b) Diesel oil - ASTM D 975;
(c) Fungi and Bacteria;
(d) U.V. exposure 500 hours. - ASTM D 4355;
(e) Solvents and agents that are site-specific.
> Incorporate the results from these studies into durability reduction
> factors, (FD) and apply to the limit state tensile load T~1~.
> Extrapolate results from short-term tests to the required design life
> of 100 years.
In the absence of site-specific product durability information, take FD
as 2.0. In no case shall FD be less than 1.10.
> **(4) Construction Induced Damage.** Determine the effect of
> construction damage on the reinforcement from the results of
> full‑scale construction damage tests on representative fill materials
> to be used in the construction of the reinforced backfill and
> according to construction procedures. Incorporate the effect of
> construction damage tests into the construction damage factor (FC)
> that is applied to the limit and serviceability state reinforcement
> tensions. In the absence of product specific construction damage tests
> on site-specific materials, take FC as 3.0. Substantiate lower values
> by construction damage tests for the selected product with the
> specific backfill source from the project.
>
> **(5) Allowable Reinforcement Tension.** The allowable reinforcement
> tension T~a~, will be the lesser of the following 2 determinations:
>
> *(a)* Limit state determination. The allowable long-term reinforcement
> tension based on a limit state criterion is given by:
$T_{\text{al}} = \frac{T_{1}}{\text{FD} \times \text{FC} \times \text{FS}}$
where: FS is an overall factor of safety to account for uncertainties in
structure geometry, fill properties, reinforcement properties, and
externally applied loads. For permanent, vertically faced mechanically
stabilized earth walls the minimum FS shall be 1.5 for overall
stability.
> *(b)* Serviceability state determination. The allowable long-term
> reinforcement tension based on a serviceability state criterion is
> given by:
$T_{\text{as}} = \frac{T_{w}}{\text{FC} \times \text{FD}}$
> For the serviceability state determination no overall factor of safety
> is required.
>
> The allowable reinforcement tension, T~a~, determined in this section
> shall be greater than the required reinforcement tension, T~r~,
> calculated in Subsection 257.04A(d).
>
> **(6) Geogrid Junction Strength.** For geogrids the summation of the
> shear strengths of the joints occurring in a 1-foot
> [(0.3-meter)]{.mark} length of the grid sample shall be greater than
> the ultimate tensile strength of the grid element to which they are
> attached. Otherwise, reduce the allowable reinforcement tensions in
> Subsection 257.04A(f)(5) by the ratio of the shear strengths to the
> ultimate strength. Determine the ultimate tensile strength from the
> wide width tensile test, ASTM D 4595, and translate into an ultimate
> strength per element by dividing by the number of elements per foot
> [(meter)]{.mark} of width. Junction strength may be measured in
> accordance with Geosynthetic Research Institute (G.R.I.)
> Method GG-2-87.
>
> **(g) Backfill Requirements.** Furnish backfill for embankments using
> inextensible metallic reinforcements meeting Subsection 255.06.
Furnish backfill for extensible reinforcements that has a nominal
maximum particle size of 4 inches [(10 centimeters)]{.mark}, be
reasonably free from organic or other deleterious materials, and have a
pH between 3 and 9. The shear strength parameters used for the
computations of earth pressures in the reinforced and retained soil
backfill will be provided on the plans.
> **(h) Facing Connection Design.** Base the size of all structural
> facing elements so the design load stresses do not exceed the
> allowable stresses found in the AASHTO Standard Specifications for
> Highway Bridges. Design extensible reinforcement connections to the
> facing to carry 100 percent of the maximum design tensile load at all
> levels. Load test representative section of connection type with
> vertical stresses, ranging from minimum to maximum, to determine the
> allowable connection working load. The reinforcement allowable
> strength may be no greater than the connection strength.
Conduct the load-test on samples at least 8 inches [(20
centimeters)]{.mark} wide and at a rate of elongation not exceeding
0.5 inches [(14 millimeters)]{.mark} per minute.
> **(i) Corrosion Life.** The corrosion life of any metal components
> which are exposed to soil shall be 100 years. Submit calculations
> concerning corrosion life to the CO for approval.
>
> **(j) Miscellaneous.** If the wall designer/supplier needs additional
> information to complete its design, obtain the information. Calculate
> the maximum bearing pressure under the stabilized mass using the
> Meyerhoff formula and clearly indicate on the plans. Assume passive
> pressure in front of the wall mass to be 0 for design purposes.
Account for all appurtenances behind, in front of, under, mounted upon,
or passing through the wall (such as the drainage structures, or other
items shown on the plans) in the stability design of the wall.
\$\$257.04C
**257.04B Permanent Anchored Walls.** Design permanent anchored walls to
conform to Sections 256, 551, 557, 601, and the following design
criteria:
> **(a)** Design rock and soil anchors to conform to Section 256.
>
> **(b)** Design lagging by sound engineering principles.
>
> **(c)** Furnish a 1-foot [(0.3-meter)]{.mark} reinforced concrete
> facing, designed according to AASHTO Standard and Interim
> Specifications for Highway Bridges. Use Class A concrete, tested
> according to Subsection 552.19(a). Extend the facing 2 feet [(0.6
> meters)]{.mark} below the gutter line or, if applicable, the ground
> line adjacent to the wall. Finish concrete according to Subsection
> 552.16(a).
>
> **(d)** Design soldier piles for shear, bending, and axial stresses.
> Design according to the latest AASHTO design criteria. Soldier piles
> may be steel or concrete with a minimum yield strength for steel of
> 50,000 pounds per square inch [(345 MegaPascals)]{.mark} and the
> minimum compressive strength of concrete of 3,000 pounds per square
> inch [(20.7 MegaPascals)]{.mark}, 28-day strength.
>
> **(e)** Design permanent drainage systems behind the wall. Connect
> drainage systems to the nearest drop inlet by pipe or by free
> drainage.
[]{.mark}
*[INSERT THE FIGURE NUMBERS AND EARTH PRESSURE DIAGRAMS FROM
GEOTECH]{.mark}*
> **(f)** Show loading conditions for soldier piles, lagging, and
> anchors at critical stages of construction as indicated on Figures
> *[(insert figure numbers)]{.mark}*.
>
> **(g)** Ensure that the wall is compatible with horizontal and
> vertical alignment criteria indicated on the plans.
>
> **(h)** Size the tendon such that the design load does not exceed 53
> percent of the guaranteed ultimate tensile strength of the tendon.
>
> **(i)** Analyze the anchor structure system to ensure long-term
> stability of both the anchors and the earth mass being retained.
> Extend the free stressing length at least 5 feet [(1.5 meters)]{.mark}
> beyond any critical failure surface but not less than 15 feet [(4.6
> meters)]{.mark} in soil or 10 feet [(3 meters)]{.mark} in rock.
> Account for the type of foundation, nearness, and susceptibility to
> movement of adjacent facilities in the design.
\$\$260.00A
######### Section 260.---ROCKBOLTS
Revised 25 January 2005
[SECTION TO BE REVISED SHORTLY CONTACT PS&E REVIEW ENGINEER FOR FURTHER
DETAILS]{.mark}
\$\$261.00A
######### Section 261.---ROCK DOWELS
Revised 25 January 2005
[SECTION TO BE REVISED SHORTLY CONTACT PS&E REVIEW ENGINEER FOR FURTHER
DETAILS]{.mark}
[]{.mark}
\$\$301.00A
######### Section 301.---UNTREATED AGGREGATE COURSES
Revised 6 May 2005
*[INCLUDE THE FOLLOWING FOR NEW OR RECONSTRUCTED CONCRETE PAVEMENT
SLABS]{.mark}*
\$\$301.01A
301.01. Add the following:
Crushed recycled concrete may be used for aggregate courses under
concrete pavements.
\$\$301.02A
301.02 Add the following:
> Crushed recycled concrete 703.20
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$301.03A
301.03. Add the following after the second paragraph:
Submit the representative 300-pound [(150-kilogram)]{.mark} sample to
the EFLHD Central Laboratory in Sevierville, Tennessee.
[]{.mark}
*[INCLUDE THE FOLLOWING IF ALLOWING AN ALTERNATE STATE GRADATION AND THE
ALTERNATE STATE GRADATION INCLUDES SPECIFIED ALLOWABLE DEVIATIONS. ALSO
INCLUDE APPLICABLE SCRS FROM SUBSECTION 703.05.]{.mark}*
\$\$301.03B
301.03. Add the following:
If an alternate State gradation is produced as provided in Subsection
703.05, notify the CO in writing. If the target values with respect to
the State gradation are not identified, they will be the midpoint of the
allowable State specification band.
*[INCLUDE THE FOLLOWING IF ALLOWING AN ALTERNATE STATE GRADATION AND THE
ALTERNATE STATE GRADATION DOES NOT INCLUDE SPECIFIED ALLOWABLE
DEVIATIONS. ALSO INCLUDE APPLICABLE SCRS FROM SUBSECTION
703.05.]{.mark}*
\$\$301.03C
301.03. Add the following:
If an alternate State gradation is produced as provided in Subsection
703.05, notify the CO in writing. The target values with respect to the
State gradation will be the midpoint of the allowable State
specification band. The allowable deviation (D) will be ½ the State
specification band width, and the maximum allowable pay factor under
subsection 301.08 will be 1.0.
*[INCLUDE THE FOLLOWING FOR NEW OR RECONSTRUCTED CONCRETE PAVEMENT
SLABS]{.mark}*
\$\$301.04A
301.04. Add the following:
Remove and replace any layer of crushed recycled concrete material that
exhibits heaving, pumping, rutting, or shearing under construction
equipment even if the layer meets the density requirements in Subsection
301.05.
\$\$301.08A
301.08 Add the following:
Crushed recycled concrete for aggregate courses under concrete pavements
will be evaluated under Subsections 106.02 and 106.04.
\$\$303.00A
######### Section 303.---ROAD RECONDITIONING
Revised 6 May 2005
*[INCLUDE THE FOLLOWING WHEN STATIONING IS DONE OTHER THAN AT CL. REVISE
AS APPROPRIATE]{.mark}*
\$\$303.10A
303.10. Delete the second paragraph and substitute the following:
Measure ditch and shoulder reconditioning by the [linear foot or
mile]{.mark} [(meter or kilometer)]{.mark}, measured along the edge of
pavement.
\$\$308.00A
######### Section 308.---MINOR CRUSHED AGGREGATE
Revised 6 May 2005
*[INCLUDE THE FOLLOWING WHEN CRUSHED RECYCLED CONCRETE IS PERMITTED IN
TEMPORARY PAVEMENTS]{.mark}*
\$\$308.02A
308.02. Add the following:
> Crushed recycled concrete 703.20
\$\$308.02B
Crushed recycled concrete may be used for aggregate courses in temporary
pavements.
\$\$308.04A
308.04(a). Add the following:
Remove and replace any layer of crushed recycled concrete material that
exhibits heaving, pumping, rutting, or shearing under construction
equipment even if the layer meets the density requirements in Subsection
308.05(a).
\$\$308.06A
308.06. Add the following:
Crushed recycled concrete will be evaluated under Subsections 106.02 and
106.04.
*[INCLUDE THE FOLLOWING FOR A SMALL QUANTITY OF AGGREGATE FOR MINOR
ROADS, PARKING LOTS AND FOR TEMPORARY PAVEMENTS (Quantity to be
determined during the design and review process)]{.mark}*
\$\$308.06B
6. Delete Table 308-1 and substitute the following:
**Table 308-1**
**Sampling and Testing Requirements**
------------ ---------------- ------------------ ------------------ ------------- ------------ ---------- -------------
**Material **Type of **Property or **Test Methods **Sampling **Point of **Split **Reporting
or Product** Acceptance Characteristic** Specifications** Frequency** Sampling** Sample** Time**
(Subsection)**
Crushed Measured and Moisture-Density AASHTO T 180 1 for each Production \-\-- Before using
aggregate tested for method D^(2)^ aggregate output or in work
for roadway conformance supplied stockpile
(106.04)
Gradation^(1)^ AASHTO T 11 and T 1 for each From windrow \-\-- Before
27 1000 tons or roadbed placing next
after layer
processing
In-place density AASHTO T 310 or 1 for each In-place \-\-- Before
and moisture other approved 500 tons placing next
content procedures layer
Crushed Measured and Moisture-Density AASHTO T 99 method 1 for each Production \-\-- Before using
aggregate tested for C^(2)^ aggregate output or in work
for bedding conformance supplied stockpile
and backfill (106.04)
In-place density AASHTO T 310 or 2 per lift In-place \-\-- Before
and moisture other approved placing next
content procedures layer
------------ ---------------- ------------------ ------------------ ------------- ------------ ---------- -------------
^(1)^Use only sieves indicated for the specified gradation.
^(2)^Minimum of 5 points per proctor.
\$\$308.06C
6. Delete the third and fourth paragraphs and substitute the following:
Construction of roadway aggregate courses, and bedding and backfill
aggregate will be evaluated under Subsections 106.02 and 106.04. Method
2 compaction will be evaluated under Section 106.04. Sample crushed
aggregate for roadway according to Table 308-1. Submit crushed aggregate
for roadway samples to the CO for verification. Materials that do not
meet the approved certification will be considered unacceptable.
*[INCLUDE THE FOLLOWING WHEN CRUSHED RECYCLED CONCRETE IS PERMITTED IN
TEMPORARY PAVEMENTS]{.mark}*
\$\$308.07A
308.07. Add the following:
Measure crushed recycled concrete by the cubic yard [(meter)]{.mark} in
the hauling vehicle.
[DO NOT USE WHERE THE CONSTRUCTION WILL BE ADMINISTERED BY THE FOREST
SERVICE. FS DOES NOT DO STATISTICAL ACCEPTANCE. USE 403]{.mark}
\$\$401.00A
######### Section 401.---SUPERPAVE HOT ASPHALT CONCRETE PAVEMENT
Revised 2 October 2005
### *[INCLUDE THE FOLLOWING]{.mark}*
\$\$401.01A
401.01. Add the following:
Asphalt binder is designated as performance grade PG *[(ASK MATERIALS
ENGINEER FOR SPECIFIC GRADE)]{.mark}*.
[]{.mark}
[INCLUDE THE FOLLOWING FOR PROJECTS IN STATES THAT HAVE CHANGED THE
NATIONAL SUPERPAVE SPECIFICATION (CHECK WITH THE MATERIALS
ENGINEER)]{.mark}
\$\$401.03A
401.03. Add the following:
At the option of the contractor, a State Highway Department Superpave
Hot Asphalt Concrete mixture may be submitted for approval that has the
same nominal maximum size aggregate, traffic level (design ESAL), and
asphalt binder grade as specified.
*[INCLUDE THE FOLLOWING FOR 401 AND 402 ITEMS]{.mark}*
\$\$401.03B
401.03(a). Delete the first sentence and substitute the following:
> Do not use mixes with over 15 percent recycled asphalt pavement in the
> top lift.
\$\$401.03C
401.03(b). Add the following:
> For State Department of Transportation mixes, submit a job-mix formula
> that is currently approved and has been tested by the State within a
> year of the date of intended use. Include documentation from a State
> highway official certifying that it is an approved State mix.
###### [INCLUDE THE FOLLOWING]{.mark}
\$\$401.03D
401.03(b). Add the following:
> For percentages of recycled asphalt pavement greater than 15 percent,
> the contractor must submit a quality control plan showing sufficient
> control of the recycled asphalt pavement.
>
> Submit all materials and information to the EFLHD Central Laboratory
> in Sevierville, Tennessee.
\$\$401.03E
401.03(c). Add the following:
> Allow a minimum of 21 calendar days for verification of each job-mix
> formula after receipt of all materials and information at the EFLHD
> Central Laboratory.
[INCLUDE THE FOLLOWING FOR 401 OR 402 ITEMS]{.mark}
\$\$401.13A
401.13. Add the following:
Begin paving operations at the furthest location from the asphalt plant
and proceed towards the plant.
*[DO NOT USE WHERE THE CONSTRUCTION WILL BE ADMINISTERED BY THE FOREST
SERVICE. FS DOES NOT DO STATISTICAL ACCEPTANCE. USE 403]{.mark}*
\$\$402.00A
######### Section 402.---HOT ASPHALT CONCRETE PAVEMENT BY HVEEM OR MARSHALL MIX DESIGN METHOD
Revised 2 October 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$402.01A
402.01. Add the following:
Asphalt binder is designated as performance grade PG *[(ASK MATERIALS
ENGINEER FOR SPECIFIC GRADE)]{.mark}*.
\$\$402.03B
402.03(b). Add the following:
> For percentages of recycled asphalt pavement greater than 15 percent,
> the contractor must submit a quality control plan showing sufficient
> control of the recycled asphalt pavement.
>
> Submit all materials and information to the EFLHD Central Laboratory
> in Sevierville, Tennessee.
\$\$402.03C
402.03(c). Add the following:
> Allow a minimum of 21 calendar days for verification of each job-mix
> formula after receipt of all materials and information at the EFLHD
> Central Laboratory.
\$\$402.00B
######### THE FOLLOWING SPECIAL CONTRACT REQUIREMENTS ARE APPLICABLE TO
**THOSE 402 PAY ITEMS WITH BID SCHEDULE QUANTITIES**
**GREATER THAN OR EQUAL TO 4000 TONS**
Revised 25 January 2005
[INCLUDE THE FOLLOWING WHEN THE PROJECT IS LOCATED IN A STATE WITH
SIMILAR HACP SPECIFICATIONS. GRADING C AND E SHOULD BE SPECIFIED IF
ALLOWING A STATE OPTION (CHECK WITH THE MATERIALS ENGINEER)]{.mark}
\$\$402.03E
402.03. Add the following:
At the option of the Contractor, a State Department of Transportation
mixture gradation may be submitted which has the same maximum size
aggregate as the specified grading and conforms to the aggregate quality
requirements in Subsection 703.07, and design parameters (b); (c)(2) or
(d); and (e) in Table 402-1 for the specified mix Class and the
requirements of Table 402-2.
The allowable deviations for an optional State Department of
Transportation gradation will be the allowable deviations as shown in
Table 703-4 for the gradation specified.
\$\$402.03F
402.03(b). Add the following:
> For State Department of Transportation mixes, submit a job-mix formula
> that is currently approved and has been tested by the State within a
> year of the date of intended use. Include documentation from a State
> highway official certifying that it is an approved State mix.
[USE FOR PAVEMENTS THAT ARE NOT STATISTICAL (\< 4000 TONS), SUCH AS
DRIVEWAYS, PULL-OFFS, AND PARKING AREAS BUT AREN'T MINOR AS IN SECTION
404. ALSO USE WHERE THE CONSTRUCTION WILL BE ADMINISTERED BY THE FOREST
SERVICE. FS DOES NOT DO STATISTICAL ACCEPTANCE DO NOT USE 401 OR
402.]{.mark}
\$\$403.00A
######### Section 403.---HOT ASPHALT CONCRETE PAVEMENT
Revised 25 January 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$403.01A
403.01. Add the following:
Asphalt binder is designated as performance grade PG *[(ASK MATERIALS
ENGINEER FOR SPECIFIC GRADE)]{.mark}*.
*[INCLUDE THE FOLLOWING FOR SUPERPAVE]{.mark}*
\$\$403.03A
403.03. Delete the second and third bullet item and substitute the
following:
> • State Department of Transportation Superpave Hot Asphalt Concrete
> mixture with the same nominal maximum size aggregate, traffic level
> (design ESAL), and asphalt binder grade as specified. Meet the
> requirements for the location and type of facility being constructed
> as designated by the current State Department of Transportation
> specification. Submit the aggregate quality, gradation requirements,
> and mixture criteria for the asphalt concrete mix.
*[INCLUDE THE FOLLOWING FOR HACP BY HVEEM OR MARSHALL]{.mark}*
\$\$403.03B
403.03. Delete the first and third bullet item and substitute the
following:
> • State Department of Transportation Hveem or Marshall designed
> mixture with the same maximum size aggregate as the specified grading.
> Meet the requirements for the location and type of facility being
> constructed as designated by the current State Department of
> Transportation specification. Submit the aggregate quality, gradation
> requirements, and mixture criteria for the asphalt concrete mix.
###### [INCLUDE THE FOLLOWING]{.mark}
\$\$403.03C
403.03(b). Add the following:
> For State Department of Transportation mixes, submit a job-mix formula
> that is currently approved and has been tested by the State within a
> year of the date of intended use. Include documentation from a State
> highway official certifying that it is an approved State mix.
\$\$403.03D
403.03(b). Add the following:
> Submit all materials and information to the EFLHD Central Laboratory
> in Sevierville, Tennessee.
\$\$403.03E
403.03(c). Add the following:
> Allow a minimum of 21 calendar days for verification of each job-mix
> formula after receipt of all materials and information at the EFLHD
> Central Laboratory.
\$\$409.00A
######### Section 409.---ASPHALT SURFACE TREATMENT
Revised 2 October 2005
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$409.07A
7. Delete the subsection.
\$\$409.14A
409.14. Delete the second paragraph and substitute the following:
Measure asphalt surface treatment (including both asphalt and aggregate)
by the square yard [(square meter)]{.mark}.
\$\$412.00A
######### Section 412.---ASPHALT TACK COAT
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR CUT-BACKS]{.mark}*
\$\$412.01A
412.01. Add the following:
Tack coat rapid-curing cut-back asphalt grade is designated as shown in
AASHTO M 81.
\$\$412.02A
412.02. Add the following:
> Cut-back asphalt 702.02
\$\$412.02B
412.02. Add the following:
*[INCLUDE THE FOLLOWING FOR EMULSIFIEDS]{.mark}*
\$\$412.02C
Tack coat emulsified asphalt grade is designated as *[(ASK MATERIALS
ENGINEER FOR SPECIFIC GRADE)]{.mark}*
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CUT-BACKS]{.mark}*
\$\$412.02D
Tack coat rapid-curing cut-back asphalt grade is designated as *[(ASK
MATERIALS ENGINEER FOR SPECIFIC GRADE)]{.mark}*
[]{.mark}
\$\$501.00A
######### Section 501.---RIGID PAVEMENT
Revised 8 May 2005
*[INCLUDE THE FOLLOWING FOR COLORED SEALANT, AS APPROPRIATE]{.mark}*
\$\$501.02A
501.02. Add the following:
\$\$501.02B
> Furnish joint sealant material conforming to Subsection 712.01(e) that
> is a [(*insert color)*]{.mark} color matching the color of the
> existing pavement.
\$\$501.02C
> Furnish joint sealant material conforming to Subsection 712.01(f) that
> is a [(*insert color)*]{.mark} color matching the color of the
> existing pavement.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR STEEL PLATES, \$\$501.14B IS USED]{.mark}*
\$\$501.02D
> Furnish steel plates and keep available on the project for emergency
> use.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR ACCELERATED FULL-DEPTH REPLACEMENT]{.mark}*
\$\$501.03A
501.03. Add the following:
**Accelerated Full-depth Patching**. Design the concrete mix according
to Subsection 552.03 and conform to Table 501-1a. Make test specimens
according to AASHTO T 23, except that specimens shall remain in molds
until tests are conducted after a 7-hour cure.
**Table 501-1a**
**Rigid Pavement Composition**
+-----------+-----------+----------+-----------+-----------+-----------+
| Wat | Te | Slump | Air | Aggregate | 7-Hour |
| er/Cement | mperature | | Content | Size | Minimum |
| Ratio | | | | | |
| | of | | (%) | (AASHTO M | Co |
| (maximum) | | | | 43) | mpressive |
| | Concrete | | | | |
| | | | | | Strength |
+-----------+-----------+----------+-----------+-----------+-----------+
| 0.42 | 70±20 | 5.0±0.75 | 5½±1½ | No. 57 | 1,200 psi |
| | ^o^F | inches | | | |
| | | | | | [(8 |
| | [(20±10 | [(120±20 | | | Mpa |
| | ^o^C | mm) | | | )]{.mark} |
| | )]{.mark} | ]{.mark} | | | |
+-----------+-----------+----------+-----------+-----------+-----------+
*[INCLUDE THE FOLLOWING FOR COLORED PAVEMENT]{.mark}*
\$\$501.03B
501.03 Add the following:
**Pavement Containing Color**. Prepare 6-foot by 6-foot by 4-inch [(2 by
2-meter by 10 centimeter)]{.mark} test panels at an area near the
project designated by the CO. Do not begin concrete pavement work until
the CO inspects and approves the appearance of the test panels and the
concrete mix design 28 calendar days after the test panels are
constructed. The use of high range water reducer or accelerator in the
test panel is prohibited.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR FULL-DEPTH REPLACEMENT OR SMALL QUANTITY OF
RIGID PAVEMENT (SEE \$\$501.12A)]{.mark}*
\$\$501.11A
501.11. Add the following to the first paragraph:
Seal joints within 5 calendar days after patching to prevent spalling.
\$\$501.12A
501.12. Add the following:
For full depth replacement or small individual areas of rigid pavement
(less than *[(insert quantity, to be determined during design &
review)]{.mark}* square yards [(square meters)]{.mark}), meet the
requirements of (c) below.
# [INCLUDE THE FOLLOWING IF APPLICABLE]{.mark}
\$\$501.13A
501.13. Add the following:
Schedule the patching operation so that all areas where the pavement has
been removed are repaired during the same work period and the roadway
opened to traffic according to Section 156. Complete all concrete
operations sufficiently before opening the lane to traffic to allow the
concrete to have attained sufficient strength to support traffic
according to Subsection 501.14. In case of emergency, temporarily fill
and plate the repair areas according to Subsection 501.14.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR ACCELERATED FULL-DEPTH REPLACEMENT]{.mark}*
\$\$501.14A
501.14. Add the following:
For accelerated full-depth patches, do not allow traffic on new pavement
until the minimum compressive strength has reached 1,200 pounds per
square inch [(8 MegaPascals)]{.mark} according to AASHTO T 22.
[]{.mark}
*[INCLUDE THE FOLLOWING, IF APPLICABLE]{.mark}*
\$\$501.14B
501.14 Add the following:
If an emergency or unforeseen circumstance prevents the completion of a
pavement patch before opening the roadway, backfill and compact the
excavation with aggregate base and cover with a steel plate so that the
lane can be immediately opened to traffic. At the beginning of the next
day\'s work, completely remove the aggregate, in a manner which will not
disturb the subgrade or any dowels, load transfer tie bars, or load
transfer assemblies which may have been previously placed.
Place steel plates over concrete patches only if the concrete has not
developed sufficient strength as determined by the CO.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR ACCELERATED FULL-DEPTH REPLACEMENT]{.mark}*
\$\$501.15A
501.15. Add the following:
**Field Control for Accelerated Full-Depth Patching**. Conduct tests for
concrete compressive strength, and gradation and moisture control of
coarse and fine aggregate. Should the mix be of a questionable nature or
the previous patches show poor performance, the CO may require that test
cylinders be made, cured according to Subsection 552.15, and tested for
a 7-hour minimum compressive strength of 1,200 pounds per square inch
[(8 MegaPascals)]{.mark}. The minimum test frequency for slump and air
content will be 1 per 20 cubic yards [(15 cubic meters)]{.mark}. Conduct
compressive strength tests as required by the CO. Conduct tests for
gradation and moisture content daily before production. Concrete
compressive strength will be evaluated under Subsection 106.05. The
maximum pay factor for concrete compressive strength will be 1.0.
[]{.mark}
*[INCLUDE THE FOLLOWING IF CONCRETE QUANTITY \< 250 YD^3^ (190
m^3^)]{.mark}*
\$\$501.15B
501.15. Delete the third paragraph, the last sentence in both (a) and
(b), and all of (c). Substitute the following for the third paragraph:
Concrete compressive strength, pavement thickness, and pavement
smoothness, will be evaluated under Subsection 106.04. Determine
pavement smoothness according to Subsection 501.12. See Table 501-3 for
minimum sampling and testing requirements for compressive strength and
pavement thickness.
\$\$502.00A
######### Section 502.---RIGID PAVEMENT RESTORATION
Revised 8 May 2005
\$\$502.02A
502.02. Add the following:
*[INCLUDE ONE OF THE FOLLOWING FOR COLORED SEALANT, AS
APPROPRIATE]{.mark}*
\$\$502.02B
> Furnish joint sealant material conforming to Subsection 712.01(e) that
> is a *[insert color]{.mark}* color matching the color of the existing
> pavement.
\$\$502.02C
> Furnish joint sealant material conforming to Subsection 712.01(f) that
> is a *[insert color]{.mark}* color matching the color of the existing
> pavement.
*[INCLUDE THE FOLLOWING IF PLATES ARE NEEDED]{.mark}*
\$\$502.02D
Furnish steel plates and keep available on the project for emergency
use.
\$\$502.05A
502.05. Add the following:
Schedule the patching operation so that all areas where the pavement has
been removed are repaired during the same work period and the roadway
opened to traffic according to Section 156. Complete all concrete
operations sufficiently before opening the lane to traffic to allow the
concrete to have attained sufficient strength to support traffic
according to Subsection 502.11. In case of emergency, temporarily plate
the repair areas.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CRACK SEALING]{.mark}*
\$\$502.06A
502.06(a). Delete the first two sentences and substitute the following:
The CO will inspect joints in the existing concrete pavement after
removal of the existing asphalt overlay and will designate those joints
or cracks to be cleaned and sealed.
Clean expansion joints to a depth of 2 inches [(5 centimeters)]{.mark}.
Clean longitudinal joints and transverse joints to a depth of 1.5 inches
[(4 centimeters)]{.mark}.
Fill designated joints and cracks 0.75 inches [(2 centimeters)]{.mark}
or less in width with a poured joint filler. Fill joints and cracks over
0.75 inches [(2 centimeters)]{.mark} in width with a sand-asphalt
mixture. Reseal joints immediately after cleaning.
[]{.mark}
*[INCLUDE THE FOLLOWING, IF APPLICABLE]{.mark}*
\$\$502.11A
502.11 Add the following:
If an emergency or unforeseen circumstance prevents the completion of a
pavement patch before opening the roadway, backfill and compact the
excavation with aggregate base and cover with a steel plate so that the
lane can be immediately opened to traffic. At the beginning of the next
day\'s work, completely remove the aggregate, in a manner which will not
disturb the subgrade or any dowels, load transfer tie bars, or load
transfer assemblies which may have been previously placed.
Place steel plates over concrete patches only if the concrete has not
developed sufficient strength as determined by the CO.
\$\$551.00A
######### Section 551.---DRIVEN PILES
Revised 25 January 2005
*[INCLUDE THE FOLLOWING IF REQUIRED BY GEOTECH (ASK GEOTECH)]{.mark}*
\$\$551.05A
551.05. Add the following:
After completing the static load test, install instruments on the pile.
Strike the pile 50 to 100 blows with the driving hammer while the
dynamic measurement is made. Operate the pile hammer at normal operating
temperature before it is used to restrike the pile. After the dynamic
measurement of pile capacity, the CO will remove the instruments from
the pile.
\$\$551.08A
551.08. Add the following:
Drive permanent piles a minimum of 40 calendar days after completion of
the approach fills at the following locations:
> [1.
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.mark}
>
> [2.
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.mark}
>
> [3.
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.mark}
\$\$551.11A
551.11. Delete the first paragraph and substitute the following:
**Pile Load Tests**. Dynamic load testing is required.
\$\$552.00A
######### Section 552.---STRUCTURAL CONCRETE
Revised 2 October 2005
*[INCLUDE THE FOLLOWING FOR COLORED CONCRETE]{.mark}*
\$\$552.02A
552.02. Add the following:
> Concrete coloring agents 711.05
\$\$552.03A
552.03. Add the following:
All concrete in *[\[insert item description\]]{.mark}* will be
integrally colored by adding a concrete coloring agent. The colored
concrete after curing shall match as closely as practicable to Standard
Color Chart Number *[\[insert #\]]{.mark}* of Federal Specification
595B.
Prepare 5 square textured test panels with each panel being 1-foot [(0.3
meters)]{.mark} square. Determine coloring agent batch amounts by
weight. The maximum amount of coloring agent is not to exceed 10 percent
of the weight of the cement. Use coarse and fine aggregates and cement
as delivered on the project at the job mix rates with variable
quantities of coloring agent as directed by the CO. Provide additional
mixing time as recommended by the manufacturer. Give the test panels a
*[\[insert type\]]{.mark}* finish in accordance with the contract
requirements.
After the test panels have had at least 2 weeks exposure to sun, the CO
will select a test panel to serve as a guide for the colored concrete.
Use the same rate of coloring agent used in the selected panel on all
relative subsequent work. Include the approved amount of coloring agent
in the concrete mix design submittal.
Use an approved form release agent which will produce a minimum of
staining, air holes, and hydration discoloration.
*[INCLUDE THE FOLLOWING IF APPLICABLE]{.mark}*
\$\$552.03B
552.03(g). Add the following:
\$\$552.03C
> Use Type I or II portland cement in all concrete.
\$\$552.03D
> Use Type I, II, or III portland cement in all Class P concrete.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR BRIDGE DECK CONCRETE, EXCEPT WHEN REASONS
ARE NOTED FOR EXCLUDING HIGH RANGE WATER REDUCERS]{.mark}*
\$\$552.03F
552.03(v). Add the following:
> Provide Class *[(insert class)]{.mark}* concrete with a minimum 28-day
> compressive strength of *[(insert strength)]{.mark}* pounds per square
> inch [(MegaPascals)]{.mark}.
*[INCLUDE THE FOLLOWING IF APPLICABLE]{.mark}*
\$\$552.09A
552.09(b)(4). Add the following:
Provide for compressive strength testing of the concrete cylinders by an
independent laboratory, qualified to perform the testing, and as
approved by the CO.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE REPAIRS]{.mark}*
\$\$552.11A
552.11(a). Add the following to the third paragraph:
> Dispose of mortar, debris, foreign material and excess concrete
> according to Section 203.
552.11(a). Add the following:
> Before placing new concrete, clean the existing concrete surface and
> any exposed reinforcement of all loose material, dust, etc., by
> shotblasting and thoroughly flushing with clean water under pressure
> or compressed air. If compressed air is used provide a filter in the
> air line to ensure that the air is oil‑free.
>
> If there is an interval of more than 24 hours between cleaning of the
> sound concrete surface and placement of new concrete, or there are
> previously prepared concrete surfaces that have been contaminated by
> any substance detrimental to good bonding, clean or remove the
> concrete.
>
> Saw cut approximately 0.75 inches [(2 centimeters)]{.mark} deep along
> all boundaries of the repair areas. Point saw cuts, extending beyond
> the limits of repair areas, flush with the surface with portland
> cement or epoxy mortar.
>
> Where the bond between existing concrete and reinforcing steel has
> been destroyed, remove the concrete adjacent to the steel to a depth
> that will permit new concrete to bond to the entire periphery of the
> exposed steel. Provide a minimum of 0.75 inches [(2
> centimeters)]{.mark} clearance behind the steel.
>
> Remove and replace all badly deteriorated reinforcing steel.
>
> After removal of deteriorated or unsound concrete, shotblast exposed
> structural steel, reinforcing steel, and any concrete surfaces which
> will be in contact with repair material until free of rust and foreign
> material. Clean the sound concrete surface by flushing with clean
> water from a high pressure water jet or compressed air.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE REPAIRS PATCHES \< 5 inches (12.5
centimeters) DEEP]{.mark}*
\$\$552.11B
> For all vertical and overhead concrete repairs, and those horizontal
> repairs to areas less than 5 inches [(12.5 centimeters)]{.mark} in
> depth, use a high strength concrete patching compound placed according
> to the manufacturer\'s recommendations.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE REPAIRS PATCHES [\>]{.underline} 5
inches (12.5 centimeters) DEEP, MUST SPECIFY CLASS]{.mark}*
\$\$552.11C
> For all other repairs, apply a bonding coat of a 2-component epoxy
> resin binder to the surfaces of the sound existing concrete
> immediately before placing new concrete against it. Follow the
> manufacturer\'s recommendations for the epoxy resin binder. Repair
> areas using Class *[(insert class)]{.mark}* concrete.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE CURBS ON THE STRUCTURE]{.mark}*
\$\$552.11D
552.11(f). Delete the first sentence and substitute the following:
> **(f) Concrete railings, parapets, and curbs.**
[]{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE REPAIRS]{.mark}*
\$\$552.19A
552.19. Add the following:
Materials used for concrete repair will be evaluated under Subsection
106.03.
[]{.mark}
[]{.mark}
\$\$554.00A
######### Section 554.---REINFORCING STEEL
Revised 8 May 2005
*[INCLUDE THE FOLLOWING FOR REINFORCING STEEL]{.mark}*
\$\$554.08A
554.08. Delete the first sentence of the first paragraph and substitute
the following:
Place, fasten, and support the bars according to the CRSI *Manual of
Standard Practice*. Use precast concrete blocks or metal supports.
######## [INCLUDE THE FOLLOWING FOR MECHANICAL REBAR SPLICES]{.mark}
\$\$554.09A
554.09. Add the following:
Mechanical splices, where allowed, may be made using the following
coupler devices: "**Bar-Lock MBT**" coupler, the "**OS Splice Clip**" as
produced by Splice Sleeve North America, the "**Bar-Grip System**" by
AFC Dayton Barsplice, or the "**Quick-Wedge**" as produced by Erico
Concrete Construction Products, or an approved alternative. Approval by
the CO of an alternate coupler design will be based upon technical data,
including test results, and other necessary proof of satisfactory
performance submitted by the manufacturer.
The criteria for acceptance of alternate coupler design is as follows:
the total slip of the reinforcing bars within the splice sleeve after
loading in tension to 30 pounds per square inch [(MegaPascals)]{.mark}
and relaxing to 3 pounds per square inch [(MegaPascals)]{.mark} shall
not exceed 0.01 inches [(millimeters)]{.mark} for reinforcing bars
No. 14 [(43)]{.mark} or smaller as measured between gage points clear of
the splice sleeve. Mechanical couplers used in the superstructure slab
must be butt type splices only.
Use only epoxy coated mechanical couplers for joining epoxy coated
reinforcing. Splice sleeves shall have a clear coverage of not less than
1.75 inches [(centimeters)]{.mark} measured from the surface of the
concrete to the outside face of the sleeve. Do not place slab bar
mechanical splices adjacent to each other.
All splicing procedures shall be in accordance with the manufacturer=s
standard equipment, jigs, clamps, and other required accessories. Use
procedures in making mechanical butt splices as recommended by the
manufacturer and approved by the CO.
\$\$555.00A
######### Section 555.---STEEL STRUCTURES
Revised 25 January 2005
[]{.mark}
[INCLUDE THE FOLLOWING IF BEARINGS ARE PAID FOR SEPARATELY]{.mark}
\$\$555.21A
555.21. Delete the second sentence and substitute the following:
The quantity of structural steel will include metal items incidental to
the structure and required by the contract such as castings, steel
plates, anchor bolts and nuts, pins and nuts, expansion dams, roadway
drains and scuppers, weld metal, bolts embedded in concrete, cradles and
brackets, posts, conduits and ducts, and structural shapes.
\$\$560.00A
######### Section 560.---REMOVAL OF CONCRETE BY HYDRODEMOLITION
Revised 8 May 2005
\$\$560.03A
560.03. Add the following:
Lay out a grid and take elevations at each grid point according to
Subsection 552.20.
\$\$560.09A
560.09. Add the following:
Determine the volume of concrete required to overlay areas where
hydrodemolition is used to remove the concrete as follows:
> **(a)** Establish a grid, measuring 3 feet [(1 meter)]{.mark} on each
> side, over the entire area. Lay out the grid as follows:
>
> **(1)** Establish transverse grid lines by placing the first grid line
> transverse to the structure centerline and placing the remaining
> transverse grid lines parallel to the first at a 3-foot
> [(1-meter)]{.mark} spacing.
>
> **(2)** Establish longitudinal grid lines by placing the first
> longitudinal grid line parallel to the curb line and 1.5 feet [(0.5
> meters)]{.mark} from the face of the curb. Place the remaining
> longitudinal grid lines parallel to the first line at 3-foot
> [(1-meter)]{.mark} intervals.
>
> **(b)** Following concrete surface preparation, take elevations at
> each grid point in the presence of the CO.
>
> **(c)** Following concrete curing, reproduce the same grid and take
> elevations at each grid point.
>
> **(d)** The quantity of concrete will be determined from the following
> formula:
V = A~T~d in cubic yards [(meters)]{.mark}, where:
> V = Quantity of concrete in cubic yards [(meters)]{.mark}.
>
> A~T~ = Total deck area in square yards [(meters)]{.mark}.
>
> d = Average depth, in yards [(meters)]{.mark}, of removal determined
> by calculating the difference in elevation at each grid point in the
> deck surface area.
\$\$562.00A
######### Section 562.---TEMPORARY WORKS
Revised 8 May 2005
[INCLUDE THE FOLLOWING]{.mark}
\$\$562.02A
562.02. Delete the second sentence and substitute the following:
> Furnish factory fabricated components of vertical shoring towers
> complying with the *Certification Program for Bridge Temporary Works*
> (FHWA-RD-93-033).
\$\$562.03A
562.03. Delete the third from the last paragraph and substitute the
following:
Do not use deck overhang form brackets for girder bridges that require
holes to be cast or drilled into the girder webs.
*[INCLUDE THE FOLLOWING IF STAY-IN-PLACE DECK FORMS ARE ALLOWED]{.mark}*
\$\$562.06A
562.06. Add the following:
**Stay-in-place deck forms.** The use of metal stay-in-place deck forms
is permitted. Fabricate permanent steel bridge deck forms and supports
from steel conforming to ASTM A 653 coating designation G165.
When metal stay-in-place forms are used to construct the deck slab,
remove 2-foot by 2-foot [(0.6 by 0.6-meter)]{.mark} sections of the
metal forms to create inspection ports. Locate the inspection ports in
accordance with the following or as directed by the CO:
> **(a)** Locate inspection ports transversely as close to the exterior
> beam as practical on the low side of the superelevation or on each
> side of a crown;
(b) Locate inspection ports longitudinally near each abutment, near each
pier, and near the middle of each span.
[INCLUDE THE FOLLOWING]{.mark}
\$\$562.07A
562.07. Delete this Subsection and substitute the following:
**562.07 Maintenance and Inspection.** Inspect and maintain temporary
works in an acceptable condition throughout the period of use.
In the presence of the CO, perform an in-depth inspection of temporary
works not more than 24 hours before beginning each concrete placement or
before allowing people to enter a cofferdam or excavation support
structure. Inspect other temporary works at least once a month to ensure
they are functioning properly. Use a registered professional engineer to
inspect cofferdams, shoring, support of excavation structures, and
support systems for load tests before loading.
Furnish written results of the inspections to the CO before placing
concrete, allowing people to enter a cofferdam or excavation support
structure, or loading temporary works. Include a certification that the
system meets the requirements of the contract and drawings.
Clearly mark the capacity of factory fabricated components of vertical
shoring towers according to *the Certification Program for Bridge
Temporary Works* (FHWA-RD-93-033). Make inspections and certifications
for factory fabricated components of vertical shoring towers according
to the *Certification Program for Bridge Temporary Works*
(FHWA-RD-93-033).
\$\$563.00A
######### Section 563. -- PAINTING
Revised 18 January 2006
\$\$563.03A
563.03. Add the following:
**SSPC Painting Contractor Certification Program (PCCP) Requirements.**
All contractors and subcontractors that perform surface preparation,
paint application, and any related work involving containment and
collection of surface preparation debris, disposal of surface
preparation debris, and a worker health protection program (including
decontamination facilities) shall be certified by the Society for
Protective Coatings (formerly Steel Structures Painting Council (SSPC))
to the requirements of SSPC-QP 1. In addition, all contractors and
subcontractors engaged in lead paint removal and any other related work
shall be certified by the SSPC to the requirements of SSPC-QP 2.
Contractors and subcontractors shall be certified at time of bid, must
remain certified for the respective work for the duration of the project
and submit documentation of certification at time of bid. If a
contractor's certification expires, the company will not be allowed to
perform any work until the certification is reissued. Requests for
extension of time for any delay to the completion of the project due to
inactive certification will not be considered and liquidated damages
will apply. Notify the CO of any change in contractor certification
status.
\$\$601.00A
######### Section 601.---MINOR CONCRETE STRUCTURES
Revised 25 January 2005
*[INCLUDE THE FOLLOWING IF STATE MIXES ARE ALLOWED]{.mark}*
\$\$601.03A
601.03. Delete the first sentence and substitute the following:
Conform to Table 601-1 or furnish a concrete mix used locally by either
a Federal or State agency for the construction of minor concrete
structures, that also meets the minimum 28‑day compressive strength
requirement of Table 601-1.
\$\$602.00A
######### Section 602.---CULVERTS AND DRAINS
Revised 2 October 2005
*[INCLUDE THE FOLLOWING IF FLH PIPE POLICY, PDDM 7.3.C.14, REGARDING
CORROSION AND ABRASION APPLIES. DELETE PIPE MATERIALS THAT DO NOT MEET
REQUIREMENTS FOR CORROSION AND ABRASION.]{.mark}*
\$\$602.03A
602.03. Add the following:
Furnish culvert pipe from the following groups:
> Aluminum-alloy corrugated pipe, Type I or II, *[(insert gage from
> fill/height tables)]{.mark}* gage minimum
>
> Aluminum-alloy spiral rib pipe, Type I or II, *[(insert gage from
> fill/height tables)]{.mark}* gage minimum
>
> Asphalt--coated pipe (steel)
>
> Concrete-lined corrugated steel pipe
>
> Fiber-bonded asphalt coated steel pipe
>
> Invert-paved corrugated steel pipe
>
> Metallic coated corrugated steel pipe, Type I or II, *[(insert gage
> from fill/height tables)]{.mark}* gage minimum
>
> Metallic coated spiral rib pipe, Type I or II, *[(insert gage from
> fill/height tables)]{.mark}* gage minimum
>
> Polymer-coated steel pipe
>
> Plastic pipe
>
> Reinforced concrete pipe, Class *[(insert class]{.mark}* *[from
> fill/height tables, Class II minimum)]{.mark}*
[]{.mark}
*[INCLUDE THE FOLLOWING FOR BOX CULVERTS]{.mark}*
\$\$602.03B
602.03. Add the following:
Construct either cast-in-place or precast concrete box culverts.
Construct cast-in-place box culverts according to Section 552. Submit
design drawings and details with supporting calculations for precast
concrete box culverts to the CO according to Subsection 104.03.
[]{.mark}
[]{.mark}
\$\$604.00A
######### Section 604.---MANHOLES, INLETS, AND CATCH BASINS
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR INLET MODIFICATION]{.mark}*
\$\$604.01A
604.01. Add the following:
This work includes modifying existing inlets.
\$\$604.03A
604.03. Add the following:
Adjusting is defined as raising, lowering or shifting the item to meet a
new pavement elevation. Modifying an item is defined as adding
additional openings, partial reconstruction, or other structural
modifications.
\$\$605.00A
######### Section 605.---UNDERDRAINS, SHEET DRAINS, AND PAVEMENT EDGE DRAINS
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR UNDERDRAIN]{.mark}*
\$\$605.02A
605.02. Delete the first and sixth materials and substitute the
following:
> Aluminum alloy corrugated pipe, Type III 707.03
>
> Metallic coated corrugated steel pipe, Type III 707.02
\$\$605.02B
605.02. Add the following:
> Polymer-coated steel pipe 707.08
\$\$607.00A
######### Section 607.---CLEANING, RECONDITIONING, AND REPAIRING EXISTING DRAINAGE STRUCTURES
Revised 8 May 2005
# [INCLUDE THE FOLLOWING FOR PIPE LINERS]{.mark}
\$\$607.01A
607.01. Add the following:
This work includes of lining existing culverts.
# [INCLUDE THE FOLLOWING FOR PIPE LINER MATERIALS]{.mark}
\$\$607.01B
607.01. Add the following after Subsection 607.01:
**607.01A. Materials.** Conform to the following Sections and
Subsections:
*[INCLUDE THE FOLLOWING FOR CEMENT MORTAR PIPE LINERS]{.mark}*
\$\$607.01C
> Portland cement 701.01
>
> Water 725.01
# [INCLUDE THE FOLLOWING FOR POLYURETHANE PIPE LINERS]{.mark}
\$\$607.01D
> Furnish a polyurethane pipe liner conforming to:
[]{.mark}
###### [INSERT THE SPECIFICATIONS FOR THE PIPE LINER]{.mark}
*[INCLUDE THE FOLLOWING FOR CEMENT MORTAR PIPE LINERS]{.mark}*
\$\$607.01E
> Furnish a cement mortar pipe lining conforming to AWWA C 602.
>
> Furnish sand meeting the following gradation:
-------------------- ---------------------- -----------------------------------
[Sieve [Percentage Passing]{.underline}
Sizes]{.underline}
14 [(1.18 mm)]{.mark} 100
20 [(850 m)]{.mark} 95-100
30 [(600 m)]{.mark} 85-95
40 [(300 m)]{.mark} 15-35
100 [(150 m)]{.mark} 1.5-5
200 [(75 m)]{.mark} 1-3
37.5µm 0
-------------------- ---------------------- -----------------------------------
\$\$607.02A
607.02. Add the following:
The dry components of the cement mortar shall be 50 percent sand and 50
percent portland cement by weight.
After addition of the water, provide a mortar that is well mixed and
will provide a dense, homogeneous lining that will hold firmly against
the pipe surface. Carefully control and keep the water-cement ratio to a
minimum. Allow for any existing moisture on the walls of the pipe.
Premix the mortar by machine for a sufficient length of time to obtain
maximum plasticity, or 3 minutes minimum.
# [INCLUDE THE FOLLOWING WHEN WATER IS BEING USED]{.mark}
\$\$607.02B
607.02. Add the following:
Provide for the control and disposal of any accumulation of water that
interferes with construction.
# [INCLUDE THE FOLLOWING FOR PIPE LINERS]{.mark}
\$\$607.06A
607.06. Add the following after Subsection 607.06:
**607.06A. Pipe Lining.** Remove and dispose all silt, sand, debris,
detritus, or other sedimentation or foreign material from within pipe to
be lined, and from inlet and outlet areas. Remove all dirt, rust,
tubercles, scale, loose or deteriorated remnants of old lining
materials, accumulated water, and all other foreign materials from the
interior surface of the pipe before lining. After cleaning, the interior
of the pipe shall present a surface free of all foreign material except
nondeteriorated original coating.
Install pipe lining according to the manufacturer\'s recommendations.
Hand-place cement mortar lining only at sharp bends and special
locations where machine placing is impracticable.
Patch holes in the existing pipe with cement mortar before the
application of the lining.
Pave existing culvert inverts with cement mortar if they are
deteriorated to the extent that an acceptable lining would not be
achieved before centrifugal application of linings. Fill cavities
beneath badly deteriorated inverts with concrete, grout, or other method
acceptable to the CO.
Close the pipe at both ends to prevent the circulation of air. After the
final pass with the machine, introduce water into the closed section to
create a moist atmosphere and keep the lining damp. Maintain curing for
a minimum of 3 calendar days.
\$\$607.07A
607.07. Add the following:
Lining materials will be evaluated under Subsection 106.03. Lining
construction will be evaluated under Subsection 106.04. After curing,
drill holes (1 per 50 feet [(15 meters)]{.mark}) to verify lining
thickness at random locations selected by the CO. Patch the hole after
thickness verification.
\$\$608.00A
######### Section 608.---PAVED WATERWAYS
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR DRAINAGE CHUTES]{.mark}*
\$\$608.11A
608.11. Add the following:
Measure drainage chutes by the foot from the front face of the curb
along the flow line of the chute.
\$\$609.00A
######### Section 609.---CURB AND GUTTER
Revised 8 May 2005
# [INCLUDE THE FOLLOWING FOR GRANITE BRIDGE CURB]{.mark}
\$\$609.02A
609.02. Add the following:
> Granite bridge curb 620.01(a)
>
> Masonry anchors for bridge curb 717.18
[]{.mark}
*[INCLUDE THE FOLLOWING FOR STONE CURB ON DC PROJECTS]{.mark}*
\$\$609.03A
609.03. Add the following:
Furnish an air-entrained, portland cement concrete dry mix of 1 part
cement, 2 parts sand, and 4 parts crushed stone, with just enough water
added to the mix to make the mix adhesive.
\$\$609.04A
609.04. Delete the second sentence of the first paragraph and substitute
the following:
Set stone curb in dry-pack concrete so the curb face and top, are to
line and grade.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR GRANITE BRIDGE CURB]{.mark}*
\$\$609.04B
609.04. Add the following after Subsection 609.04:
**609.04A. Granite bridge curb.** On bridges, after the concrete base
has set and before the concrete in back of the curb is placed, set the
granite bridge curb to line and grade in full mortar beds and full
mortar end joints with the anchors in the stone grouted in place.
Grout 2 0.5-inch [(1.25-centimeter)]{.mark} diameter, stainless steel
anchors into the back of each stone curb. Pitch the anchor holes
downward at approximately 45 degrees, and locate approximately 3 inches
[(7.5 centimeters)]{.mark} below the top and 12 inches [(30
centimeters)]{.mark} from each end. Furnish anchors with a 3-inch
[(7.5-centimeter)]{.mark} square hook on one end and a 3--inch
[(7.5-centimeter)]{.mark} 45 degree bend on the other end, both pointing
downward and separated by a minimum 6-inch [(15-centimeter)]{.mark}
straight shank.
Brush each stone curb clean and free from loose particles, and
thoroughly wetted with clean water before setting. Carefully lay the
stone in a full bed of mortar. Do not slide the stone on the mortar bed.
Set the curb with full mortar joints and leave all joints smooth and
flush. Hold each stone securely in position by 2 steel anchors.
Carefully place the concrete in back of the curb to avoid disturbing the
line or grade of the curb. Keep exposed faces of the curb free of mortar
and cement stains. Joints in granite bridge curb shall be raked out to a
depth of 0.5 inches [(1.25 centimeters)]{.mark} and sealed flush with
the sealing material.
If a construction joint is required in the curb or sidewalk over a pier
or bent, lay out the curb so that a joint in the curb will be opposite
the joint in the sidewalk.
\$\$611.00A
######### Section 611.---WATER SYSTEMS
Revised 25 January 2005
# [INCLUDE THE FOLLOWING FOR ADJUSTING VALVES]{.mark}
\$\$611.03A
611.03. Add the following:
Adjust existing valves to the proposed grade.
\$\$612.00A
######### Section 612.---SANITARY SEWER SYSTEMS
Revised 25 January 2005
# [INCLUDE THE FOLLOWING FOR ADJUSTING VALVES]{.mark}
\$\$612.03A
612.03. Add the following:
Adjust existing valves to the proposed grade.
\$\$617.00A
######### Section 617.---GUARDRAIL
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR GUARDRAIL POSTS. SELECT APPROPRIATE
MATERIAL]{.mark}*
\$\$617.03A
617.03. Add the following:
> Furnish [steel or wood]{.mark} guardrail posts for use with W-beam
> type guardrail.
*[INCLUDE THE FOLLOWING FOR B-W PARKWAY GUARDWALLS]{.mark}*
\$\$618.00A
######### Section 618.---CONCRETE BARRIERS AND PRECAST GUARDWALLS
Revised 8 May 2005
[]{.mark}
618.02. Delete the text and substitute the following:
> **(a)** Portland cement according to Subsection 701.01, except that
> cement shall be Type I or Type III, AASHTO M85, both white and gray or
> mixtures of white and gray, including pure mineral oxide pigments for
> coloring.
>
> **(b)** Furnish fine and coarse aggregates according to Subsections
> 703.01 and 703.02, except that facing aggregates, including both fine
> and coarse aggregates of the artificial stone facing, shall consist of
> limestone, quartz, and mica, including silicious stones according to
> ASTM C 33.
>
> **(c)** Furnish a cold applied gray polyurethane sealant meeting the
> requirements of ASTM C 920, Type S, Grade NS, Class 25. The joint
> sealants shall match the color of the false joints. Furnish backer rod
> conforming to Subsection 712.01(g).
>
> **(d)** Furnish reinforcing steel conforming to Subsection 709.01,
> AASHTO 31 M, Grade 60 [(AASHTO M 31M, Grade 420)]{.mark}. Reinforcing
> steel bars located less than 2 inches [(5 centimeters)]{.mark} from an
> exposed face, shall be either epoxy coated or galvanized. Furnish
> galvanized welded wire fabric.
>
> **(e)** Furnish Class A(AE) concrete with air entrained in the mix 6
> percent ± 2 percent by volume. In mixes containing coarse aggregates
> 0.4 inches or less in size, air entrained shall be 7 percent ± 2
> percent by volume. All concrete shall attain a 28-day minimum
> compressive strength of 4,000 pounds per square inch [(27.6
> MegaPascals)]{.mark} according to AASHTO T 22. Take a sufficient
> number of concrete cylinder samples for 7, 14, and 28-day compressive
> strength tests.
>
> **(f)** Furnish non-corrosive (galvanized or epoxy coated) bolts,
> inserts, and ties.
>
> **(g)** Furnish bedding material conforming to Subsection 703.03 for
> AASHTO M 43, size No. 57.
618.05. Add the following before the first paragraph:
Furnish a guardwall with a simulated stone surface on both sides and
ends of the guardwall and with an integral coping.
Submit the supplier\'s qualifications and certifications according to
Subsection 104.03. Furnish a certification from the supplier stating
that they have experienced personnel, physical facilities, established
quality control procedures, and management capability to produce the
required segments without delay to the project. The precast guardwall
supplier shall have a minimum of 5 years experience in manufacturing
architectural and structural precast concrete units.
Construct precast concrete mowing strips and false joints that are
uniform gray in color.
Provide capstones that span the entire width of the wall.
618.05(a). Delete the first sentence and substitute the following:
> A full size sample guardwall is located at *[(insert guardwall
> location)]{.mark}*.
618.05(c). Delete the fourth sentence and substitute the following:
> Prepare the foundation, compacting the bedding material with a minimum
> of 3 passes of a vibratory roller to ensure maximum consolidation, and
> place the sections.
618.08. Add the following:
The CO will accept precast segments on the basis of material tests on
the quality of the concrete and the CO\'s visual inspection. Perform all
necessary sampling and testing.
\$\$619.00A
######### Section 619.---FENCES, GATES, AND CATTLE GUARDS
Revised 8 May 2005
*[INCLUDE THE FOLLOWING FOR TEMPORARY FENCE]{.mark}*
\$\$619.06A
619.06. Delete the first paragraph and substitute the following:
When necessary, construct temporary fence to keep livestock, pedestrians
and traffic off the road being constructed or away from trees requiring
protection. Temporary fence is intended to remain in place only during
the construction of the project or until the fence is directed to be
removed. At the completion of the project, remove fence and dispose of
legally off Government property.
619.06. Add the following after the first paragraph:
Install fence as shown on the drawings or as directed by the CO. Use a
conventional metal \"T\" or \"U\" post spaced every 7 to 10 feet [(2 to
3 meters)]{.mark}. Drive posts 12 to 18 inches [(30 to 45
centimeters)]{.mark} into the ground. Secure the fence to the post using
3 wire ties.
\$\$620.00A
######### Section 620.---STONE MASONRY
Revised 25 January 2005
# [INCLUDE THE FOLLOWING FOR STONE MASONRY]{.mark}
\$\$620.03A
620.03. Add the following:
Masonry is designated as Class *[(select from 620.01)]{.mark}* masonry
with a *[(select a finish)]{.mark}* RF finish for stone masonry *[(item
description)]{.mark}*.
\$\$622.00A
######### Section 622.---RENTAL EQUIPMENT
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR MOWING ON MAJOR GRADING PROJECTS]{.mark}*
\$\$622.01A
622.01. Add the following:
This work includes providing and operating equipment for mowing.
\$\$622.02A
622.02. Add the following after the first paragraph:
Furnish mowers with a minimum rating of 12 Horsepower [(9
kilowatts)]{.mark} and equipped with necessary accessories for mowing.
\$\$624.00A
######### Section 624.---TOPSOIL
Revised 25 January 2005
*[INCLUDE THE FOLLOWING ON NPS PROJECTS]{.mark}*
\$\$624.04A
624.04. Add the following after the second paragraph:
Where topsoil will be placed on slopes on which the character of the
subsoil will not blend with the topsoil, work the topsoil into the
subsoil to eliminate any slip-plane between the 2 materials and leave a
sufficient cover of topsoil to ensure germination of the seed.
\$\$625.00A
######### Section 625.---TURF ESTABLISHMENT
Revised 8 May 2005
# [INCLUDE THE FOLLOWING]{.mark}
\$\$625.01A
625.01. Add the following:
The work does not include areas previously protected by soil erosion
control measures according to Section 157, and upon which permanent
suitable vegetation has started growth.
[]{.mark}
*[INCLUDE THE FOLLOWING ON NATCHEZ TRACE PROJECTS AND OTHER PROJECTS
ONLY IF APPLICABLE. ALSO INCLUDE SCRS FOR 713.19]{.mark}*
\$\$625.02A
625.02. Add the following:
> Pesticide 713.19
[]{.mark}
*[INCLUDE THE FOLLOWING. REVISE RATES]{.mark}*
\$\$625.06A
625.06. Add the following:
Apply limestone and fertilizer at the following rates:
> [Item]{.underline} [Rate (pounds per acre)
> [(kilograms/hectare)]{.mark}]{.underline}
>
> Agricultural Limestone (85 percent CaCO~3~) [704]{.mark}
> [(3470)]{.mark}
>
> Fertilizer [3094]{.mark} [(790)]{.mark}
[]{.mark}
*[INCLUDE THE FOLLOWING FOR SEEDING. REVISE SEED, AMOUNT AND
SEASONS]{.mark}*
\$\$625.07A
625.07. Add the following:
Apply seed at the rates for each season as follows:
> Seeding Seasons and
>
> [Name of Seed]{.underline} [Rates (pounds per acre)
> [(kilograms/hectare)]{.mark}]{.underline}
>
> [[March and April]{.underline}]{.mark}
>
> [Ryegrass, Italian, perennial 15 (16.8)]{.mark}
>
> [Bermuda grass, common (hulled) 10 (11.2)]{.mark}
>
> [Fescue, Tall, Kentucky 31 [25 (28)]{.underline}]{.mark}
>
> [Total Seed 50 (56)]{.mark}
[]{.mark}
> [[May through August]{.underline}]{.mark}
>
> [Ryegrass, Italian, perennial 25 (28)]{.mark}
>
> [Bermuda grass, common (hulled) [15 (16.8)]{.underline}]{.mark}
>
> [Total Seed 40 (44.8)]{.mark}
[]{.mark}
> [[September and October]{.underline}]{.mark}
>
> [Ryegrass, Italian, perennial 10 (11.2)]{.mark}
>
> [Fescue, Tall, Kentucky 31 25 (28)]{.mark}
>
> [Clover, Crimson, inoculate [15 (16.8)]{.underline}]{.mark}
>
> [Total Seed 50 (56)]{.mark}
[]{.mark}
> [[November through February]{.underline}]{.mark}
>
> [Ryegrass, Italian, perennial 21 (23.5)]{.mark}
>
> [Bermuda grass, common (hulled) 21 (23.5)]{.mark}
>
> [Fescue, Tall, Kentucky 31 25 (28)]{.mark}
>
> [Clover, Crimson, inoculated [15 (16.8)]{.underline}]{.mark}
>
> [Total Seed 82 (91.8)]{.mark}
[]{.mark}
*[INCLUDE THE FOLLOWING IF SPECIFIC MULCH TYPES ARE REQUIRED]{.mark}*
\$\$625.08A
8. Add the following:
Use *[(insert type from 713.05)]{.mark}* mulch.
[]{.mark}
*[INCLUDE THE FOLLOWING IF MULCH RATES OTHER THAN THE FP ARE REQUIRED.
REVISE MULCH TYPE AND RATES]{.mark}*
\$\$625.08B
625.08. Add the following:
Apply mulch at the following rates:
> [Mulch]{.underline} [Rate (pounds per acre)
> [(kilograms/hectare)]{.mark}]{.underline}
>
> Straw [4992 (5595)]{.mark} ([1 to 2]{.mark} inch [(2.5 to 5
> centimeter)]{.mark} mat)
[]{.mark}
*[INCLUDE THE FOLLOWING FOR SUPPLEMENTAL FERTILIZER APPLICATIONS. REVISE
THE FERTILIZER RATE AS DICTATED BY THE MANUFACTURER OR REQUIRED BY SOIL
ANALYSIS]{.mark}*
\$\$625.09A
625.09. Delete the last sentence and substitute the following:
Apply supplemental fertilizer at a rate of [401]{.mark} pounds per acre
[(kilograms/hectare)]{.mark}. Apply supplemental seed at the same rate
as the initial seeding. Apply supplemental mulch at the same rate as the
initial mulching and hold in place with a stabilizing emulsion
tackifier.
*[INCLUDE THE FOLLOWING FOR PESTICIDE]{.mark}*
\$\$625.09B
625.09. Add the following:
Apply pesticide at the first sign of armyworm infestation. Apply
pesticide at the rate specified by the manufacturer by spraying with
sufficient water for complete coverage. Agitate the mixture while
spraying. Repeat application to control armyworms that reappear.
\$\$626.00A
######### Section 626.---PLANTS, TREES, SHRUBS, VINES, AND GROUND COVERS
Revised 8 May 2005
*[INCLUDE THE FOLLOWING IF REQUIRED]{.mark}*
\$\$626.02A
626.02. Add the following:
> Agricultural limestone 713.02
>
> Backfill 704.03
*[INCLUDE THE FOLLOWING FOR PLANTING SEASONS. REVISE SEASONS]{.mark}*
\$\$626.03A
626.03. Add the following:
Plant material during the following planting seasons:
Deciduous Material: [October 15 to April 30]{.mark}
Evergreen Material: [Spring - March 15 to May 15]{.mark}
[Fall - August 15 to November 15]{.mark}
The CO may extend or reduce the above periods according to weather and
soil conditions.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR PLANTS/TREES ON NPS PROJECTS]{.mark}*
\$\$626.04A
626.04. Add the following:
Submit the following for approval:
> **(a) Fertilizer.** 1 sample packet of each type;
>
> **(c) Backfill.** 1-cubic foot [(0.03 cubic meter)]{.mark} sample,
> with testing certification that the material is weed free.
The CO may substitute or delete specified material subject to the soil
conditions encountered.
\$\$626.06A
626.06(b). Delete the text and substitute the following:
> Excavate planting pits to a depth such that the rootball rests on an
> undisturbed soil pedestal as shown on the plans and set so that the
> rootball is 2 to 3 inches [(5 to 7.5 centimeters)]{.mark} above the
> grade for trees and 1 to 2 inches [(2.5 to 5 centimeters)]{.mark}
> above grade for shrubs. Crown the bottom so that the bottom slopes
> away from the roots in all directions.
>
> Loosen soil at the sidewalls and bottom of the plant pit to a depth of
> 6 inches [(15 centimeters)]{.mark} before setting the plant.
>
> Do not leave any planting holes open overnight.
\$\$626.07A
626.07(b). Delete the fourth and fifth sentences and substitute the
following:
> Backfill around the plant ball to half the depth of the ball, tamping
> at 6-inch [(15-centimeter)]{.mark} intervals to fill voids around the
> ball and thoroughly water.
626.07(b). Delete the last sentence and substitute the following:
> Do not remove or pull the burlap and twine out from under the ball.
> Backfill the remainder of the pit and tamp around the root ball.
626.07(c) Add the following after the first sentence:
> Score the rootball to a depth of 1 inch [(2.5 centimeters)]{.mark}
> along the entire side equally on 4 sides.
\$\$626.08A
626.08. Delete the Subsection and substitute the following:
**626.08 Fertilizing.**
Apply fertilizer at the following rates:
> Trees 34 cubic inches [(550 cubic centimeters)]{.mark} per tree
>
> Shrubs 17 cubic inches [(275 cubic centimeters)]{.mark}per shrub
>
> Vine and Groundcovers 1.84 cubic inches [(330 cubic
> centimeters)]{.mark} dry fertilizer per square foot [(meter)]{.mark}
> of ground
When the pit is ½ full, place fertilizer according to the manufacturer's
recommendations.
\$\$626.09A
626.09. Delete the first paragraph and substitute the following:
Saucer shape the backfill 3 inches [(7.5 centimeters)]{.mark} above the
existing grade for shrubs and 6 inches [(15 centimeters)]{.mark} for
trees, for a diameter equal to that of the planting pit, to catch and
retain water. Build up the backfill in holes on a slope on the lower
side only to catch and hold water. Do not cover the tops of the
rootballs with backfill.
626.09. Delete the last sentence of the first paragraph and substitute
the following:
Saturate all backfill material in the pits at each watering.
Apply water only by open-end hose at a very low pressure to avoid
creating air pockets in the soil and injuring the roots.
\$\$626.10A
626.10. Delete the first sentence and substitute the following:
Support trees with stakes driven at equal spaces around the outside
perimeter of the tree pit and to sufficient depth to hold trees firmly.
Do not drive stakes through the rootball.
Cut pieces of hose long enough to extend 2 inches [(5
centimeters)]{.mark} past the trunk of the tree when wrapped around.
Place the hose around the trunk just below the first lateral branch for
deciduous trees and halfway up the height of evergreen trees as shown on
the plans. Thread a double strand of wire through the hose and pull both
ends horizontally beyond each stake by 3 feet [(1 meter)]{.mark}.
Provide approximately a 1 to 3-inches [(2.5 to 7.5-centimeters)]{.mark}
sway in the tree with the stakes in the vertical position after the
guying is attached.
Stake trees no later than 48 hours after planting.
\$\$626.11A
626.11. Delete the fourth sentence and substitute the following:
Do not cut the main leader. All cuts to side branches are to be just
outside the branch collar (the swollen base of the branch) to encourage
wound closure. Do not use tree wound dressing.
\$\$626.12A
626.12. Add the following:
Apply mulch to cover the limits of the individual saucer areas of each
individual plant to a loose measurement depth of 4 to 6 inches [(10 to
15 centimeters)]{.mark} at the limits of the saucer area. Feather the
depth back to 0 inches [(centimeters)]{.mark} at the trunk.
\$\$626.14A
626.14. Add the following:
Replace plants that have died back in the crown 25 percent beyond the
normal pruning line, or where the main leader has died back, with the
same size and species as the original.
Final acceptance for trees and shrubs will be given by the CO at the end
of the establishment period once the following items are completed:
> **(a)** All plant materials that have died or are determined to be
> unacceptable are replaced.
>
> **(b)** All deficiencies in work, and damage to structures and
> grounds, are corrected.
>
> **(c)** All stakes and guys are removed.
\$\$627.00A
######### Section 627.---SOD
Revised 8 May 2005
*[INCLUDE THE FOLLOWING. SELECT ONE SOD TYPE OR INSERT TYPE REQUIRED.
ALSO \$\$713.10A OR B]{.mark}*
\$\$627.03A
627.03. Add the following:
\$\$627.03B
> Furnish [Bermuda grass or Tall Fescue, Kentucky 31]{.mark} sod.
# [INCLUDE THE FOLLOWING. REVISE SOD SEASONS]{.mark}
\$\$627.03C
Lay sod between [April 1 and September 30]{.mark}.
[]{.mark}
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$627.05A
627.05. Delete the last sentence of the first paragraph and substitute
the following:
Grade the finished surface of the sod bed to a smoothness comparable to
results obtained by hand raking, leaving it clean and free of stones
over 1 inch [(2.5 centimeters)]{.mark} in size, sticks, stumps, other
debris and depressions that might interfere with proper placement or
subsequent growth.
Apply fertilizer and agricultural limestone at the same rates specified
in Section 625.
\$\$627.06A
627.06. Add the following:
Thoroughly water the sod, immediately after installation, to a depth of
4 inches [(10 centimeters)]{.mark}.
\$\$628.00A
######### Section 628.---SPRIGGING
Revised 25 January 2005
# [INCLUDE THE FOLLOWING. REVISE THE SPRIG TYPE & SEASONS AS REQUIRED]{.mark}
\$\$628.03A
628.03. Add the following:
Furnish [Bermuda grass]{.mark} sprigs.
\$\$628.03B
Sprig between [April 1 and August 31.]{.mark}
\$\$628.05A
628.05. Add the following:
Apply fertilizer, mulch, and agricultural limestone at the same rates
specified in Section 625.
\$\$633.00A
######### Section 633.---PERMANENT TRAFFIC CONTROL
Revised 8 January 2008
[]{.mark}
[INCLUDE THE FOLLOWING FOR SIGN PANELS]{.mark}
\$\$633.01A
633.01. Delete the second paragraph and substitute the following:
Sign panels are designated as plywood, aluminum, extruded aluminum,
steel, plastic, or fiberglass reinforced plastic.
*[INCLUDE THE FOLLOWING FOR SIGNS ON NPS PROJECTS]{.mark}*
\$\$633.03A
633.03. Add the following after the first sentence:
Furnish signs also meeting the requirements of the National Park Service
UniGuide Sign System Manual (see
[[http://www.nps.gov/hfc/acquisition/uniguide.htm]{.underline}](http://www.nps.gov/hfc/acquisition/uniguide.htm)).
# []{.mark}
# [INCLUDE THE FOLLOWING FOR SIGNS OR POSTS]{.mark}
\$\$633.03B
633.03. Add the following:
# [INCLUDE THE FOLLOWING FOR SIGN PANELS ON NPS PROJECTS]{.mark}
\$\$633.03C
Paint supports, backs and edges of sign panels with Benjamin Moore,
Moorgard, exterior latex low luster paint, Federal Standard 595B Color
No. 20059 (brown), or approved equal.
[INCLUDE THE FOLLOWING FOR SIGN PANELS IF A SPECIFIC SIGN PANEL MSTERIAL
IS REWUIRED. DELETE THE HIGHLIGHTED MATERIAL TYPES THAT ARE NOT
ACCEPTABLE]{.mark}
\$\$633.03D
Furnish [plywood, aluminum, extruded aluminum, steel, plastic, or
fiberglass reinforced plastic]{.mark} sign panels.
[INCLUDE THE FOLLOWING FOR POSTS IF A SPECIFIC POST MATERIAL IS
REQUIRED. DELETE THE HIGHLIGHTED MATERIAL TYPES THAT ARE NOT
ACCEPTABLE]{.mark}
\$\$633.03E
Furnish [wood, aluminum, galvanized steel, or corrosion resistant
steel]{.mark} posts.
\$\$633.05A
633.05. Add the following after the first sentence of the first
paragraph:
For all legends on guide signs, use ASTM Type VIII, IX, X, or 3M DG3
retroreflective sheeting.
\$\$634.00A
######### Section 634.---PERMANENT PAVEMENT MARKINGS
Revised 25 January 2005
# [INCLUDE THE FOLLOWING]{.mark}
\$\$634.03A
634.03. Add the following to the first paragraph:
Place traffic markings before a winter suspension of paving operations.
\$\$635.00A
######### Section 635.---TEMPORARY TRAFFIC CONTROL
Revised 7 March 2008
[]{.mark}
Revised 7 January 2008
[]{.mark}
*[INCLUDE THE FOLLOWING]{.mark}*
\$\$635.02A
635.02. Delete the Construction sign panels Section reference and
substitute the following:
Construction sign panels 633.02
\$\$635.03A
635.03. Add the following:
For all signs and other devices requiring orange color, use fluorescent
orange, fluorescent red-orange or fluorescent yellow-orange color.
\$\$635.03B
635.03(i). Add the following:
> Submit a certification that the devices have been successfully crash
> tested to meet the requirements of NCHRP 350 and/or have been accepted
> by the FHWA.
# [WHEN CONSTRUCTION SIGNS ARE REQUIRED, INCLUDE THE FOLLOWING]{.mark}
\$\$635.07D
635.07. Delete the last sentence of the first paragraph and substitute
the following:
Remove or completely cover all unnecessary signs, or signs that conflict
with the construction signing or Traffic Control Plan. Cover signs that
are not removed so that no part of the covered sign is visible to
traffic. Provide sign covers for temporary signs meeting the following
requirements:
a) Large enough to completely cover the sign.
b) Easy to attach to and remove from the sign without damaging the sign
face. Do not use adhesives, glues, tapes, or mechanical fasteners
that mar the sign face.
c) Black, non-reflective, and opaque.
d) Made of plywood (minimum of 3/8-inches [(10 millimeters)]{.mark}
thick), aluminum (minimum of 0.040 inches [(1 millimeter)]{.mark}
thick), or sheet metal of a sufficient thickness that the covering
will not be lifted, bent or damaged by wind.
e) Durable enough to resist deterioration due to weathering and
atmospheric conditions for the duration of the project.
*[INCLUDE THE FOLLOWING FOR HIGH LEVEL WARNING]{.mark}*
\$\$635.07A
635.07. Add the following:
Furnish 16-inch by 16-inch [(40-centimeter by 40-centimeter)]{.mark}
flags for high level warning devices that are orange or fluorescent red
orange in color.
# []{.mark}
*[INCLUDE THE FOLLOWING FOR CONCRETE BARRIERS]{.mark}*
\$\$635.11B
635.11. Add the following after the second sentence of the first
paragraph:
Use temporary barriers that meet test level *[(select appropriate test
level -- use TL-2 for speeds less than or equal to 45 mph, and use TL-3
for speeds greater that 45 mph)]{.mark}* criteria, per NCHRP Report 350
for crashworthiness standards.
\$\$635.11A
635.11. Delete the second paragraph and substitute the following:
Mount flexible plastic 6-inch by 6-inch [(15-centimeter by
15-centimeter)]{.mark} delineators with Type III or IV retroreflective
sheeting to the top of concrete barriers on 25-foot [(7.5-meter)]{.mark}
centers. Furnish white sheeting when the delineator is to the right of
traffic and yellow when to the left.
\$\$635.16A
635.16. Delete the first sentence of the first paragraph and substitute
the following:
Use a shadow vehicle (17,600 to 19,800 pound gross vehicle mass)
[(8000kg to 9000kg gross vehicle mass)]{.mark} equipped with a
truck-mounted attenuator (crash cushion) attached to the rear of the
vehicle, exterior flashing yellow dome light, and an advance warning
arrow panel.
\$\$635.17A
635.17. Add the following:
Patch the travelway after milling to provide a smooth, uniform traveling
surface before reopening travel lanes to traffic as directed by the CO.
\$\$635.19A
635.19. Delete the first sentence of the first paragraph and substitute
the following:
Install an FHWA-approved temporary crash cushion conforming to test
level *[(select appropriate test level -- use TL-2 for speeds less than
or equal to 45 mph, and use TL-3 for speeds greater that 45
mph)]{.mark}* criteria, per NCHRP Report 350 for crashworthiness
standards.
*[INCLUDE THE FOLLOWING & 636.04A FOR TEMPORARY SIGNALS]{.mark}*
\$\$635.20A
635.20. Add the following:
Time the temporary signal system in accordance with the operating modes
listed in Subsection 636.04.
\$\$636.00A
######### Section 636.---SIGNAL, LIGHTING, AND ELECTRICAL SYSTEMS
Revised 8 May 2005
*[INCLUDE THE FOLLOWING FOR TRAFFIC DETECTOR DEVICES]{.mark}*
\$\$636.01A
636.01. Add the following:
This work includes the installation of traffic detector systems.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR LIGHTING AND MISCELLANEOUS ELECTRICAL
SYSTEMS, IF APPLICABLE]{.mark}*
\$\$636.02A
636.02. Add the following:
> Conduits under the traveled way. 721.01(a)(2)
*[INCLUDE THE FOLLOWING FOR TRAFFIC DETECTOR DEVICES]{.mark}*
\$\$636.02C
> Granular Backfill 703.03
\$\$636.02G
> Furnish type THWN Class B #14 AWG minimum, 600 Volt stranded single
> copper conductor, IPCEA Standard 861-401 with UL label. Furnish wire
> with a uniform thickness of insulation which is moisture and heat
> resistant to 250 ^o^F [(120 ^o^C)]{.mark}.
\$\$636.02H
> Furnish shielded twisted pair, size No. 14 minimum, lead-in cable.
\$\$636.02I
> Furnish a traffic counter with the following characteristics:
[]{.mark}
> *[OBTAIN SPECIFICS FROM DENVER SERVICE CENTER AND APPROVAL FROM
> DIRECTOR OF PROJECT DELIVERY, IF PRODUCT IS SOLE SOURCE]{.mark}*
[INCLUDE THE FOLLOWING FOR LIGHT POLES. SELECT THE APPROPRIATE
HIGHLIGHTED MATERIAL TYPE]{.mark}
\$\$636.04A
636.04. Add the following:
Furnish [steel or aluminum]{.mark} poles.
*[INCLUDE THE FOLLOWING AND \$\$635.20A FOR TEMPORARY SIGNAL
SYSTEMS]{.mark}*
\$\$636.04B
636.04. Add the following:
Design and place the temporary signal system according to the MUTCD,
Part IV.
Furnish a signal controller capable of operating in the following 3
modes:
------------------ ---------------------- -------------------- ---------------------- ---------------------
Signal Facing
[Westbound [Eastbound
Traffic]{.underline} Traffic]{.underline}
1\. Morning Rush solid Red solid Green
2\. Evening Rush solid Green solid Red
3\. Non-Rush Red/Yellow/Green Red/Yellow/Green
------------------ ---------------------- -------------------- ---------------------- ---------------------
[]{.mark}
*[INCLUDE ONE OF THE FOLLOWING CONCERNING COMMERCIAL
ELECTRICITY]{.mark}*
\$\$636.04C
Commercial electricity is available to power the temporary signal system
at the *[[(insert location)]{.underline}]{.mark}*. Coordinate with the
local electric company according to Subsection 107.02.
\$\$636.04D
Commercial electricity is not available at the project site. Furnish a
power source to operate the signal system.
# [INCLUDE THE FOLLOWING FOR ALL CONDUIT PLACEMENTS]{.mark}
\$\$636.05A
636.05. Add the following:
Install conduits a minimum of 3 feet [(1 meter)]{.mark} below finished
grade. Replace pavement structure removed to install conduit in kind.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR TRAFFIC DETECTOR DEVICES]{.mark}*
\$\$636.05B
636.05. Add the following:
Install pull boxes flush with the shoulder surface. Restore the
disturbed area around the pull box and conduit installations.
Complete the installation of all loops, conduits, and pull boxes at 1
location before moving to another location.
Install 1-inch [(25-millimeter)]{.mark} conduit under the shoulder from
the end of the saw cut to the pull box. Do not drill or cut the part of
the concrete encasement between the edge of the pavement and the pull
box for conduit installation. Install a bushing on the conduit stubout
to prevent damage to loop lead-in wires.
Install the conduit in a direct line with the loop saw cut so that the
wires entering the conduit will not be bent. Construct the hole in the
curb, if applicable, at a depth that will permit a minimum of 2 inches
[(5 centimeters)]{.mark} of cover on top of the conduit when installed.
The cover over the conduit shall be the same material used to seal the
sawcut.
\$\$636.07A
636.07. Add the following:
Furnish and install the lead-in cable in the conduit from the pull box
with sufficient length to reach the future counter cabinet. Secure the
lead-in cable and cap the T-section end. Splice each loop to an
individual lead-in cable.
Install traffic counters and connect to loops according to the
manufacturer\'s recommendations.
\$\$637.00A
######### Section 637. --- FACILITIES AND SERVICES
Revised 26 October 2007
*[INCLUDE THE FOLLOWING FOR A FIELD OFFICE PROVIDED BY THE
CONTRACTOR]{.mark}*
\$\$637.02A
637.02. Add the following:
*[SELECT ONE OF THE FOLLOWING CLAUSES FOR THE FIELD OFFICE
LOCATION]{.mark}*
\$\$637.02B
Locate the Government field office at *[(insert location)]{.mark}*, as
directed by the CO. Provide high-speed Internet access, as described in
Subsection 637.03(a)(7).
\$\$637.02C
Locate the Government field office where high-speed Internet access, as
described in Subsection 637.03(a)(7), is available. For urban projects
locate the field office within 5 miles [(8 kilometers)]{.mark} of the
project site. For rural projects locate the field office within 15 miles
[(24 kilometers)]{.mark} of the project site. In remote locations where
high-speed Internet service is not available, the field office distance
range may be extended or waived by the CO. All field office locations
are subject to approval by the CO.
\$\$637.03A
637.03. Delete the third and fourth sentences of the first paragraph and
substitute the following:
Provide local and long distance telephone services. The Government will
be responsible for the cost of long distance calls made by Government
employees for Government business and charged against this phone
service. Bill the Government separately for these charges.
637.03(a). Add the following:
> Divide the field office into 3 areas by permanent walls with hinged
> doors. If window air conditioning is provided, provide a separate unit
> for each room.
>
> Clean the field office weekly to the approval of the CO.
>
> Supply the following equipment in the field office:
(1) **Copy machine.** One self-feeding plain paper photo copying machine
with the following minimum capabilities:
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(a) Automatic document feeder capable of making at least 8 copies per
minute;
(b) Reproducing copies at standard sizes up to and including 11 x 17
inches [(297 x 420 millimeters)]{.mark}; and
(c) Reducing 11 x 17 inches [(297 x 420 millimeters)]{.mark} plan sheets
to 8 ½ x 14 inches [(210 x 358 millimeters)]{.mark} legal size and
to 8 ½ x 11 inches [(210 x 297 millimeters)]{.mark} letter size.
> Furnish all necessary supplies, except paper. Paper will be supplied
> by the Government.
(2) **Printer.** One plain paper printing machine with printing
capabilities of standard sizes up to and including 11 x 17 inches
[(297 x 420 millimeters)]{.mark}. The printer must be capable of
printing from direct personal computer (PC) and local area network
(LAN) hookups. The printer may be one machine in combination with
the copy machine. Furnish all necessary supplies, except paper.
Paper will be supplied by the Government.
(3) **Facsimile (FAX) machine.** One FAX machine with the following
minimum capabilities:
```{=html}
<!-- -->
```
(a) Automatic document feeder with a minimum capacity of 20 pages;
(b) Sending standard size documents up to and including 11 x 17 inches
[(297 x 420 millimeters)]{.mark};
(c) Printing on plain paper; and
(d) Automatic dial/redial.
> The FAX machine may be one machine in combination with the copy
> machine. Furnish all necessary supplies, except paper. Paper will be
> supplied by the Government.
(4) **Telephone.** Two dual line telephones (touch tone, hold button,
intercom, and conference calling capabilities) with 2 separate
lines, for the exclusive use of the CO.
(5) **Answering machine.** One digital answering device capable of
answering, recording, storing, and playing back messages at least 30
minutes in length.
(6) **Cellular telephone.** *[(Specify number of phones as per the
contract needs)]{.mark}* durable, hand held digital/cellular
wireless telephone(s), manufactured by Motorola/Nextel, or approved
equal, for the use of the CO. Furnish cellular telephone(s) that are
similar or compatible with the Contractor's key field personnel
(Project Superintendent, and Traffic Control Supervisor) to enable
the direct communication between the CO and the Contractor's key
field personnel. Furnish each cellular telephone(s) with the
following minimum capabilities:
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```
(a) Direct Connect feature, or equivalent, to communicate onsite with
Contractor's key field personnel;
(b) Voicemail capable of answering, recording, storing, and playing back
messages at least 30 minutes in length;
(c) Hands free device that can be used safely and effectively while
driving, and is acceptable by the local law enforcement agencies;
(d) Customized communication configuration, independent of the other
units, so that the CO may limit any features if necessary;
(e) Carrying case that can be worn on the belt and is appropriate for
use on construction projects; and
(f) Other necessary cellular telephone accessories including a cigarette
lighter power adapter/charger.
> The cellular telephone plan shall provide the necessary amount of
> monthly Direct Connect airtime and monthly Digital/Cellular airtime
> for use on the project. Ensure that each unit has unlimited Direct
> Connect capabilities and each unit is equipped with a minimum of 600
> minutes per month of local and long distance airtime for official
> business only.
(7) **High-speed Internet access.** Provide, install, and maintain
high-speed Internet access service having at least 768kbps download
and 256kbps upload speed. The high-speed Internet access service can
be provided via DSL, FIOS, a dedicated T1 line, or cable. Alternate
Internet access service options may be submitted to the CO for
approval. The system must include a modem and a router with a
firewall or a router and a firewall appliance. The system must have
the capability to support simultaneous Internet access of at least 3
workstations connected by Category 6 RJ45 LAN office drop cables. If
the router supports wireless Internet access, this feature must be
disabled. Wireless Internet access does not meet U.S. DOT security
requirements and is not acceptable. The firewall configuration must
be submitted to the CO for approval and cannot be changed after it
is approved, unless a change request is submitted and approved in
advance. Only U.S. DOT equipment is to be connected to the system.
> If any equipment supplied becomes defective, is stolen, or for any
> other reason does not function as intended, replace the equipment with
> an equal or better unit at no additional cost to the Government.
> Replace any defective equipment within eight hours after being
> notified by the CO.
>
> The Contractor will retain ownership of all equipment supplied by the
> Contractor. The CO will notify the Contractor when the equipment is no
> longer needed and request its removal.
*[INCLUDE THE FOLLOWING FOR LOCATING UTILITIES]{.mark}*
Add the following after Section 637:
\$\$645.00A
######### Section 645.---LOCATING UTILITIES
Revised 25 January 2005
**Description**
**645.01** This work consists of locating and marking existing utilities
by excavating test pits to, or using electromagnetic devices, where a
physical conflict with proposed construction is suspected and the
location is ordered by the CO.
**Material**
**645.02** Materials for restoring the test pit area to its original
condition shall be replacement of the materials excavated or their
equivalent in newly furnished materials meeting the various applicable
sections of this specification.
**Construction Requirements**
**645.03 General.** Notify *[(insert name of local locator
service)]{.mark}* 48 hours prior to any excavation, at *[(insert phone
number)]{.mark}* to have the utilities marked in the field. Notify the
CO 48 hours prior to any excavation.
Exercise special care and extreme caution in order to protect and avoid
damage to any utility company facilities. Existing utilities have been
generally located and shown on the plans as they are believed to exist.
The Government assumes no responsibility for the accuracy of locations
shown on the plans. Locate and ensure the safety of all existing
utilities. Repair any damage resulting from Contractor's operations at
no additional expense to the Government.
Locate by test pit any utility that may be in conflict with the proposed
work. If a conflict appears to exist, then notify the CO in writing
immediately and provide information on the location and elevation of the
utility so that the CO can adjust the proposed work.
**645.04 Locating Utility.** Use electromagnetic devices to establish
alignment of utilities where applicable. When necessary, thread a metal
rod through non-metallic utility pipes to locate them. Where neither
method is feasible, locate the utility by perpendicular trench or test
pits.
**645.05 Excavation.** Excavate carefully so as not to disturb utility
at it\'s assumed depth. When excavating within roadway pavements where
traffic is being maintained, excavate by air-vacuum methods or
equivalent, keeping the area of disturbance to a minimum. Uncover the
utility sufficiently to make accurate measurements.
**645.06 Record.** Describe the utility found (size, material,
function), determine the elevation of the top of utility, and prepare a
field sketch of the pit. Indicate the date and the station and offset of
the utility, noting whether the baseline or the centerline of proposed
facility is being referenced. Submit 1 copy to the CO within 24 hours.
**645.07 Marking.** Mark the utility location by flags or paint.
Maintain the markings, including repainting faded or damaged markings as
ordered by the CO, for the duration of the project, or until the CO
determines that the markings are no longer needed.
**645.08 Restoration.** Backfill with original material, thoroughly
compacting the material with a mechanical tamper. Restore aggregate base
courses and pavement using equivalent materials and thicknesses. For
portland cement concrete pavements, use fast setting concrete. For
asphalt concrete pavements, cold patch, resurfacing of pit will be
permitted so long as, in the opinion of the CO, it is thoroughly
compacted.
**645.09 Acceptance.** Locating utilities will be evaluated under
Subsection 106.02.
**Measurement**
**645.10** Measure the Section 645 items listed in the bid schedule
according to Subsection 109.02.
For markings, do not measure maintaining the markings.
**Payment**
**645.11** The accepted quantities will be paid at the contract price
per unit of measurement for the Section 645 pay items listed in the bid
schedule. Payment will be full compensation for the work prescribed in
this Section. See Subsection 109.05.
######### Section 647.--- ENVIRONMENTAL MITIGATION
Revised 1 May 2006
[]{.mark}
Description
**647.01** This work consists of
[\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--.]{.mark}
Material
**647.02** Conform to the following Subsections:
[material name 7XX.XX]{.mark}
[material name 7XX.XX]{.mark}
Construction Requirements
**647.03**
**647.[XX]{.mark} Acceptance.**
Measurement
**647.[XX]{.mark}** Measure the Section 647 items listed in the bid
schedule according to Subsection 109.02.
Payment
**647.[XX]{.mark}** The accepted quantities, measured as provided in
Subsection 109.02 and above, will be paid at the contract price per unit
of measurement for the Section 647 pay items listed in the bid schedule.
Payment will be full compensation for the work prescribed in this
Section. See Subsection 109.05.
\$\$701.00A
######### Section 701.---CEMENT
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR PROJECTS IN HIGH SULFIDE AREAS]{.mark}*
\$\$701.01A
701.01(a). Add the following:
> Furnish portland cement with a maximum sulphate expansion of 0.040
> percent when tested in accordance with ASTM C 452.
*[INCLUDE THE FOLLOWING FOR SHOTCRETE. FOR COLORED SHOTCRETE, INCLUDE
711.05]{.mark}*
\$\$701.01B
701.01. Add the following:
For shotcrete, use low alkali portland cement. Conform to AASHTO M 85,
limiting alkalis according to Table 1A in AASHTO M 85.
\$\$703.00A
######### Section 703.---AGGREGATE
Revised 22 February 2007
*[INCLUDE THE FOLLOWING FOR COARSE AGGREGATE FOR CONCRETE DEPENDING ON
STATE REQUIREMENTS]{.mark}*
\$\$703.02A
703.02. Add the following:
Gravel will not be permitted.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR SUBBASE, BASE, AND SURFACE COURSES]{.mark}*
\$\$703.05A
703.05(a). Delete items (3) and (4).
[]{.mark}
*[INCLUDE THE FOLLOWING FOR AGGREGATE BASE]{.mark}*
\$\$703.05B
703.05(b). Add the following:
**(3)** Plasticity Index, AASHTO T90 3 Max
\$\$703.05C
703.05(b). Add the following:
> Material shall have a minimum California Bearing Ratio of *[{obtain
> CBR value from Materials or Pavements Sections}]{.mark}* percent, as
> determined by AASHTO T 193 at 95 percent of maximum dry density in
> accordance with AASHTO T 180 (Method D).
*[INCLUDE THE FOLLOWING (STATE GRADATION OPTIONS) FOR AGGREGATE
BASE]{.mark}*
\$\$703.05E
703.05(b)(1) Add the following:
> At the option of the Contractor, the gradation only of the aggregate
> base may conform to the requirements of (identify State, acceptable
> State aggregate, and State specification reference).
*[INCLUDE THE FOLLOWING FOR HACP]{.mark}*
\$\$703.07A
703.07(a). Delete item (4).
703.07(b). Delete item (1).
*[INCLUDE THE FOLLOWING FOR ASPHALT SURFACE TREATMENT AGGREGATE]{.mark}*
\$\$703.10B
10. Delete items (f) and (g).
*[INCLUDE THE FOLLOWING FOR AGGREGATE-TOPSOIL WHEN CRUSHED AGGREGATE IS
SCARCE]{.mark}*
\$\$703.14A
703.14. Delete the text and substitute the following:
\$\$703.14B
Furnish base or surface course aggregate meeting the gradation and
quality requirements of Subsection 703.05.
##### *[INCLUDE THE FOLLOWING FOR AGGREGATE TOPSOIL COURSES \< 1 ½ inches (35 millimeters) THICK]{.mark}*
\$\$703.14C
Furnish aggregate meeting the quality requirements of AASHTO M 80, Class
E, and the gradation requirements of AASHTO M 43, size No. 67.
*[INCLUDE THE FOLLOWING IF CRUSHED RECYCLED CONCRETE IS PERMITTED IN
EITHER SECTION 301 OR 308]{.mark}*
\$\$703.20A
Add the following after Subsection 703.19.
**703.20 Crushed recycled concrete.** Furnish a recycled material
consisting of crushed concrete. A portion of the composite material may
include recycled mortar or brick. The composite material shall be free
of reinforcing bars or wire, organic matter, lumps or balls of clay, and
other deleterious matter. Do not use material that breaks up when
alternately frozen and thawed or wetted and dried. Conform to the
following:
> **(a)** Los Angeles abrasion, AASHTO T 96 50% max.
>
> **(b)** Liquid limit, AASHTO T 89 25 max.
>
> **(c)** Plasticity index, AASHTO T 90 6 max.
>
> **(d)** California Bearing Ratio, AASHTO T 193 55% min.
**(e)** Gradation. Furnish a gradation conforming to crushed recycled
concrete material used locally in the construction and maintenance of
highways by Federal and state agencies. Furnish a well graded crushed
recycled material with a maximum size of 2 inches [(50
millimeters)]{.mark} and not more than 12% passing the No. 200
[(75µm)]{.mark} sieve as determined by AASHTO T 27 and T 11.
\$\$705.00A
######### Section 705.---ROCK
Revised 13 July 2005
*[INCLUDE THE FOLLOWING FOR STONE GUARDWALLS OR MASONRY]{.mark}*
\$\$705.03A
705.03(a). Delete the text and substitute the following:
> Do not use rock with depressions or projections that might weaken it
> or prevent it from being properly embedded.
>
> In the wall face, no stone shall be less than 2 inches in vertical
> dimension, 6 inches [(15 centimeters)]{.mark} in horizontal dimension,
> or 4 inches [(10 centimeters)]{.mark} in depth dimension.
>
> On the top of the wall, no stone shall be less than 4 inches [(10
> centimeters)]{.mark} in least dimension.
>
> Submit stone samples representing every color to be used on the
> project to the CO for approval.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR GRANITE BRIDGE CURB]{.mark}*
\$\$705.06A
705.06 Add the following after 705.06(b):
> **(c) Granite bridge curb.** Granite bridge curb shall consist of
> granite stone curbs conforming to the following:
>
> Top width 5 inches [(125 millimeters)]{.mark}
>
> Bottom width (min., for 2/3 length) 5 inches [(125
> millimeters)]{.mark}
>
> Depth 9 ± 0.25 inches [(225 ± 6 millimeters)]{.mark}
>
> Length 6 feet [(1.8 meters)]{.mark} (except as noted below)
>
> Ten percent of the length of curb installed on the project may consist
> of stones no more than 6 inches [(15 centimeters)]{.mark} shorter than
> the length specified, except as follows:
>
> **(1)** Stones used in making closures may be one‑third shorter than
> specified.
>
> **(2)** On curves with radii greater than 160 feet [(49
> meters)]{.mark}, but less than 492 feet [(150 meters)]{.mark}, stones
> may be from 4 to 6 feet [(1.2 to 1.8 meters)]{.mark} in length.
>
> **(3)** Cut stones set on a radius of 160 feet [(49 meters)]{.mark} or
> less to the required curvature and, except for making closures, the
> following minimum lengths:
>
> [Radius (feet) [(meters)]{.mark}]{.underline} [Minimum Length (feet)
> [(meters)]{.mark}]{.underline}
>
> 49 to 160 [(15 to 49)]{.mark} 6 [(1.8)]{.mark}
>
> 25 to less than 49 [(7.6 to less than 15)]{.mark} 5 [(1.4)]{.mark}
>
> Less than 25 [(7.6)]{.mark} 3 [(0.9)]{.mark}
>
> Cut the ends of all curved stones on radial lines.
>
> Furnish granite curb that is light gray in color, free from seams and
> other structural imperfections or flaws which would impair its
> structural integrity, and of a smooth splitting appearance. Natural
> color variation characteristics of the deposit from which the stone
> curb is obtained will be permitted.
>
> Whenever stone curb is sawed, clean all surfaces that will be exposed
> and remove any iron rust or iron particles by sandblasting or other
> approved method.
>
> Remove saw marks in excess of 0.12 inches [(3 millimeters)]{.mark}.
>
> Supply either type A or type B stone curb, but use only 1 type on the
> project.
>
> **(d) Stone curb, Types A and B.**
>
> **(1) Type A.** This type of curbstone shall be peen hammered or sawed
> to an approximately true plane, having no projections or depressions
> greater than 0.12 inches [(3 millimeters)]{.mark} and have a top
> surface free from kerf. The front and back arris lines shall be
> pitched straight and true and the back surface shall have no
> projection or depression greater than 1.5 inches [(38
> millimeters)]{.mark}.
>
> The front face shall have a batter of approximately 2:12 and shall be
> hammered or sawed, free from drill holes and with no projection
> through the arris or pitch lines for the full depth of the face. The
> front arris shall be ¼-inch [(6-millimeter)]{.mark} bullnose.
>
> **(2) Type B.** This type of curbstone shall be peen hammered or sawed
> to an approximately true plane, having no projections or depressions
> greater than 0.12 inches [(3 millimeters)]{.mark} and have a top
> surface free from kerf. The front and back arris lines shall be
> pitched straight and true and the back surface shall have no
> projection or depression greater than 1.5 inches [(38
> millimeters)]{.mark}.
>
> The front face shall have a batter of approximately 3/4:10 and shall
> be smooth quarry split, free from drill holes and with no projection
> of more than ¾-inch [(19 millimeters)]{.mark}and no depression of more
> than ½ inch [(13 millimeters)]{.mark} measured from the plane of the
> face through the arris or pitch line for a distance down to within 1
> inch [(25 millimeters)]{.mark} of the bottom. For the remaining
> distance there shall be no projection or depression greater than 1
> inch [(25 millimeters)]{.mark} measured in the same manner.
>
> For both types of curb, the ends of all stones shall be square with
> the planes of the top and face so that when the stones are placed end
> to end as closely as possible, no space shall show in the joint at the
> top and face of more than ¼ inch [(6 millimeters)]{.mark} for the full
> width of the top and for the full depth, after which the end may break
> back not over 2 inches [(50 millimeters)]{.mark} from the plane of the
> joint. The arris formed by the intersection of the plane of the joint
> with the planes of the top and exposed faces shall have no variation
> from the plane of the top and exposed faces greater than 0.12 inches
> [(3 millimeters)]{.mark}.
\$\$710.00A
######### Section 710.---FENCE AND GUARDRAIL
Revised 25 January 2005
# [INCLUDE THE FOLLOWING FOR BARBED WIRE FENCE]{.mark}
\$\$710.01A
710.01. Add the following:
Furnish barbed wire with a Class 1 galvanized coating.
# [INCLUDE THE FOLLOWING FOR WOVERN WIRE FENCE]{.mark}
\$\$710.02A
710.02. Add the following:
Furnish woven wire with a Class 1 galvanized coating.
# [INCLUDE THE FOLLOWING FOR CHAIN LINK FENCE]{.mark}
\$\$710.03A
710.03. Add the following:
Furnish *[(insert gage)]{.mark}* gage chain link fabric.
# [INCLUDE THE FOLLOWING FOR FENCES, GATES OR BOLLARD POSTS]{.mark}
\$\$710.04A
710.04(a). Add the following:
Treat fence, gate, and bollard posts according to 716.03.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR STEEL-BACKED TIMBER GUARDRAIL]{.mark}*
\$\$710.08A
710.08. Add the following:
Rough sawn timber tolerance shall apply only to the timber cross section
and post length.
[]{.mark}
\$\$711.00A
######### Section 711.---CONCRETE CURING MATERIAL AND ADMIXTURES
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR FIBER-REINFORCED CONCRETE]{.mark}*
\$\$711.06A
Add the following after Subsection 711.05:
**711.06. Fiber Reinforcement.** Furnish a polypropylene fiber
conforming to ASTM C 116, Type 3, and compatible with the constituents
of the concrete mixture. Furnish documentation of compatibility from the
manufacturer.
\$\$713.00A
######### Section 713.---ROADSIDE IMPROVEMENT MATERIAL
Revised 8 May 2005
*[INCLUDE THE FOLLOWING FOR TOPSOIL]{.mark}*
\$\$713.01A
713.01. Add the following:
For furnished topsoil, submit a soil analysis report from the State
University Agricultural Extension Service or other approved soil testing
laboratory. Include in the report the soil textural classification
(percentage of sand, silt, clay and organic matter) and additive
recommendations.
[]{.mark}
*[INCLUDE ONE OF THE FOLLOWING FOR STABILIZED SHOULDERS]{.mark}*
\$\$713.01B
Furnish topsoil for aggregate-topsoil course from stockpiles conserved
under Section 204, from stockpiles designated on the plans, or from
Contractor sources.
\$\$713.01C
Furnish topsoil for aggregate-topsoil course from Contractor sources.
[]{.mark}
*[INCLUDE THE FOLLOWING ON NPS PROJECTS]{.mark}*
\$\$713.02A
713.02. Add the following:
Use a maximum of 0.17 pounds [(3 kilograms)]{.mark} of limestone per
cubic foot [(meter)]{.mark} of topsoil in order to adjust an acidic
condition.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR FERTILIZER FOR SEEDING]{.mark}*
\$\$713.03A
713.03. Add the following:
Furnish fertilizer containing the following minimum available nutrients,
unless soil analysis indicates higher concentrations are required:
Total nitrogen 10 percent
Available phosphoric acid 10 percent
Water-soluble potash 10 percent
*[INCLUDE THE FOLLOWING ON NPS PROJECTS]{.mark}*
\$\$713.05A
713.05. Add the following after 713.05(h):
> **(i) Shredded Hardwood Mulch.** Furnish aged hardwood mulch, dark
> brown to black in color, with a particle size of less than 3 inches
> [(75 millimeters or 80 per the FP96)]{.mark}, a neutral pH, and free
> of sticks, stones, clay, or other matter which may injure plants.
\$\$713.06A
713.06(b). Add the following:
> The genus, species, and cultivar names shall agree with the
> nomenclature of the most current edition of "Hortus Third" by L.H.
> Bailey, Hortorium, Cornell University.
>
> Provide durable tags, stating the date of installation, correct
> botanical name and size in weather-resistant ink or embossed letters.
> Secure the tags to each tree, shrub, and other plant materials in a
> manner which will not restrict growth. Leave the tags on all trees,
> shrubs, and other plant materials until final acceptance by the CO.
\$\$713.08A
713.08. Add the following after 713.08(g):
> **(h) Tree protection.** Tree protection shall be a flexible PVC pipe
> 4 inches [(10 centimeters)]{.mark} in diameter, 12 to 13 inches [(30
> to 32.5 centimeters or 35 per FP96)]{.mark} in height.
[]{.mark}
*[INCLUDE OF THE FOLLOWING, SELECT THE TYPE OF SOD DESIGNATED IN
627.03]{.mark}*
\$\$713.10A
713.10. Add the following:
Cut [Bermuda grass or Tall Fescue, Kentucky 31]{.mark} sod to a depth
equal to the growth of the roots, but not less than 1 inch [(2.5
centimeters)]{.mark}.
[]{.mark}
*[INCLUDE THE FOLLOWING FOR PESTICIDE]{.mark}*
\$\$713.19A
Add the following after Subsection 713.18:
**713.19. Pesticide.** Pesticides to control armyworms are Bacillus
Thuringiensis - Berliner, Bactospeine, Biotrol, BTB, BTV, Dipel, and
Thuricide, as manufactured by Nutrilite Products, Inc., and Bioferm
Corporation.
\$\$717.00A
######### Section 717.---STRUCTURAL METAL
Revised 18 May 2005
*[INCLUDE THE FOLLOWING FOR BRIDGE EXPANSION JOINTS]{.mark}*
\$\$717.01A
717.01 Add the following after 717.01(e):
> **(f) Anchor bolts, nuts, and washers for expansion joints.**
> Stainless steel conforming to ASTM A 276, Type 304.
*[INCLUDE THE FOLLOWING FOR ELASTOMERIC EXPANSION JOINT SEALS]{.mark}*
\$\$717.17A
Add the following after Subsection 717.16:
**717.17. Elastomeric Expansion Joint Seals.** Furnish synthetic,
non-wicking, fabric-reinforced, neoprene elastomeric expansion joint
seals. Furnish neoprene elastomer conforming to ASTM D 2000 and to Table
717-4.
**Table 717-4 - Neoprene**
+---+-------------------+-----+--------------+----+------------------+
| [ | | [A | | [ | |
| P | | STM | | Re | |
| h | | T | | qu | |
| y | | est | | ir | |
| s | | M | | em | |
| i | | eth | | en | |
| c | | od] | | t] | |
| a | | {.u | | {. | |
| l | | nde | | un | |
| P | | rli | | de | |
| r | | ne} | | rl | |
| o | | | | in | |
| p | | | | e} | |
| e | | | | | |
| r | | | | | |
| t | | | | | |
| y | | | | | |
| ] | | | | | |
| { | | | | | |
| . | | | | | |
| u | | | | | |
| n | | | | | |
| d | | | | | |
| e | | | | | |
| r | | | | | |
| l | | | | | |
| i | | | | | |
| n | | | | | |
| e | | | | | |
| } | | | | | |
+---+-------------------+-----+--------------+----+------------------+
| | Hardness, | | D 2240 | | 60±5 |
| | Durometer A | | | | |
+---+-------------------+-----+--------------+----+------------------+
| | Tensile Strength | | D 412 | | 2000 psi [(13.8 |
| | | | | | Mega |
| | | | | | Pascals)]{.mark} |
| | | | | | min |
+---+-------------------+-----+--------------+----+------------------+
| | Elongation at | | D 412 | | 250% min |
| | Break | | | | |
+---+-------------------+-----+--------------+----+------------------+
| | Low Temperature | | D 746 | | Not Brittle at |
| | | | | | -67 ^o^F |
| | | | | | |
| | | | | | [(‑55 |
| | | | | | ^o^C)]{.mark} |
+---+-------------------+-----+--------------+----+------------------+
| | Weather Resistant | | D 1171 | | No Cracks |
+---+-------------------+-----+--------------+----+------------------+
| | Ozone Cracking | | D 1149 | | No Cracks |
+---+-------------------+-----+--------------+----+------------------+
| | 100 PPHM 70 hours | | | | |
+---+-------------------+-----+--------------+----+------------------+
| | @ 100 ^o^F [(38 | | | | |
| | ^o^C)]{.mark}, | | | | |
| | 20% strain | | | | |
+---+-------------------+-----+--------------+----+------------------+
| | Water Resistance | | D 471 | | 3% max. volume |
| | | | | | swell |
+---+-------------------+-----+--------------+----+------------------+
| | Compression Set | | D 395, | | 25% max |
| | | | Method B | | |
+---+-------------------+-----+--------------+----+------------------+
| | 22 hours @ 158 | | | | |
| | ^o^F [(70 | | | | |
| | ^o^C)]{.mark} | | | | |
+---+-------------------+-----+--------------+----+------------------+
[]{.mark}
*[INCLUDE THE FOLLOWING FOR GRANITE BRIDGE CURB.]{.mark}*
\$\$717.18A
Add the following after Subsection 717.16:
**717.18. Masonry Anchors for Granite Bridge Curb.** Stainless steel
conforming to
ASTM A 276, Type 304.
\$\$721.00A
######### Section 721.---ELECTRICAL AND ILLUMINATION MATERIAL
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR LIGHTING]{.mark}*
\$\$721.01A
721.01(c). Add the following:
> Furnish either ozone resistant cross-linked polyethylene (XLP) or
> polyvinyl chloride (PVC) insulated cable, with or without a nylon
> jacket, as applicable, conforming to the following:
>
> **(1) XLP.** IPCEA S-66-524 and NEMA WC-7 (code type XHHW);
>
> **(2) PVC.** UL 83, ANSI C33.80-1971, and Federal Specification
> J-C-304 (code types THWN or THW).
[]{.mark}
*[INCLUDE THE FOLLOWING FOR ELECTRICAL WORK]{.mark}*
\$\$721.01B
721.01(c). Add the following:
> Furnish soft drawn or annealed copper conductors conforming to ASTM B
> 3, and stranding conforming to ASTM B 8. Furnish 7 strand for #10 AWG
> through #2 AWG, and 17 strand for #1 AWG through #4/0 AWG. Furnish #6
> AWG minimum solid copper ground wires.
\$\$725.00A
######### Section 725.---MISCELLANEOUS MATERIAL
Revised 25 January 2005
*[INCLUDE THE FOLLOWING FOR EPOXY]{.mark}*
\$\$725.21A
21. Add the following:
Furnish a 2-component epoxy resin binder mixed together at the site as
prescribed by the manufacturer. The pot life of the epoxy, mixing
period, maximum time lapse between mixing and application, and the
curing period are all dependent on the temperature, humidity, and wind
conditions, and the proprietary product being used.
Package epoxy components in containers that are clearly marked with a
warning of the hazards involved in handling the material.
Obtain technical assistance from the manufacturer of the epoxy binder
and follow the manufacturer\'s recommendations concerning proper use and
installation. Submit the product proposed for use, manufacturer\'s name,
and data concerning composition and application for approval before use
on the project.
| en |
converted_docs | 445907 | 90/03/29 TS-SSC 90-001 PRELIMINARY RESULTS/TEFLON SLIP PLANES/DS0307
STRAIT
90/03/28 TS-SSC 90-002 DS0307/DS0308 PRELOADS EXPLAINED? STRAIT
90/03/29 TS-SSC 90-003 CHOOSING COLLARING SHIMS FOR DS0309 STRAIT
90/04/02 TS-SSC 90-004 HARMONICS MEASUREMENTS/DS0308 USING THE MOLE
KOSKA
90/04/04 TS-SSC 90-005 RECIPE FOR SETTING COLLARING SHIM THICKNESS
STRAIT
90/04/04 TS-SSC 90-006 NEW AND OLD KAPTON INSULATION MARKLEY
90/04/09 TS-SSC 90-008 PRELIMINARY ANALYSIS/DS0309 COLLARING DATA STRAIT
90/04/12 TS-SSC 90-009 SSC STRIP HEATER ENERGY RESULTS ORRIS
90/04/26 TS-SSC 90-010 ANALYSIS-COLLARING DATA/DS0307/BRASS SHOES STRAIT
90/04/26 TS-SSC 90-011 COLLARING TOOLING DIMENSIONS/PROCEDURES STRAIT
90/04/27 TS-SSC 90-012 VERTICALLY SPLIT 50 MM YOKE DIMENSIONS STRAIT
90/04/27 TS-SSC 90-013 INVESTIGATION/MECHANICAL PROPERTIES/SSC COILS
MARKLEY,KERBY
90/05/02 TS-SSC 90-014 SSC 50 MM END MAGNETIC DESIGN BOSSERT
90/05/04 TS-SSC 90-015 50 MM SSC CABLE SIZE/CROSS SECTION STATUS
CARSON,BOSSERT
90/05/17 TS-SSC 90-016 EFFECT OF LIFTING FIXTURE NOTCH/50 MM COLLARS
KERBY
90/05/07 TS-SSC 90-017 50 MM DIPOLE COLLAR ALIGNMENT FEATURES STRAIT
90/05/10 TS-SSC 90-018 LOCATIONS OF DS0308 QUENCHES STRAIT
90/05/11 TS-SSC 90-019 DS0309 YOKING STRAIT
90/05/15 TS-SSC 90-020 END CAN DEFLECTION MEASUREMENTS OF DS0308 KOSKA
90/05/18 TS-SSC 90-021 50 MM DIPOLE CROSS SECTION STRAIT
90/05/20 TS-SSC 90-022 50 MM PRACTICE CABLE WINDING BOSSERT
90/05/17 TS-SSC 90-023 CENTER OFFSET/RADIUS/40 MM OVALIZED COLLARS KERBY
90/05/15 TS-SSC 90-024 DS0309 TEST PLAN STRAIT
90/05/21 TS-SSC 90-025 SSC 50 MM DIPOLE CRYOSTAT CROSS SECTION NICOL
90/05/30 TS-SSC 90-026 SUMMARY/DS0309 QUENCHES ON FIRST COOLDOWN STRAIT
90/05/30 TS-SSC 90-027 40 MM MODEL MAG. DEVLP. PROGRAM AT FERMI STRAIT
90/06/01 TS-SSC 90-028 SSC STEEL REQUIREMENTS KOBLISKA
90/06/11 TS-SSC 90-029 DISIGN/VERT. SPLIT YOKE/COLLAR-40 MM DIPOLE
STRAIT
90/06/12 TS-SSC 90-030 TEST RESULTS/DS0308 & DS0309 KOSKA
90/06/12 TS-SSC 90-031 MAGNET MEASUREMENTS DS0308 & DS0309 LAMM
90/05/23 TS-SSC 90-032 50MM VERTICALY SPLIT FE CONCLUSIONS KERBY
90/06/25 TS-SSC 90-033 50MM VERT. SPLIT YOKE-COLLAR INTERFACE STRAIT
90/06/25 TS-SSC 90-034 50MM VERT. SPLIT YOKE COLLAR INT. DIMENSIONS
STRAIT
90/06/26 TS-SSC 90-036 SHORT MODEL MAGNET TEST RESULTS AT FNAL STRAIT
90/07/03 TS-SSC 90-037 DS0312 POLE SHIMS BOSSERT
90/07/09 TS-SSC 90-038 DS0310 TEST PLAN KOSKA
90/06/26 TS-SSC 90-039 ALTERNATE COLLAR OUTER SURFACE STRAIT
90/06/28 TS-SSC 90-040 ANALYSIS OF YOKE-SKIN INTERACTION STRAIT
90/07/19 TS-SSC 90-041 MOD. TO COLLAR/VERT. SPLIT YOKE/DIPOLE MAG.
STRAIT
90/07/25 TS-SSC 90-042 SSC END PART MODIFICATIONS BOSSERT
90/07/02 TS-SSC 90-043 SUMMARY/SSC COLLARING PRESS/ANALYSES NICOL
90/08/18 TS-SSC 90-044 DC0301 (PCM#2) COLLARING DATA STRAIT
90/08/07 TS-SSC 90-045 50MM COLLIDER DIPOLE CRYO. CROSS SECTION NICOL
90/08/15 TS-SSC 90-046 40CM CURING TOOLING/DIMENSIONAL VARIATION SIMS
90/08/15 TS-SSC 90-047 RINGING TESTS OF N1301F KOSKA
90/08/20 TS-SSC 90-048 BNL-FNAL CDM COMPATIBILITY GOODZEIT
90/08/23 TS-SSC 90-049 DC0302 COLLARING SHIMS KOSKA
90/08/31 TS-SSC 90-050 DC0302 COLLARING SHIMS AND SPOT HEATERS STRAIT
90/08/31 TS-SSC 90-051 STEEL ALLOY OF 50MM SSC DIPOLES STRAIT
90/09/04 TS-SSC 90-053 PRELIMINARY REPORT/STYCAST 2850FT DELCHAMPS
90/09/04 TS-SSC 90-055 MINUTES/FERMI 40MM LONG ELEC. INTERCONNECT KOSKA
90/06/28 TS-SSC 90-035 YOKE, SKIN & MAGNET END DIMENSIONS STRAIT
90/09/05 TS-SSC 90-057 NEW KAPTON INSULATION MARKLEY
90/09/07 TS-SSC 90-058 SUMMARY OF DS0310 QUENCHES KOSKA
89/03/27 TS-SSC 90-052 SSC 40MM COIL INSULATION EVALUATION
CARSON,BOSSERT
90/09/04 TS-SSC 90-054 TEVATRON COIL INSULATION SYSTEM BOSSERT
90/09/13 TS-SSC 90-056 PRELOADING LOSS EST. AT END CLAMP WAKE
90/09/10 TS-SSC 90-059 EVALUATION OF YOKING TOOLING DESIGN STRAIT
90/09/09 TS-SSC 90-060 THERMAL CONTRACTION OF MATERIALS/STYCAST
DELCHAMPS
90/09/12 TS-SSC 90-061 KAPTON ADHESIVE WAKE
90/07/16 TS-SSC 90-066 IMPORVED HARMONICS FOR 50MM DIPOLE STRAIT
90/09/13 TS-SSC 90-062 DS0-312 COLLARING EXPERIMENTS/STAGE 1 HASSAN
90/09/19 TS-SSC 90-064 RETURN END CAN DEFLECTION-310/311 DELCHAMPS
90/10/01 TS-SSC 90-065 SSC MFG. ERRORS/PRELIMINARY RESULTS RIDDIFORD
90/09/28 TS-SSC 90-063 MEASUREMENTS/MOLDED 2850FT STYCAST/SSC SHORT
DELCHAMPS
90/10/08 TS-SSC 90-067 END CLAMP DESIGN:CHOICE OF MATERIALS STRAIT
90/10/09 TS-SSC 90-069 APROX. STRESS VS STRAIN RELAT. COLLAR GAGES KOSKA
90/10/11 TS-SSC 90-071 ANALYSIS OF DC0302 COLLARING DATA STRAIT
90/10/12 TS-SSC 90-072 MOD./50MM DIPOLE YOKE LAMINATION STRAIT
90/10/15 TS-SSC 90-073 DS0311 TEST PLAN DELCHAMPS
90/10/16 TS-SSC 90-074 DC0303 COLLARING SHIMS STRAIT
90/10/09 TS-SSC 90-068 PRELOADING LOSS EST. W/ALUMINUM CYLINDER WAKE
90/10/16 TS-SSC 90-075 PLAN FOR SHORT 50 MM PRACTICE MAGNET DSA320
STRAIT
90/10/22 TS-SSC 90-076 INSTRUMENTATION FOR 40MM LONG MAGNETS STRAIT
90/10/22 TS-SSC 90-077 DC0302 & DS0311 COLLARING: PRESS GAP DATA STRAIT
90/10/26 TS-SSC 90-078 EFFECT OF SPLICE FIELD ON QUENCH CURRENT WAKE
90/11/06 TS-SSC 90-085 FINITE ELEMENT ANALYSIS/END COLLET MECHANISM
KERBY
90/11/05 TS-SSC 90-079 KEYING/DC0303 STRAIN GAGE DATA STRAIT
90/11/06 TS-SSC 90-080 DC304 COLLARING SHIMS STRAIT
90/10/29 TS-SSC 90-081 SSC 40MM MAGNET COLLARING PROBLEMS BOSSERT
90/11/09 TS-SSC 90-082 TANGENTIAL PROBES:BASIC EQUATIONS STRAIT
90/11/06 TS-SSC 90-083 ANALYSIS/FNAL CALIBRATED COLLAR GAGES KOSKA
90/11/08 TS-SSC 90-086 INSTRUMENTATION NEEDS-11/1/90 TO 4/1/91 KOSKA
90/11/14 TS-SSC 90-087 COLLAR GAGE PACK POSITIONS/DC0303 KOSKA
90/11/19 TS-SSC 90-088 50 MM TAP MAPS KOSKA
90/11/21 TS-SSC 90-089 DS0314 COLLARING SHIMS KOSKA
90/04/06 TS-SSC 90-007 COLLARING SHIMS FOR PCM#2 CARSON,BOSSERT
90/11/13 TS-SSC 90-090 MECH. ANALYSIS/VERT. SPLIT 50MM DIPOLE KERBY
90/11/21 TS-SSC 90-091 THERMAL CONTRACTION/40MM COLLARING KEY MAT.
DELCHAMPS
90/11/27 TS-SSC 90-092 NOTES/TANGENTIAL PROBES/BASIC EQUATIONS II STRAIT
90/11/27 TS-SSC 90-094 SIZING DATA OF DS320 DUMMY WINDINGS WAKE
90/11/29 TS-SSC 90-093 NOTES/TANGENTIAL PROBES/EXAMPLE CALCULATIONS
STRAIT
90/12/04 TS-SSC 90-095 DS0313 TEST PLAN DELCHAMPS
91/03/22 TS-SSC 91-054 LONG COLLARING PRESS PLATEN DEFLECTION TEST
BOSSERT
90/11/29 TS-SSC 90-096 POSITION OF COLLAR GAGE PACKS/DC0304 KOSKA
90/11/30 TS-SSC 90-097 HALL PROBE MEASURE./DS0309 NON-LEAD END DELCHAMPS
90/12/11 TS-SSC 90-098 WIRING LIST FOR SINGLE MAGNET TESTS
STRAIT/TOMPKINS
90/12/04 TS-SSC 90-099 AZIMUTHAL 40MM LONG COIL SIZE VARIATIONS KOSKA
90/12/05 TS-SSC 90-100 AC MAGNETIC PROBE/SHORT FAULTED DC0302 SIMS
90/12/08 TS-SSC 90-102 WARM MOLE MEAS./DC0302 & 303 COLLARED COILS
DELCHAMPS
90/12/08 TS-SSC 90-103 ROOM TEMP. END CAN DEFLECTION/40 MM APERTURE
DELCHAMPS
90/12/17 TS-SSC 90-104 DC0304 TURN-TO-TURN SHORT STRAIT
90/12/17 TS-SSC 90-105 NITRONIC 33/END CLAMP FILLER LAMINATIONS STRAIT
90/12/17 TS-SSC 90-106 COLLARING SHIMS FOR DC0304 WITH NEW COILS STRAIT
90/12/19 TS-SSC 90-107 DS0315 COLLARING SHIMS DELCHAMPS
90/12/20 TS-SSC 90-108 DSA320 COLLARED COIL/COOKIE PRODUCTION DELCHAMPS
90/12/19 TS-SSC 90-109 REPORT ON DC0302 FAILURE KOSKA
90/12/12 TS-SSC 90-110 DSA321 TURN-TO-TURN SHORT WAKE
90/12/10 TS-SSC 90-101 DS0311 QUENCH PERFORMANCE SUMMARY GOURLAY
90/12/13 TS-SSC 91-001 MECH. ANALYSIS/VERTICALLY SPLIT 50MM DIPOLE KERBY
91/01/09 TS-SSC 91-002 DS0313/SUMMARY OF QUENCH PERFORMANCE GOURLAY
91/01/10 TS-SSC 91-003 MOLE CENTERING CORRECTION/50MM DIPOLE DELCHAMPS
91/01/14 TS-SSC 91-004 DC0304 COLLARING KEY STRAIN GAUGE DATA STRAIT
91/01/16 TS-SSC 91-005 DC0305 COLLARING SHIMS STRAIT
91/01/15 TS-SSC 91-006 POSITION/COLLAR GAGE PACKS/DC0304 W/NEW COILS
KOSKA
91/01/17 TS-SSC 91-007 DSA321 CONSTRUCTION REVIEW BOSSERT
91/01/17 TS-SSC 91-008 COMPARISION/STRAIN GAGE RESISTANCE TECHNIQUES
DELCHAMPS
91/01/18 TS-SSC 91-009 DC0305/POSITION OF COLLAR GAGE PACKS KOSKA
91/01/18 TS-SSC 91-010 DC0303/LOC. COIL SHORT/RESISTANCE MEAS. STRAIT
91/01/21 TS-SSC 91-011 DC0303 FAILURE DURING IMPULSE TEST KOSKA
91/01/17 TS-SSC 91-012 DS0314 TEST PLAN DELCHAMPS
91/01/22 TS-SSC 91-013 DC0303/MORE RESISTANCE MEAS. TO LOCATE SHORT
STRAIT
91/01/21 TS-SSC 91-014 SSC 40MM END GROUND WRAP SYSTEMS BOSSERT
91/01/26 TS-SSC 91-015 DSA323 SHELL GAUGES STRAIT
91/01/28 TS-SSC 91-016 DC0304 COLLARED COIL WARM MOLE MEASURE. DELCHAMPS
91/01/28 TS-SSC 91-017 DC0306/POSITION OF COLLAR GAGE PACKS KOSKA
91/01/28 TS-SSC 91-018 DC0306 COLLARING SHIMS STRAIT
91/01/29 TS-SSC 91-019 DC0304 STRIP HEATER TO GROUND SHORT STRAIT
91/01/29 TS-SSC 91-020 DC0305 TURN-TO-TURN SHORT KEYING PROCESS
DELCHAMPS
91/01/29 TS-SSC 91-021 DC0305 TURN-TO-TURN SHORT/KEYING ATTEMPT
DELCHAMPS
91/01/30 TS-SSC 91-022 DC0305 PROCEDURE/LOCATING TURN-TO-TURN SHORT
DELCHAMPS
91/01/31 TS-SSC 91-023 50MM COILS WAKE
91/01/31 TS-SSC 91-024 MAGNETIZATION EFFECT OF PRESSURE GAGE BLOCK WAKE
91/02/05 TS-SSC 91-026 DSA321 COLLARING/YOKING STRAIN GAUGE DATA STRAIT
91/02/05 TS-SSC 91-027 DC0305 COLLARING SHIMS STRAIT
90/12/18 TS-SSC 91-028 IN-PROCESS TESTING/SSC LONG MAGNETS BOSSERT
91/02/12 TS-SSC 91-029 DSA321 SUMMARY OF QUENCH PERFORMANCE GOURLAY
91/02/12 TS-SSC 91-030 DSA322 FIRST COLLARING STRAIT
91/02/04 TS-SSC 91-031 DSA321 HARMONICS AT LAB2 JAFFERY
91/02/15 TS-SSC 91-032 PERIODIC REMANANT FIELD/SSC 50MM DIPOLE
WAKE,JAFFERY,LAMM
91/02/14 TS-SSC 91-033 DC0305 TURN-TO-TURN SHORT/17M-1007-R DELCHAMPS
91/02/21 TS-SSC 91-035 DC0305 POSITION/COLLAR GAGE PACKS/NEW INNER KOSKA
91/02/22 TS-SSC 91-036 DSA323 COLLAR KEYING DATA DELCHAMPS
91/03/04 TS-SSC 91-025 DSA320 COOKIE INSPECTION PRO.1 DELCHAMPS
91/01/28 TS-SSC 91-034 50MM SSC YOKE PACK DESIGN GORDON,BOSSERT
91/01/07 TS-SSC 91-038 5CM MFG.ERRORS/EFFECT ON HARMONICS MOKHTARANI
91/02/26 TS-SSC 91-039 LAB2 TEST STAND/SHUNT & I SIGNALS
OZELIS,KINNEY,LEWIS
91/03/06 TS-SSC 91-042 PROBABILITY DISTRIBUTION/MIDPLANE SHORTS KUCHNIR
91/03/04 TS-SSC 91-043 HARMONICS AT LAB2 COULTER,ET AL.
91/03/08 TS-SSC 91-044 DSA323/GROUND-TO-GROUND SHORT STRAIT
91/03/11 TS-SSC 91-045 DSA323/DISASSEMBLY OF COLLARED COIL DELCHAMPS
91/03/06 TS-SSC 91-046 PRESSURE DIST IN WIDTH OF CABLE WAKE
91/03/05 TS-SSC 91-040 DSA321 CONSTRUCTION SUMMARY BOSSERT
91/03/20 TS-SSC 91-047 DS0320 COOKIE STATUS DELCHAMPS
91/04/05 TS-SSC 91-059 50MM MEASURING MASTER CROSS CALIBRATION
BOSSERT,BRANDT
91/03/15 TS-SSC 91-049 DSA322 SECOND COLLARING STRAIT
91/03/05 TS-SSC 91-041 40MM PERIODIC FIELD/TEMP. GRADIENT WAKE,JAFFERY,
LAMM
91/03/15 TS-SSC 91-050 DS0315 MEASUREMENTS ON SPLICE OZELIS,JAFFERY
91/01/28 TS-SSC 91-055 50MM SSC LONG COIL SPRINGBACK ESTIMATE BOSSERT
91/03/29 TS-SSC 91-061 DC306 FURUKAWA CABLE WAKE
91/03/18 TS-SSC 91-051 DC0304 COIL STRESS/END FORCE W/COOLDOWN STRAIT
91/03/12 TS-SSC 91-052 50MM SSC G-10 END KEYS/CURING GORDON
91/03/21 TS-SSC 91-053 DS0315 QUENCH PERFORMANCE SUMMARY GOURLAY
91/03/22 TS-SSC 91-048 DSA322 ASSEMBLY EXPERIMENT PLAN STRAIT
91/04/02 TS-SSC 91-057 DSA322/LOCATION OF SHORT/4TH. ASSEMBLY STRAIT
91/03/29 TS-SSC 91-058 DS0314 INSPECTION MEMO WAKE
91/04/04 TS-SSC 91-060 DEVELOPMENT OF COLLAR KEYING PROCEDURES STRAIT
91/04/09 TS-SSC 91-062 COLLAR KEYING OF DSA325 STRAIT
91/04/12 TS-SSC 91-063 PART#ME-292059 INSPECTION RPT. EVALUATION STRAIT,
BOSSERT
91/04/12 TS-SSC 91-064 SSC 50MM DIPOLE BEAM TUBE CENTERING BOSSERT
91/04/04 TS-SSC 91-065 COIL SIZE MEASUREMENTS & COIL CURING SIMS
91/04/12 TS-SSC 91-066 INSPECTION SPEC./25MM TANGENTIAL PROBES
DELCHAMPS,HESS
91/04/12 TS-SSC 91-068 END CLAMPS FOR 50MM APERTURE SSC DIPOLES
DELCHAMPS
91/04/15 TS-SSC 91-070 RELATIONSHIP/COIL-SIZE & PRELOADING/50MM MAG.
WAKE
91/04/23 TS-SSC 91-067 SPEC/10CM ACTIVE LEN. TANGENTIAL PROBES
DELCHAMPS, HESS
91/04/19 TS-SSC 91-071 DSA324 COLLAR KEYING STRAIT
91/04/24 TS-SSC 91-072 MOLDING PROCEDURE/1.5M DIPOLE WAKE, SIMS
91/04/22 TS-SSC 91-073 ENERGY DEPOSITION LIMITS/SSC STRIP HEATERS LAMM
91/04/23 TS-SSC 91-074 DSA322/CAUSE OF COIL-TO-COLLAR SHORT STRAIT
91/04/25 TS-SSC 91-075 STRAIN GAUGE CALIBRATION ERRORS STRAIT
91/04/30 TS-SSC 91-076 DC0305/LOCATING TURN-TO-TURN SHORT DELCHAMPS
91/04/30 TS-SSC 91-077 MECH. DESIGN/ANALYSIS 2D CROSS-SECTION STRAIT, ET
AL.
91/05/01 TS-SSC 91-078 SHIMS FOR LONG 50MM MAGNET COIL MOLDS STRAIT
91/05/03 TS-SSC 91-079 ALT. METHOD/CENTERING BEAM TUBE HIGINBOTHAM
91/05/04 TS-SSC 91-080 COIL SLIP PLANE EXPERIMENT GORDON,HASSAN
91/04/25 TS-SSC 91-081 TELEDYNE ROLL FORMING/50MM DIPOLE TRIP REPORT
KOBLISKA
91/05/09 TS-SSC 91-082 DCA310/TRIM OF LEAD ON LEAD END/BEAM TUBE
HIGINBOTHAM
91/05/09 TS-SSC 91-083 DCA310/LOCATION OF BEAM TUBE IN COIL ASSY.
HIGINBOTHAM
91/05/14 TS-SSC 91-085 DEVELOPMENT OF COLLAR KEYING PROCEDURES STRAIT
91/05/20 TS-SSC 91-086 DCA310 (LONG DIPOLE) COIL SIZE DEVIATION WAKE
91/05/21 TS-SSC 91-088 NEW LAB2 PROBE DESIGNATIONS DELCHAMPS,HESS
91/04/23 TS-SSC 91-090 PROBE WIRE DOCUMENT DELCHAMPS
91/05/21 TS-SSC 91-093 50MM SHORT COIL UPDATE WAKE
91/05/21 TS-SSC 91-092 DSA SERIES OUTER COIL/COIL SIZE & SHIMMING WAKE
91/05/21 TS-SSC 91-094 DSA323/UNUSUAL QUENCH BEHAVIOR STRAIT
91/05/21 TS-SSC 91-095 DSA323 END FORCE & UNUSUAL QUENCH BEHAVIOR STRAIT
91/05/22 TS-SSC 91-097 DC0306/TEST OF STIENING HEATER DELCHAMPS
91/05/15 TS-SSC 91-069 SSC 50MM LONG DIPOLE COIL/INSULATION SYS. BOSSERT
91/05/23 TS-SSC 91-096 DCA310 COIL MOLDING/COIL SIZES STRAIT
91/05/20 TS-SSC 91-098 50MM SSC DECABLING TEST GORDON
91/05/29 TS-SSC 91-099 DC0304, 306 & 202 TWIST MEASUREMENTS STRAIT,
KUCHNIR
91/05/29 TS-SSC 91-100 THICKNESS/SSC 1 & 2 QUENCH PROTECTION HEATERS
DELCHAMPS
91/05/31 TS-SSC 91-102 DSA OUTER COIL/SIZE & SHIMMING WAKE
91/05/29 TS-SSC 91-103 CRITERIA FOR FULL COLLAR KEY INSERTION STRAIT
91/05/30 TS-SSC 91-104 DSA321/323/STRAIN GAGE/SEXTUPOLE MOMENT DELCHAMPS
91/05/29 TS-SSC 91-105 DSA237 RECOLLARING PLAN WAKE
91/05/30 TS-SSC 91-084 DSA325 SHORT KOSKA
91/05/05 TS-SSC 91-107 DCA310 END INSULATORS DELCHAMPS
91/06/05 TS-SSC 91-108 DSA323 TIME HISTORIES/STRAIN GAGE DATA STRAIT
91/06/05 TS-SSC 91-109 DSA315 TIME HIST./STRAIN GAGE DATA AT 4K STRAIT
91/06/05 TS-SSC 91-110 THERMAL CONTRACTION/STYCAST END PARTS DELCHAMPS
91/06/07 TS-SSC 91-111 SHORT PRESS SURVEY RESULTS WAKE
91/06/06 TS-SSC 91-112 EXPECTED ERROR/SHORT SAMPLE MEASUREMENTS KOSKA
91/06/04 TS-SSC 91-113 DC0304 & 306 COMPARISON OF PRESTRESS KOSKA
91/06/10 TS-SSC 91-114 TS PROJ. AREA/MOLE DATA LOCATION DELCHAMPS
91/06/13 TS-SSC 91-115 SOLDERING PROCEDURE/QUENCH PROT. HEATER LEADS
DELCHAMPS
91/06/12 TS-SSC 91-117 DSA325/DISPOSITION OF MAGNET KOSKA
91/06/13 TS-SSC 91-118 DSA323 DISASSEMBLY PLAN/PART I DELCHAMPS
91/06/13 TS-SSC 91-119 DCA310 ADDITIONAL KAPTON ON NON-LEAD ENDS
DELCHAMPS
91/06/10 TS-SSC 91-120 TANGENTIAL CALCULATIONS/PROBE 14 AT LAB2 COULTER
91/06/14 TS-SSC 91-121 INSPECTION PRO./PROBE 13 (25CM, MORGAN COIL)
DELCHAMPS,HESS
91/06/28 TS-SSC 91-122 COLLAR DEFLECTIONS UNDER PRELOAD (2ND TIME) KERBY
91/06/16 TS-SSC 91-123 INSPECTION PRO./PROBE 12 (50CM MORGAN COIL)
DELCHAMPS,HESS
91/06/18 TS-SSC 91-124 DCA310/ADDITIONAL KAPTON/LEAD END INSULATORS
DELCHAMPS
91/06/19 TS-SSC 91-125 DCA310/CONT. WORK/NON-LEAD END CLAMP DELCHAMPS
91/06/19 TS-SSC 91-126 DCA312 POLE SHIMS STRAIT
91/06/20 TS-SSC 91-127 CHANGE IN SHIM/LONG 50MM OUTER COIL MOLD STRAIT
91/06/27 TS-SSC 91-128 DSA326 COIL SIZES KOSKA
91/06/28 TS-SSC 91-129 DCA311/SHIMMING FOR RETURN END CLAMP DELCHAMPS
91/06/28 TS-SSC 91-130 DCA311 SHIMMING FOR LEAD END CLAMP DELCHAMPS
91/06/21 TS-SSC 91-131 DCA310 RUN PLAN/MOLE MEASUREMENT DELCHAMPS
91/06/28 TS-SSC 91-132 DCA310/MOLE MEASUREMENT/COLLAR-KEYED DELCHAMPS
91/06/10 TS-SSC 91-116 COLLAR DEFLECTION MEASUREMENTS/SORT 50 STRAIT
91/07/01 TS-SSC 91-133 FUJI FILM DENSITOMETER MANUAL DELCHAMPS
91/07/08 TS-SSC 91-134 CALIBRATION/FUJI PRESCALE FILM DELCHAMPS
91/07/02 TS-SSC 91-135 DSA322/FUJI FILM TESTS/END CLAMP PRESSURE
DELCHAMPS
91/07/07 TS-SSC 91-136 DCA313 GAGE PACK LOCATIONS DELCHAMPS
91/07/07 TS-SSC 91-137 DCA313 HEATER STRIPS INSPECTION REPORT DELCHAMPS
91/06/24 TS-SSC 91-138 DSA324 TEST PLAN JAFFERY
91/07/10 TS-SSC 91-139 DCA311 TURN TO TURN SHORT LOCATION WAKE
91/07/11 TS-SSC 91-140 DCA312 SHIMMING FOR RETURN END CLAMP DELCHAMPS
91/07/11 TS-SSC 91-141 DCA312 SHIMMING FOR LEAD END CLAMP DELCHAMPS
91/09/26 TS-SSC 91-186 DCA316 RETURN END EXTRA KAPTON DELCHAMPS
91/07/23 TS-SSC 91-144 OUTER COIL WEDGE/SYMMETRIC OR ASYMMETRIC STRAIT
91/07/23 TS-SSC 91-145 VALHALLA 32 METERS/INCONSISTENCY OF READINGS
DELCHAMPS
91/07/09 TS-SSC 91-146 HARMONICS/ASYMMETRIC MID-PLANE DISPLACEMENT
MOKHTARANI
91/08/02 TS-SSC 91-148 DSA328 SHIM SIZE WAKE
91/07/17 TS-SSC 91-149 LONG MAGNET CONSTRUCTION EXPERIENCE KOSKA
91/08/07 TS-SSC 91-150 DCA311 MOLE MEASUREMENT/COLLAR-KEYED ASSEMBLY
DELCHAMPS
91/08/08 TS-SSC 91-151 DCA312 MOLE MEASUREMENT/COLLAR-KEYED ASSEMBLY
DELCHAMPS
91/08/06 TS-SSC 91-152 LONG DIPOLE CONSTRUCTION EXPERIENCE (MSIM) KOSKA
91/08/06 TS-SSC 91-153 DCA314 POLE SHIMS/STRAIN GAUGE LOCATIONS STRAIT
91/08/08 TS-SSC 91-155 DCA315 POLE SHIMS STRAIT
91/08/09 TS-SSC 91-157 DCA313 LEAD END EXTRA KAPTON DELCHAMPS
91/08/06 TS-SSC 91-158 TEST RESULTS/FERMI 50 MM DIPOLES JAFFERY
91/09/13 TS-SSC 91-179 DCA312 SHELL GAUGE DATA DURING WELDING STRAIT
91/08/22 TS-SSC 91-168 DSA324 QUENCH HEATER TEST RESULTS JAFFERY
91/07/26 TS-SSC 91-147 50MM SHORT INNER COILS/KAPTON WEDGES SIMS
91/08/06 TS-SSC 91-154 DCA313 RETURN END EXTRA KAPTON DELCHAMPS
91/08/08 TS-SSC 91-156 DCA310-312 MOLE SUMMARY/COLLAR-KEYED DELCHAMPS
91/08/16 TS-SSC 91-159 DCA310-313-ARE END CANS ON? DELCHAMPS
91/08/14 TS-SSC 91-160 SSC DIPOLE BULLET PRELOADING PROCEDURE DELCHAMPS
91/08/06 TS-SSC 91-161 MSIM/BNL-CONTROL OF COIL SIZE VARIATIONS SIMS
91/08/16 TS-SSC 91-162 DCA314 RETURN END/EXTRA KAPTON DELCHAMPS
91/08/16 TS-SSC 91-163 DCA314 LEAD END/EXTRA KAPTON DELCHAMPS
91/08/12 TS-SSC 91-164 DCA315/POSITION OF COLLAR GAGE PACKS KOSKA
91/08/21 TS-SSC 91-165 LOCATION OF BEAM TUBE HIGINBOTHAM
91/08/20 TS-SSC 91-166 PRACTICE COILS 126-27/CURING MOLD SHIMS BOSSERT
91/08/30 TS-SSC 91-167 YOKING PRESS CAPACITY/YOKE SPLIT DIRECTION STRAIT
91/09/03 TS-SSC 91-169 50MM DIPOLE REVISED YOKE ASSEMBLY GORDON
91/09/04 TS-SSC 91-170 50MM COLLAR PACK ASSEMBLY BOSSERT
91/09/05 TS-SSC 91-173 DSA324 TRANSFER FUNCTION SPATIAL DISTORITON I
DELCHAMPS
91/09/06 TS-SSC 91-174 DSA324 TRANSFER FUNCTION/RAWSON LUSH METER
JAFFERY
91/10/08 TS-SSC 91-177 DCA312 YOKE CHEVRONING DELCHAMPS
91/09/13 TS-SSC 91-178 DCA310-315/COIL DIAMETER MEASUREMENTS STRAIT
91/09/24 TS-SSC 91-180 PRESSURE GRADIENT/KEY-STONE ANGLE IN CABLE WAKE
91/09/18 TS-SSC 91-181 DSA327 SHELL WELDING EXPERIMENT PROCEDURE STRAIT
91/09/20 TS-SSC 91-182 EST. SHELL TENSION FROM COIL STRESS DATA STRAIT
91/08/16 TS-SSC 91-183 PHOTOGRAPHS SSC 50MM COLLARED COIL KOSKA
91/09/24 TS-SSC 91-184 DCA313 SHELL GAUGE DATA DURING WELDING STRAIT
91/09/18 TS-SSC 91-185 DSA326 TEST PLAN JAFFERY
91/09/30 TS-SSC 91-188 DSA329 SHIM SIZE WAKE
91/09/27 TS-SSC 91-189 METHOD/MEASURE QUAD. COMPONENT PRE-YOKED MAG.
WAKE
91/05/14 TS-SSC 91-190 AC LOSS/SSC MODEL MAG. AT FNAL OZELIS
91/10/02 TS-SSC 91-191 ANSYS/ANALYSIS OF YOKE,SKIN, & TOOLING HAGGARD
91/10/07 TS-SSC 91-193 DSA324 TRANSFER FUNCTION-SPACIAL DIST. II WAKE
91/10/07 TS-SSC 91-194 DCA311-12 RETURN END COIL SPRING RATE STRAIT
91/10/08 TS-SSC 91-195 DCA317/POSITION OF COLLAR GAUGE PACKS KOSKA
91/09/05 TS-SSC 91-171 DCA315 RETURN END EXTRA KAPTON DELCHAMPS
91/09/05 TS-SSC 91-172 DCA315 LEAD END EXTRA KAPTON DELCHAMPS
91/09/05 TS-SSC 91-176 ELIMINATION OF COLLAR SPOT WELDS STRAIT
91/09/24 TS-SSC 91-192 YOKE CHEVRON EFFECTS GORDON
91/10/09 TS-SSC 91-196 EFFECT OF REDUCED PRESS LOAD/SHELL TENSION STRAIT
91/10/15 TS-SSC 91-197 COIL DEFORMATION/TRANSFER FUNCTION CHANGE WAKE
91/10/15 TS-SSC 91-198 DCA311 END LOADS FROM END BELL WELDING STRAIT
91/10/15 TS-SSC 91-200 INSULATION TESTS/ALUM. LEAD END WINDING KEYS SIMS
91/10/17 TS-SSC 91-201 DCA318/POSITION OF COLLAR GAGE PACKS KOSKA
91/07/22 TS-SSC 91-143 AXIAL COMPLIANCE/PACKING/YOKE FOR 50MM DIPOLE
GORDON,STRAIT
91/09/26 TS-SSC 91-187 DCA316 LEAD END EXTRA KAPTON DELCHAMPS
91/05/19 TS-SSC 91-091 WIRING OF PROBES 14, 15 FOR LAB2 DELCHAMPS,HESS
91/10/25 TS-SSC 91-199 DSA326 QUENCH SUMMARY STRAIT
91/10/22 TS-SSC 91-202 DCA317 RETURN END EXTRA KAPTON DELCHAMPS
91/10/22 TS-SSC 91-203 DCA317 LEAD END EXTRA KAPTON DELCHAMPS
91/10/22 TS-SSC 91-204 SUMMARY OF DCA END CLAMP INSTALLATIONS DELCHAMPS
91/10/25 TS-SSC 91-207 DCA317 TURN-TO-TURN SHORT DELCHAMPS
91/10/23 TS-SSC 91-205 STATUS OF AC LOSS/1.5M DIPOLE AT FERMILAB OZELIS
91/10/16 TS-SSC 91-206 SUMMARY/FIELD ANGLE PROBE MEASURE/4CM-17M
DIMARCO,KUCHNIR, YU
91/10/28 TS-SSC 91-208 WELDING END BELL ASSY. TO END PLATE HIGINBOTHAM
91/11/01 TS-SSC 91-209 DCA311/POSITION OF COLLAR GAGE PACKS KOSKA
91/11/01 TS-SSC 91-211 SIZES OF MODULI OF FIRST ALL-KAPTON COILS SIMS
91/10/29 TS-SSC 91-212 DCA311 ASSEMBLY SUMMARY (MSIM) KOSKA
91/11/06 TS-SSC 91-213 KAPTON WRAPPED 50MM INNER CABLE/STRESS SIMS
91/10/29 TS-SSC 91-216 DSA326 & 101 50MM-1.5M TEST RESULTS (MSIM)
JAFFERY
90/11/14 TS-SSC 90-084 SSC40MM SPOT WELDED PAIR SUMMARY BOSSERT
91/11/07 TS-SSC 91-215 DCA310/MEASUREMENT OF END PLATE WARP KOSKA
91/11/08 TS-SSC 91-217 PLAN/SCHED. OF CONDUCTOR INSULATION TESTS STRAIT,
SIMS
91/11/06 TS-SSC 91-218 END FORCE/50MM COLLIDER DIPOLE MAGNETS KOSKA
91/11/12 TS-SSC 91-219 DCA318/317/319 HEATER STRIP PLAN DELCHAMPS
91/11/12 TS-SSC 91-220 DCA311 COOLDOWN COIL STRESS CHANGE STRAIT
91/11/11 TS-SSC 91-221 LONG 50MM MAGNET INDUCTANCE STRAIT
91/10/15 TS-SSC 91-222 COLDMASS DIAMETRAL VARIATION STUDY ARNOLD,GORDON
91/11/06 TS-SSC 91-223 YOKE LAMINATIONS SSC ZWEIBOHMER
91/11/13 TS-SSC 91-224 DCA312/OBSERVATION ON FIELD ANGLE MEAS. KUCHNIR
91/11/07 TS-SSC 91-214 DS0315 FINAL COLLAR STRAIN GAGE READINGS
DELCHAMPS
91/07/01 TS-SSC 91-226 BIPOLAR/UNIPOLAR TESTS/1.5M DIPOLES AT FNAL
OZELIS
91/11/15 TS-SSC 91-225 SHIMMING OF ALL KAPTON COIL WAKE
91/11/22 TS-SSC 91-227 DCA318 RETURN END EXTRA KAPTON DELCHAMPS
91/11/22 TS-SSC 91-228 DCA318 LEAD END EXTRA KAPTON DELCHAMPS
91/11/27 TS-SSC 91-229 DCA311 PRODUCTION SUMMARY KOSKA
91/11/26 TS-SSC 91-230 DCA319/POSITION OF COLLAR GAGE PACKS KOSKA
91/11/27 TS-SSC 91-231 ELEC. MODELLING OF MAGS./UPPER INNER SECTION
SCHMITZ
91/12/03 TS-SSC 91-232 DCA319 EXTRA KAPTON FOR END CLAMP TEST DELCHAMPS
91/12/03 TS-SSC 91-233 DCA317 COIL 1007 TURN-TO-TURN SHORT II DELCHAMPS
91/12/04 TS-SSC 91-234 LOCATION OF TURN-TO-TURN SHORT/DCA318-REVISED
STRAIT
91/12/03 TS-SSC 91-235 DCA319 END CLAMP TEST BEFORE COLLARING DELCHAMPS
91/11/18 TS-SSC 91-236 DETAILED 10-STACK EXPERIMENT PLAN SIMS
91/11/18 TS-SSC 91-237 TREND ANALYSIS-50MM MAGNET PROJECT TINSLEY, KOCA
91/11/04 TS-SSC 91-238 DSA101 & 102 BULLET GAGE TRANSDUCER JAFFERY
91/12/05 TS-SSC 91-239 DETAILED 10-STACK EXPERIMENT PLAN-REV.2 SIMS
91/12/10 TS-SSC 91-089 MEASUREMENT/PROBE 14 SHAFT/25CM TANG. PROBE
DELCHAMPS,HESS
91/09/30 TS-SSC 91-175 DSA324/SUMMARY OF QUENCHES JAFFERY
91/12/09 TS-SSC 91-240 DCA311-312 SHELL AXIAL STRESS W/EXCITATION STRAIT
91/12/13 TS-SSC 91-242 ESTIMATION FROM TEN STACK MEASUREMENT RESULTS
WAKE
91/12/11 TS-SSC 91-243 DCA312/SHELL AZIMUTHAL STRESS W/EXCITATION STRAIT
91/12/16 TS-SSC 91-246 DCA318/TURN TO TURN SHORT LOCATION/REPAIR
DELCHAMPS
91/12/12 TS-SSC 91-247 ELEC. MODELLING OF MAGS./LONG TIME SCALE SCHMITZ
91/12/12 TS-SSC 91-248 PROBE EFFECT IN MAG. RINGING WAVEFORMS SCHMITZ
91/12/18 TS-SSC 91-249 AC LOSS IN LONG 50MM SSC DIPOLE AT FERMILAB
OZELIS
91/12/18 TS-SSC 91-250 DCA312 QUENCH CURRENT VS. TEMPERATURE STRAIT
91/12/18 TS-SSC 91-251 PROBE EFFECT IN MAG. RINGING WAVEFORM-REVISED
SCHMITZ
91/12/20 TS-SSC 91-252 DCA317 LEAD/RETURN END KAPTON/FINAL INSTALL.
DELCHAMPS
91/12/20 TS-SSC 91-253 DCA318 LEAD/RETURN END KAPTON/TEST INSTALL.
DELCHAMPS
91/12/20 TS-SSC 91-255 DCA312 PRODUCTION REPORT DELCHAMPS
91/12/26 TS-SSC 91-254 PRESSURE-SIZE DIAGRAM/DCA LONG MAG. DATA WAKE
91/12/20 TS-SSC 91-256 DISCUSSION W/ZBASNIK RE: CABLE INSULATION BOSSERT
92/01/03 TS-SSC 92-001 AC LOSS MEASURE./DC ENERGY DISSIPATION OZELIS
92/01/06 TS-SSC 92-002 ESR FIELD METER MEASURE. OF SSC MAGNETS WAKE
92/01/06 TS-SSC 92-003 EST. FROM TEN STACK MEASURE. RESULTS (II) WAKE
92/01/07 TS-SSC 92-004 DCA318 LEAD/RETURN-KAPTON FOR END CLAMP INST.
DELCHAMPS
92/01/09 TS-SSC 92-005 DCA311 FIELD ANGLE CHANGE/COLD TESTING (REV.)
KUCHNIR
92/01/08 TS-SSC 92-008 50MM DIPOLE COLD MASS STIFFNESS MEASUREMENT KERBY
91/11/18 TS-SSC 91-210 SSC 50MM SPOT WELDED PAIR SUMMARY BOSSERT
91/12/30 TS-SSC 91-245 DCA315/LOCATION OF UPPER,INNER LEAD SHORT
TASSOTTO
91/10/15 TS-SSC 91-257 DSA326/SUMMARY OF QUENCHES JAFFERY
92/01/29 TS-SSC 92-008 STIFFNESS/COLLIDER DIPOLE COLD MASS-ADDENDUM
KERBY
92/01/15 TS-SSC 92-009 DCA313 PRODUCTION REPORT GOURLAY
91/01/10 TS-SSC 92-010 DCA313 SHELL/STRAIN DATA W/EXCITATION STRAIT
92/01/20 TS-SSC 92-012 DCA312/OPEN V TAPS: CORRECTION TO DR374 DELCHAMPS
92/06/16 TS-SSC 92-050 DCA321/INSTALLATION/SPOT HEATER VOLTAGE TAPS
TASSOTTO
92/01/30 TS-SSC 92-016 DCA313 & 314/LOCATION OF LOW CURRENT QUENCHES
STRAIT
92/02/03 TS-SSC 92-017 DCA314 PRODUCTION REPORT STRAIT
92/02/04 TS-SSC 92-018 KAPTON-EPOXY INSULATION/APICAL-CRYORAD TESTS SIMS
92/02/05 TS-SSC 92-019 PROPOSED INSULATION SYST./SHORT/LONG DIPOLES
STRAIT
92/02/07 TS-SSC 92-020 DCA316/POSITION OF COLLAR GAGE PACKS KOSKA
91/01/21 TS-SSC 92-022 SSC COLLIDER DIPOLE MAGNET END FORCE ISSUES KOSKA
91/12/04 TS-SSC 91-241 BEAMTUBE CENT. LINE VS. GEOMETRIC CENT. LINE
HIGINBOTHAM
90/10/26 TS-SSC 92-006 V BREAKDOWN/VARIOUS ALUM. HARDCOAT ANODIZING SIMS
92/06/26 TS-SSC 92-059 DCA318 PRODUCTION REPORT GOURLAY
92/02/21 TS-SSC 92-021 DCA316 PRODUCTION REPORT WAKE
92/02/22 TS-SSC 92-023 DCA313-316 AXIAL STRAIN CHANGE WAKE
92/01/14 TS-SSC 92-025 DSA328 QUENCH PROT. HEATER TEST RESULTS I JAFFERY
92/02/25 TS-SSC 92-026 DSA328/TEST RESULTS/50MM APERTURE DIPOLE JAFFERY
92/02/25 TS-SSC 92-027 DCA315 PRODUCTION SUMMARY KOSKA
92/02/24 TS-SSC 92-028 CABLE INSUL. REDUCTION/HARMONICS/50MM MAGS.
MOKHTARANI
92/03/03 TS-SSC 92-032 DSA328 QUENCH PROT. HEATER RESULTS II JAFFERY
92/02/12 TS-SSC 92-033 10-STACK STUDIES/POLYIMIDE-EPOXY INSUL. SIMS
92/03/09 TS-SSC 92-034 DCA320/POSITION OF COLLAR GAGE PACKS KOSKA
92/03/09 TS-SSC 92-035 DCA320 POLE SHIMS KOSKA
92/03/13 TS-SSC 92-037 DSA330 COLLARED COIL HARMONICS DELCHAMPS
92/03/10 TS-SSC 92-038 EX. V TAPS/SPOT HEATERS ON LOWER INNER COIL
TASSOTTO
92/03/18 TS-SSC 92-039 DCA320 TURN-TO-TURN SHORT STRAIT
92/03/20 TS-SSC 92-041 CABLE-PAIR INSUL. BREAKDOWN TEST PLAN STRAIT
92/04/09 TS-SSC 92-014 BNL B2 MOLE HARMONICS/MOLE ENCODER DELCHAMPS
92/04/09 TS-SSC 92-015 MAG. CABLE TRAY/HARMONICS OF COLLARED COIL
DELCHAMPS
92/03/23 TS-SSC 92-043 DCA321/POSITION OF COLLAR GAGE PACKS KOSKA
93/02/10 TS-SSC 93-003 1.8 K TESTS OF FERMILAB-BUILT 15M SSC DIPOLE
STRAIT
92/03/31 TS-SSC 92-045 ADDITIONAL CABLE-PAIR INSUL. BREAKDOWN TESTS
STRAIT
92/03/31 TS-SSC 92-046 DCA319 PRODUCTION SUMMARY KOSKA
92/04/03 TS-SSC 92-047 DCA321 COLLARED COIL HARMONICS DELCHAMPS
92/04/06 TS-SSC 92-048 DCA317 LOCATION OF FIRST QUENCH STRAIT
92/05/22 TS-SSC 92-060 COILS FOR ALL KAPTON MAGNETS WAKE
92/04/16 TS-SSC 92-051 DCA317 PRODUCTION REPORT DELCHAMPS
92/04/07 TS-SSC 92-052 RESULTS/FERMI 50MM DIPOLES(APRIL MSIM) JAFFERY
92/04/24 TS-SSC 92-053 DCA322 POLE SHIM KOSKA
92/04/24 TS-SSC 92-054 DCA322/POSITION OF COLLAR GAGE PACKS KOSKA
92/04/27 TS-SSC 92-055 DSA332 POLE SHIMS DELCHAMPS,WAKE
92/05/05 TS-SSC 92-056 CALCULATION/MAG. FIELD FROM STRAND POSITIONS WAKE
92/04/04 TS-SSC 92-057 DCA322/ACTUAL GAUGE PACK POSITIONS KOSKA
92/05/18 TS-SSC 92-060B 50MM SHORT COILS UPDATE WAKE
92/05/14 TS-SSC 92-061 SUMMARY/AC LOSS MEASURE./LONG MAGS. AT FERMI
OZELIS
92/05/21 TS-SSC 92-063 DSA333 SHIM SIZE WAKE
92/05/26 TS-SSC 92-064 DCA311-319/COIL SIZE MEASUREMENT PREDICTIONS
STRAIT
92/05/26 TS-SSC 92-065 CABLE-PAIR INSULATION BREAKDOWN TEST RESULTS
STRAIT
92/04/13 TS-SSC 92-066 CABLE INSULATION FOR SSC 50MM MAGNETS 1992
BOSSERT
92/05/27 TS-SSC 92-068 DCA323 REASSEMBLY PLAN WAKE
92/06/18 TS-SSC 92-069 HARMONICS/MAGS. W/ALL KAPTON & APICAL INSUL.
DELCHAMPS
92/06/01 TS-SSC 92-070 PRESSURE DIST. EFFECT ON HARMONIC COMPONENTS WAKE
92/06/02 TS-SSC 92-071 DCA323/SIZE OF POLE SHIM WAKE
92/06/05 TS-SSC 92-072 SUMMARY OF ASST MAGNET TEST DATA STRAIT
92/06/12 TS-SSC 92-073 WARM-COLD HARMONICS COMPARISON IN ASST MAGS.
STRAIT
92/06/16 TS-SSC 92-074 DCA322 & 323/LOCATION CHANGE OF VOLTAGE TAP
TASSOTTO
92/07/10 TS-SSC 92-075 DCA321 PRODUCTION REPORT WAKE
92/06/30 TS-SSC 92-076 TEST RESULTS/POST ASST DESIGN MODEL DIPOLE
JAFFERY
92/06/03 TS-SSC 92-078 DCA323/POSITION OF COLLAR GAGE PACKS KOSKA
92/02/29 TS-SSC 92-013 DCA311 & 319 END CLAMP DEFLECTIONS DELCHAMPS
92/04/04 TS-SSC 92-049 YOKE DENSITY STRAIT
92/03/23 TS-SSC 92-044 DCA320 TURN-TO-TURN SHORT LOCATED STRAIT
92/07/22 TS-SSC 92-007 UNUSED NUMBER
92/07/22 TS-SSC 92-011 UNUSED NUMBER
92/07/22 TS-SSC 92-024 UNUSED NUMBER
92/07/22 TS-SSC 92-036 UNUSED NUMBER
92/07/22 TS-SSC 92-040 UNUSED NUMBER
92/07/22 TS-SSC 92-058 UNUSED NUMBER
92/07/22 TS-SSC 92-067 UNUSED NUMBER
92/07/22 TS-SSC 92-042 UNUSED NUMBER
92/09/24 TS-SSC 92-082 DCA320 PRODUCTION SUMMARY KOSKA
92/10/06 TS-SSC 92-083 ALTERNATE END PLATE MATERIALS-FY92 SHORT MAG.
BOSSERT
92/07/30 TS-SSC 92-077 DSA334 POLE SHIMS STRAIT
92/02/12 TS-SSC 92-084 ALTERNATE END PART MATERIALS LIPSKI
92/07/25 TS-SSC 92-079 DSA323B QUENCH HISTORY JAFFERY
92/07/16 TS-SSC 92-080 DSA332 QUENCH HEATER TEST RESULTS JAFFERY
92/10/27 TS-SSC 92-087 REVIEW/FERMI SHORT DIPOLE TEST RESULTS STRAIT, ET
AL.
92/09/15 TS-SSC 92-081 DCA322 PRODUCTION REPORT DELCHAMPS
92/11/18 TS-SSC 90-070 UNUSED NUMBER
92/11/18 TS-SSC 91-037 UNUSED NUMBER
92/11/18 TS-SSC 91-087 UNUSED NUMBER
92/11/18 TS-SSC 91-056 UNUSED NUMBER
92/11/18 TS-SSC 91-101 UNUSED NUMBER
92/11/18 TS-SSC 91-106 UNUSED NUMBER
92/11/18 TS-SSC 91-142 UNSUED NUMBER
92/11/18 TS-SSC 92-029 NOTE IN PROGRESS KOSKA
92/11/18 TS-SSC 92-030 NOTE IN PROGRESS KOSKA
92/11/18 TS-SSC 92-031 NOTE IN PROGRESS KOSKA
92/11/18 TS-SSC 92-085 NOTE IN PROGRESS BRANDT
92/11/18 TS-SSC 92-062 UNUSED NUMBER
92/11/18 TS-SSC 91-244 UNUSED NUMBER
92/11/20 TS-SSC 92-085 SECTIONING/ANALYSIS #2 OF COIL END PARTS BRANDT
92/12/03 TS-SSC 92-086 DCA323 PRODUCTION REPORT GOURLAY
92/12/17 TS-SSC 92-088 SSC SHORT MODELS BUILT AT FERMILAB BOSSERT
93/01/09 TS-SSC 93-001 FERMILAB SSC CDM R&D ACTIVITIES/FY 1992 STRAIT
93/01/13 TS-SSC 93-002 LONG COIL SPRINGBACK DATA BOSSERT
92/02/04 TS-SSC 93-004 KAPTON-EPOXY INSULATION/APICAL CRYORAD SYST. SIMS
94/11/09 TS-SSC 94-001 SUMMARY OF CONSTRUCTION DETAILS DCA-101 DWYER
| en |
all-txt-docs | 373329 | Federal Communications Commission DA 08-2570
Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter of
Amendment of Section 73.202(b)
FM Table of Allotments,
FM Broadcast Stations.
(Batesville, Texas)
)
)
)
)
)
)
MB Docket No. 08-227
RM-11493
NOTICE OF PROPOSED RULEMAKING
Adopted: November 26, 2008 Released: November 28, 2008
Comments Date: January 21, 2009
Reply Comments Date: February 5, 2009
By the Assistant Chief, Audio Division, Media Bureau:
1. The Audio Division has before it a petition for rule making filed by Katherine Pyeatt
(Petitioner), proposing the allotment of Channel 250A at Batesville, Texas, as its first local FM
transmission service. Petitioner states her intention to file an application for Channel 250A at Batesville,
if allotted. In this regard, Petitioner has concurrently filed a FCC Form 301 new station application for
Channel 250A at Batesville,1 and the necessary filing fee in accordance with the Commission's new
procedures.2
2. Petitioner states that Batesville is a census designated place (CDP) in Zavala County with a 2000
U.S. Census population of 1,298 persons. Batesville has its own zip code (78829), post office, volunteer
fire department, elementary school, and local church. Additionally, Petitioner states that the 2004-2005
Texas Almanac lists Batesville as having twenty businesses, receiving a credit rating by Dun &
Bradstreet. Petitioner concludes that Batesville is a community that is certainly deserving of a first FM
local service.
3. A staff engineering analysis indicates that Channel 250A can be allotted to Batesville consistent
with the minimum distance separation requirements of the Commissions Rules (the Rules) with the
imposition of a site restriction located 11.4 kilometers (7.1 miles) east of the community at reference
coordinates 28-58-27 NL and 99-30-12 WL. Consistent with Auburn,3 this allotment is contingent on the
outcome of MM Docket Nos. 00-1484 and 01-1305 and MB Docket No. 05-112.6 Moreover, the proposed
1 See File No. BNPH-20080812AAI.
2 See Revision of Procedures Governing Amendments to FM Table of Allotments and Changes of Community of
License in the Radio Broadcast Services, Report and Order, 21 FCC Rcd 14212 (2006).
3 See Auburn, Alabama, et al, Memorandum Opinion and Order, 18 FCC Rcd 10333 (MB 2003) (stating that parties
may rely on actions taken in earlier rule making proceedings that are effective but not yet final ) (Auburn)
4 See Quanah, Texas et al., Memorandum Opinion and Order, 19 FCC Rcd 7159 (MB 2004) (dismissing a
counterproposal requesting the proposed allotment of Channel 249C1 at Converse, Texas) app. for review pending.
5 See Batesville, Texas, Memorandum Opinion and Order, 23 FCC Rcd 640 (2008) (affirming the dismissal of a
proposal requesting the allotment of Channel 250A at Batesville, Texas) appeal pending, sub nom Charles Crawford
v. FCC & USA, No. 08-1059 (D.C. Circuit)
(continued....)
Federal Communications Commission DA 08-2570
2
allotment of Channel 250A at Batesville is located 320 kilometers from the Mexican Border. Therefore,
Mexican concurrence has been requested.
4. We find that the Petitioners proposal warrants consideration because it could provide the
community of Batesville with its first local FM transmission service. Therefore, we will solicit comments
on the proposed amendment to the FM Table of Allotments, Section 73.202(b) of the Rules, with respect
to Batesville, Texas:
Channel No.
Community Present Proposed
Batesville, Texas ---------- 250A
5. The Commissions authority to institute rule making proceedings, showings required, cut-off
procedures, and filing requirements are contained in the attached Appendix and are incorporated by
reference herein. In particular, we note that a showing of continuing interest is required by paragraph 2 of
the Appendix before a channel will be allotted.
6. Interested parties may file comments on or before January 21, 2009, and reply comments on or
before February 5, 2009, and are advised to read the Appendix for the proper procedures. Comments
should be filed with the Federal Communications Commission, Office of the Secretary, 445 Twelfth
Street, SW, TW-A325, Washington, D.C. 20554. Additionally, a copy of such comments should be
served on Petitioner, as follows:
Katherine Pyeatt
2215 Cedar Springs Rd. #1910
Dallas, Texas 75201
Gene A. Bechtel, Esq.
Law Office of Gene Bechtel
1050 17th Street, N.W.
Suite 600
Washington, D.C. 20036
7. Parties are required to file an original and four copies of each filing. Filings can be sent by hand
or messenger delivery, by commercial overnight courier, or by first-class or overnight U.S. Postal Service
mail (although we continue to experience delays in receiving U.S. Postal Service mail). The
Commissions contractor, Natek, Inc., will receive hand-delivered or messenger-delivered paper filings
for the Commissions Secretary at 236 Massachusetts Avenue, N.E., Suite 110, Washington, D.C. 20002.
The filing hours at this location are 8:00 a.m. to 7:00 p.m. All hand deliveries must be held together with
rubber bands or fasteners. Any envelopes must be disposed of before entering the building. Commercial
overnight mail (other than U.S. Postal Service Express Mail or Priority Mail) must be sent to 9300 East
Hampton Drive, Capitol Heights, MD 20743. U.S. Postal Service first-class mail, Express Mail, and
Priority Mail should be addressed to 445 12th Street, SW, Washington, D.C. 20554. All filings must be
addressed to the Commissions Secretary, Office of the Secretary, Federal Communications Commission.
All filings must be addressed to the Office of the Secretary, Federal Communications Commission.
(...continued from previous page)
6 See Fredericksburg, Texas et al., Memorandum Opinion and Order, 22 FCC Rcd 10883 (MB 2007) (dismissing a
counterproposal requesting the proposed allotment of Channel 249C1 at Converse, Texas) app. for review pending.
Federal Communications Commission DA 08-2570
3
Any filing that is not addressed to the Office of the Secretary will be treated as filed on the day it is
received in the Office of the Secretary. See 47 C.F.R. 1.7. Accordingly, failure to follow the
specified requirements may result in the treatment of a filing as untimely.
8 The Commission has determined that the relevant provisions of the Regulatory Flexibility Act of
1980 do not apply to a rule making proceeding to amend the FM Table of Allotments, Section 73.202(b)
of the Commission's Rules.7 This document does not contain new or modified information collection
requirements subject to the Paperwork Reduction Act of 1995 (PRA), Public Law 104-13. In addition,
therefore, it does not contain any new or modified information collection burden for small business
concerns with fewer than 25 employees, pursuant to the Small Business Paperwork Relief Act of 2002,
Public Law 107-198, see 44 U.S.C. 3506(c)(4).
9. For further information concerning this proceeding, contact Rolanda F. Smith, (202) 418-2180.
For purposes of this restricted notice and comment rule making proceeding, members of the public are
advised that no ex parte presentations are permitted from the time the Commission adopts a Notice of
Proposed Rule Making until the proceeding has been decided and such decision is no longer subject to
reconsideration by the Commission or review by any court. An ex parte presentation is not prohibited if
specifically requested by the Commission or staff for the clarification or adduction of evidence or
resolution of issues in the proceeding. However, any new written information elicited from such a request
or a summary of any new oral information shall be served by the person making the presentation upon the
other parties to the proceeding unless the Commission specifically waives this service requirement. Any
comment which has not been served on the petitioners constitutes an ex parte presentation and shall not
be considered in the proceeding. Any reply comment which has not been served on the person(s) who
filed the comment, to which the reply is directed, constitutes an ex parte presentation and shall not be
considered in the proceeding.
FEDERAL COMMUNICATIONS COMMISSION
John A. Karousos
Assistant Chief
Audio Division
Media Bureau
Attachment: Appendix
7 See Certification that Section 603 and 604 of the Regulatory Flexibility Act Do Not Apply to Rule Makings to
Amend Sections 73.202(b), 73.504 and 73.606(b) of the Commission's Rules. 46 FR 11549 (February 9, 1981).
Federal Communications Commission DA 08-2570
4
APPENDIX
1. Pursuant to authority found in Sections 4(i), 5(c)(1), 303(g) and (r), and 307(b) of the Communications Act
of 1934, as amended, and Sections 0.61, 0.204(b) and 0.283 of the Commission's Rules, IT IS PROPOSED TO
AMEND the FM Table of Allotments, Section 73.202(b) of the Commission's Rules and Regulations, as set forth in
the Notice of Proposed Rule Making to which this Appendix is attached.
2. Showings Required. Comments are invited on the proposal(s) discussed in the Notice of Proposed Rule
Making to which this Appendix is attached. Proponent(s) will be expected to answer whatever questions are
presented in initial comments. The proponent of a proposed allotment is also expected to file comments even if it
only resubmits or incorporates by reference its former pleadings. It should also restate its present intention to apply
for the channel if it is allotted and, if authorized, to build a station promptly. Failure to file may lead to denial of the
request.
3. Cut-off protection. The following procedures will govern the consideration of filings in this proceeding.
(a) Counterproposals advanced in this proceeding itself will be considered, if advanced in initial comments, so
that parties may comment on them in reply comments. They will not be considered if advanced in reply comments.
(See Section 1.420(d) of the Commission's Rules).
(b) With respect to petitions for rule making which conflict with the proposals in this Notice, they will be
considered as comments in the proceeding, and Public Notice to this effect will be given as long as they are filed
before the date for filing initial comments herein. If they are filed later than that, they will not be considered in
connection with the decision in this docket.
(c) The filing of a counterproposal may lead the Commission to allot a different channel than was requested
for any of the communities involved.
4. Comments and Reply Comments; Service. Pursuant to applicable procedures set out in Sections 1.415 and
1.420 of the Commission's Rules and Regulations, interested parties may file comments and reply comments on or
before the dates set forth in the Notice of Proposed Rule Making to which this Appendix is attached. All
submissions by parties to this proceeding or by persons acting on behalf of such parties must be made in written
comments, reply comments, or other appropriate pleadings. The person filing the comments shall serve comments
on the petitioners. Reply comments shall be served on the person(s) who filed comments to which the reply is
directed. A certificate of service shall accompany such comments and reply comments. (See Section 1.420(a), (b)
and (c) of the Commission's Rules.) Comments should be filed with the Secretary, Federal Communications
Commission, Washington, D.C. 20554.
5. Number of Copies. In accordance with the provisions of Section 1.420 of the Commission's Rules and
Regulations, an original and four copies of all comments, reply comments, pleadings, briefs, or other documents
shall be furnished the Commission.
6. Public Inspection of Filings. All filings made in this proceeding will be available for examination by
interested parties during regular business hours in the Commission's Reference Information Center, at its
headquarters, 445 12th Street, S.W., Washington, D.C.
| en |
all-txt-docs | 792285 |
000
CXUS51 KBUF 011933
CLMBUF
CLIMATE REPORT
NATIONAL WEATHER SERVICE BUFFALO NY
214 PM EST SUN MAR 1 2009
...................................
...THE BUFFALO NY CLIMATE SUMMARY FOR THE MONTH OF FEBRUARY 2009...
CLIMATE NORMAL PERIOD 1971 TO 2000
CLIMATE RECORD PERIOD 1871 TO 2009
WEATHER OBSERVED NORMAL DEPART LAST YEAR'S
VALUE DATE(S) VALUE FROM VALUE DATE(S)
NORMAL
................................................................
TEMPERATURE (F)
RECORD
HIGH 71 02/26/2000
LOW -21 02/09/1934
HIGHEST 54 02/10 51 02/18
02/17
02/05
LOWEST -6 02/05 2 02/11
02/10
AVG. MAXIMUM 34.6 33.2 1.4 32.1
AVG. MINIMUM 19.8 18.6 1.2 18.1
MEAN 27.2 25.9 1.3 25.1
DAYS MAX >= 90 0 0.0 0.0 0
DAYS MAX <= 32 13 14.2 -1.2 16
DAYS MIN <= 32 26 25.3 0.7 28
DAYS MIN <= 0 1 1.2 -0.2 0
PRECIPITATION (INCHES)
RECORD
MAXIMUM 5.90 1990
MINIMUM 0.46 1877
TOTALS 2.65 2.42 0.23 4.83
DAYS >= .01 13 20
DAYS >= .10 4 13
DAYS >= .50 3 3
DAYS >= 1.00 0 1
GREATEST
24 HR. TOTAL 1.33 02/11 TO 02/12 02/06 TO 02/06
02/26 TO 02/26
02/26 TO 02/26
SNOWFALL (INCHES)
RECORDS
TOTAL 54.2 5
0
-26215
TOTALS 11.6 17.8 -6.2 22.5
SINCE 7/1 97.7 80.7 17.0
SNOWDEPTH AVG. 2 MM MM 2
DAYS >= 1.0 4 5.4 -1.4 9
GREATEST
SNOW DEPTH 8 02/01 5 02/28
02/27
24 HR TOTAL 3.1 02/03
DEGREE_DAYS
HEATING TOTAL 1049 1110 -61 1149
SINCE 7/1 4897 4804 93 4404
COOLING TOTAL 0 0 0 0
SINCE 1/1 0 0 0 0
.................................................................
WIND (MPH)
AVERAGE WIND SPEED 11.6
HIGHEST WIND SPEED/DIRECTION 41/220
HIGHEST GUST SPEED/DIRECTION 54/220 DATE 02/12
SKY COVER
POSSIBLE SUNSHINE (PERCENT) 54
NUMBER OF DAYS FAIR 4
NUMBER OF DAYS PC 16
NUMBER OF DAYS CLOUDY 8
AVERAGE RH (PERCENT) 74
WEATHER CONDITIONS. NUMBER OF DAYS WITH
THUNDERSTORM 0 MIXED PRECIP 1
HEAVY RAIN 1 RAIN 4
LIGHT RAIN 7 FREEZING RAIN 0
LT FREEZING RAIN 3 HAIL 0
HEAVY SNOW 3 SNOW 7
LIGHT SNOW 17 SLEET 0
FOG 16 FOG W/VIS <= 1/4 MILE 4
HAZE 9
- INDICATES NEGATIVE NUMBERS.
R INDICATES RECORD WAS SET OR TIED.
MM INDICATES DATA IS MISSING.
T INDICATES TRACE AMOUNT.
$$
...A QUIETER END TO METEOROLOGICAL WINTER...
AFTER TWO AND A HALF MONTHS OF WINTERS FURY...FEBRUARY WAS RATHER
TAME WITH SLIGHTLY ABOVE NORMAL TEMPERATURES AND BELOW AVERAGE
SNOWFALL. IN FACT FEBRUARY WAS THE FIRST MONTH SINCE SEPTEMBER THAT
THE MEAN TEMPERATURE FOR THE MONTH PLACED ABOVE NORMAL. THERE WERE
NO RECORD TEMPERATURES SET THIS MONTH...AND DAILY SNOWFALLS EQUATED
TO THE MANAGEABLE NICKLE AND DIME VARIETY THAT KEPT AREA ROADWAYS
SLICK.
THE AVERAGE TEMPERATURE OF 27.2F WAS 1.3 DEGREES ABOVE NORMAL FOR
THE MONTH AND WAS THE 47TH WARMEST FEBRUARY OF 139 YEARS OF RECORDS.
THE HIGHEST TEMPERATURE FOR THE MONTH WAS 54 DEGREES WHICH WAS SET
ON THE 10TH WHEN SOUTHERLY WINDS TRANSPORTED MUCH WARMER AIR FROM
THE SOUTH NORTHWARD ACROSS WESTERN NEW YORK. THE COLDEST TEMPERATURE
WAS SET ON THE 5TH WHEN CLEAR SKIES AND LIGHT WINDS ALLOWED THE
TEMPERATURE TO PLUMMET TO NEGATIVE 6 DEGREES. THERE WERE FOUR DAYS WHEN
THE TEMPERATURE REACHED 50 DEGREES OR HIGHER. THE SECOND WEEK WAS
DOMINATED BY ABOVE NORMAL TEMPERATURES CONTRASTING THE THIRD WEEK
THAT WAS DOMINATED BY BELOW NORMAL TEMPERATURES.
PRECIPITATION FOR THE MONTH OF FEBRUARY WAS SLIGHTLY ABOVE
NORMAL...WITH 2.65 INCHES FALLING. TWO MAIN EVENTS WITH RAIN
CHANGING TO SNOW...ONE ON THE 11TH AND 12TH (0.70 INCHES AND 0.88
INCHES RESPECTIVELY) AND A SECOND ON THE 27TH (0.51 INCHES) YIELD
MUCH OF THE PRECIPITATION FOR THE MONTH.
TEMPERATURES INCREASED DURING THE SECOND WEEK IN FEBRUARY...TOPPING
WITH THREE STRAIGHT DAYS WITH 50 OR ABOVE TEMPERATURES ON THE 10TH
THROUGH 12TH. THIS WARMING TREND LEAD TO RAPID SNOWPACK ABLATION.
THESE TEMPERATURES COMBINED WITH FALLING RAIN SWELLED MANY AREA
CREEKS AND RIVERS TO NEAR OR ABOVE FLOOD STAGE. HIGH WINDS ON THE
12TH...INCLUDING A PEAK WIND GUST OF 54 MPH BROUGHT TREE LIMBS AND
POWER LINES DOWN ACROSS THE METRO BUFFALO AREA.
FEBRUARY'S TOTAL OF 11.6 INCHES OF SNOW WAS NEARLY 6 INCHES SHORT OF
NORMAL. THE GREATEST DAILY SNOW WAS 3.1 INCHES WHICH OCCURRED ON THE
3RD WHEN AN INVERTED TROUGH PASSED FROM NORTHEAST TO SOUTHWEST
ACROSS WESTERN NEW YORK. THE SECOND GREATEST SNOWFALL WAS 2.8 INCHES
WHICH OCCURRED LATE ON THE 12TH AND INTO THE EARLY HOURS OF 13TH.
THIS WET SNOW OCCURRED ON THE BACK SIDE OF A STORM SYSTEM.
THE SNOWPACK THAT BEGAN LATE IN DECEMBER AND HELD STEADY THROUGH
JANUARY ERODED THROUGH THE FIRST WEEK IN FEBRUARY. BY THE 9TH WE
WERE DOWN TO JUST A TRACE OF SNOW ON THE GROUND AT THE BUFFALO
AIRPORT. FOR THE REST OF THE MONTH THE DAILY SNOWPACK DID NOT EXCEED
ONCE INCH.
SUNSHINE IN FEBRUARY WAS 16 PERCENT ABOVE NORMAL FOR THE MONTH. JUST
OVER HALF (54 PERCENT) THE DAYLIGHT HOURS HAD SUNSHINE...INCLUDING A
STRETCH FROM THE 13TH TO THE 17TH WHERE ALL DAYS HAD AT LEAST 50
PERCENT OF POSSIBLE SUNSHINE AND FOUR OF THOSE FIVE DAYS HAD MORE THAN
THREE QUARTERS SUNSHINE. EIGHT OF THE TWENTY EIGHT DAYS IN FEBRUARY
HAD 80 PERCENT OR MORE SUNSHINE.
MUCH OF THE EASTERN END OF LAKE ERIE REMAINED FROZEN THROUGH THE
MONTH. ALTHOUGH CRACKS IN THE ICE ALLOWED FOR SOME LAKE EFFECT...THE
NEARLY FROZEN LAKE REDUCED THE LAKE EFFECT SNOWS POTENTIAL.
IN SUMMARY THIS FEBRUARY WILL BE NOTED FOR THE LACK OF BIG SNOW EVENTS
AND THE ABUNDANCE OF FEBRUARY SUNSHINE.
&&
THOMAS
&&
| en |
all-txt-docs | 644315 | AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TUCSON AZ
915 PM MST SAT AUG 19 2006
.SYNOPSIS...A MORE ACTIVE THUNDERSTORM PATTERN WILL DEVELOP SUNDAY
AFTERNOON AND REMAIN IN PLACE THROUGH MUCH OF THE UPCOMING WEEK.
WITH A MOIST SOUTHERLY AND SOUTHEASTERLY FLOW ALOFT IN PLACE OVER
THE AREA.
&&
.DISCUSSION...INTERESTING SET UP THIS EVENING...OLD OUTFLOW BOUNDARY
FROM EARLIER CONVECTION OVER THE WHITE MOUNTAINS HAS MOVED SOUTH AND
BECOME QUASI-STATIONARY FROM TUCSON-BENSON-RUCKER CANYON. STRONG
COLD POOL IS LOCATED OVER SOUTHERN NEW MEXICO...CENTERED NEAR
LORDSBURG...WHERE INTENSE CONVECTION TOOK PLACE SEVERAL HOURS AGO.
SOUTH OF THIS COLD POOL WARM TOP CONVECTION HAS DEVELOPED OVER THE
NEW MEXICO BOOT AND NORTHERN CHIHUAHUA AND IS BEGINNING TO EXHIBIT
HEAVY RAIN SIGNATURE. THIS CONVECTION SEEMS TO HAVE DEVELOPED IN
CONCERT WITH SOUTHERN PERIPHERY OF ABOVE MENTION COLD POOL AND
INCREASING MOIST MID-LEVEL SOUTHEAST FLOW WITH RETROGRADING SRN
PLAINS HIGH. IF ORGANIZED HEAVY RAIN SIGNATURE SYSTEM DOES INDEED
FORM...IT WILL LIKELY RIDE UP BOUNDARY OVER COCHISE COUNTY
OVERNIGHT...WITH FLASH FLOOD THREAT POSSIBLE. SINCE SYSTEM IS STILL
A FEW HOURS FROM COCHISE COUNTY WILL GIVE IT ANOTHER HOUR OR SO
BEFORE RAISING POPS SIGNIFICANTLY.
ON TO TOMORROW...RUC DEPICTS INCREASING EAST-SOUTHEAST FLOW SURFACE
TO 20,000 FEET THROUGH THE DAY...UNDER GOOD UPPER JET DYNAMICS
30-40KT ABOVE 30,000 FEET FROM THE SOUTHWEST. WE HAVE SEEN A GOOD
DEAL OF COOLING 650 MB AND ABOVE...SO WITH ADDED MOISTURE WOULD
EXPECT THINGS TO BE QUITE UNSTABLE. MID-LEVEL FLOW WILL BECOME DEEP
ENOUGH AND STRONG ENOUGH TO CARRY CONVECTION WEST-NORTHWEST FROM
HIGHER TERRAIN AS THE DAY PROGRESSES. STRONG MOISTURE BOUNDARY
CURRENTLY IN PLACE...THE KTUS 0Z SOUNDING WAS UP TO 1.38 PW AND GOES
SAT SHOWS VALUES UNDER AN INCH OVER THE CENTRAL AND WESTERN
DESERTS...WHERE DEEPER SOUTHWEST FLOW REMAINS. THIS WOULD INDICATE
BEST CHANCES EASTERN PIMA AND EASTWARD...ALTHOUGH WOULD NOT BE
SURPRISED TO SEE ACTION MIGRATE INTO THE CENTRAL DESERTS BY EVENING.
OF COURSE DEBRIS CLOUDINESS FROM POSSIBLE OVERNIGHT ACTIVITY COULD
HOLD ACTION BACK ON SUNDAY.
&&
.AVIATION...TAFS AND TWEBS ADEQUATELY COVER ALL SIGNIFICANT WEATHER
AT KTUS.
&&
.TWC WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
WEATHER.GOV/TUCSON
SHOEMAKER
</PRE></TT></td> az
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MELBOURNE FL
920 AM EDT SAT AUG 19 2006
.DISCUSSION...
WELL...IN THE FACE OF 40-50KT OF SHEAR...THE TROPICAL LOW EAST OF
KJAX IS MANAGING TO DO EXACTLY WHAT I THOUGHT IT WOULD NOT - NAMELY
...CONTINUE TO GENERATE CONVECTION. LOOKS LIKE A NUMBER OF FACTORS
CAME TOGETHER TO COUNTERACT THIS SHEAR: 1) LOW LEVEL CONVG ASCD
WITH THE COMPACT BUT WELL DEFINED LLC REMAINS STRONG 2) THE CENTER
IS ONLY A LITTLE WEST OF WESTERN WALL OF THE GULF STREAM. 3) THE
NOCTURNAL CONVECTIVE MAX. 4) FINALLY...THE SHEAR PROFILE ITSELF -
RUC ANLYS SHOWS H25 DIVG HAD RE-STRENGTHENED OVER THE TOP OF THE
SYSTEM OVERNIGHT...BETWEEN THE RIDGE TO THE NORTH AND THE TUTT LOW
TO THE EAST.
IN TURN...THE CONVECTION CONTINUES TO SPEW OUT A THICK CANOPY OF
CS/AS DEBRIS SSW-WARD ACROSS A GOOD CHUNK OF OUR CWA. ONCE AGAIN...
IT BECOMES THE FCST "PROBLEM DU JOUR" SINCE IT WILL CONTINUE TO
AFFECT INSOLATION AND RESULTANT DIURNAL CONVECTION OVER THE CWA.
GIVEN THE SHALLOW/SHEARED STATE OF THE SYSTEM...IT IS MOST LIKELY TO
FOLLOW A TRACK CLOSE TO THE BAMS...WHICH MEANS A VERY *SLOW* DRIFT
WWD. RADAR INDICATES THIS IS THE CASE...WHICH MEANS THE CENTER WILL
STAY OVER WATER LONGER...AND IS THUS MORE LIKELY TO TOOT OUT SOME
ADDITIONAL PUFFS OF CONVECTION TODAY. ALSO...SHORT RANGE GUIDANCE
SUGGESTS THAT THE STRONG FLOW OVER THE TOP OF THE SYSTEM WILL REMAIN
LARGELY DIVGT...WHICH MAY PREVENT CONVECTION FROM BEING COMPLETELY
STRIPPED LIKE IT WAS FRI AFTN.
WHILE THERE IS A CONSIDERABLE AMOUNT OF UNCERTAINTY IS THE LOCAL
SHORT RANGE FCST...I PLAN TO INCREASE CLOUDS...SHAVE A DEG OR TWO
OFF OF MAXES...AND CUT BACK POPS 10-20% SAVE FOR THE FAR WRN INTR.
&&
.MARINE...FOR THE FLG-COF LEG...SW-SSW WINDS WILL REMAIN AROUND 10KT
WITH SEAS 2-3FT. POSN OF THE RIDGE AXIS ACROSS THE SRN HALF CWA WILL
KEEP WINDS S-SE THERE WITH SEAS RUNNING A LITTLE EITHER SIDE OF 2FT.
&&
.AVIATION...MAY NEED SOME LATE MORNING AMDS TO CHG TIMING/INTENSITY
OF DIURNAL CONVECTION. I THINK THERE'S A GOOD ALL THE COASTAL
AERODROMES WILL HAVE A DELAYED ONSET...AND COASTAL SITES MAY MISS
OUT ON SHRA/TSRA ALTOGETHER.
&&
.MLB WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
SHORT TERM...CRISTALDI
LONG TERM....SPRATT
</PRE></TT></td> fl
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE PEACHTREE CITY GA
1112 AM EDT SAT AUG 19 2006
.UPDATE...
SENDING A QUICK UPDATE TO LOWER POPS FOR THIS AFTERNOON. KEPT VERY
SLIGHT CHANCE NEAR NORTHERN BORDER...AS WELL AS IN FAR SOUTHEAST
ZONES. LOW SPINNING OFF THE COAST IS ALLOWING CONVECTIVE ACTIVITY
TO DEVELOP INLAND...AND LATER TODAY IT MIGHT GET AS FAR WEST AS
AFOREMENTIONED ZONES. FOR THE REST OF THE AREA...KFFC 12Z SOUNDING
SHOWS MIDLEVEL INVERSION NEAR 700MB. KBHM AND KTLH SHOWING SIMILAR
MIDLEVEL STABILITY...SO DO NOT EXPECT CAP TO BREAK. CAVEAT TO THIS
WOULD BE IMPULSE MOVING DOWN THROUGH ALABAMA CURRENTLY...IF THERE
WAS AN INVERSION PRESENT AT KOHX EARLY THIS MORNING...IT WAS
LIFTED OUT BY THE TIME THE SOUNDING WAS TAKEN. WITH THIS AND
SLOWLY APPROACHING FRONT...HAVE LEFT SLIGHT CHANCE NEAR NORTHERN
BORDER. IN ADDITION...BOTH RUC AND NAM (WRF) ARE INDICATING SOME
INSTABILITY UP NORTH...WITH THE LATTER HAVING MORE QPF. HOWEVER...
NAM ALSO WAS INDICATING PRECIP THIS MORNING...AND THIS WAS
VERIFIED ONLY WITH CLOUD COVER.
MADE MINOR ADJUSTMENTS TO SKY GRIDS AND TEMPS BASED ON CURRENT
TRENDS...BUT SHOULD MAKE LITTLE DIFFERENCE IN WORDING OF
FORECASTS. ZONES WILL BE OUT SHORTLY.
&&
.PREV DISCUSSION... (ISSUED 520 AM EDT SAT AUG 19 2006)
SHORT TERM...(TODAY THROUGH MONDAY)
PRIMARY FEATURE IN THE SHORT TERM PERIOD IS COLD FRONT WHICH
CURRENTLY IS LOCATED FROM GREAT LAKES REGION TO KANSAS CITY.
INTENSE MCS WHICH DEVELOP AHEAD OF FRONT FRI EVENING ACROSS MO HAS
DISSIPATED. LIKELY SEE ADDITIONAL MCS DEVELOPMENT TONIGHT ACROSS
KY/TN WHICH COULD SPILL INTO NRN ZONES LATE TONIGHT. GFS/NAM ALSO
INDICATING A POSSIBLE PRE...FRONTAL TROUGH/WAA ZONE TODAY EXTENDING
FROM FAR NORTH GA INTO OH VALLEY. THIS WAA ZONE RESULTS IN HIGHER
MEAN RH AND 20...30 POPS TODAY ACROSS NORTH GA. NOT SURE ON STRENGTH
OR VALIDITY OF THIS FEATURE GIVEN FAIRLY CLEAR SKIES ACROSS
INDICATED AREA ATTM. HAVE TRIMMED BACK POPS SOME FOR TODAY.
BY TONIGHT...THREAT FOR PRECIP WILL CONTINUE AS PRE...FRONTAL TROUGH
SLIDES THROUGH MUCH OF NORTH GA. PATTERN ALSO APPEARS FAVORABLE
FOR MCS DEVELOPMENT OVER TN/KY AS MENTIONED EARLIER. FOR SUNDAY
AND MONDAY...MODELS HAVE A CHANGE IN PLANS FOR US AS FRONT NOW
PROGGED TO HANG UP ACROSS TN/FAR NORTH GA WITH SFC LOW
REDEVELOPING OVER MID TO LOWER MS VALLEY. CHANGE APPEARS TO BE DUE
TO WEAKER S/W MOVING THROUGH NEW ENGLAND COMPARED WITH PREVIOUS
MODEL RUNS. EXPECT SCT CONVECTION MAINLY OVER NORTHERN 1/2 OF CWA
SUNDAY AND MORE WIDESPREAD CONVECTION MONDAY AS FRONT SHIFTS EAST
INTO CENTRAL TN...WRN AL...SE TX.
MAX TEMPS SEEM A LITTLE WARM GIVEN THREAT OF PRECIP...BUT GIVEN
MORE ISOLD...SCT COVERAGE AND WAA AHEAD OF FRONT...SHOULDNT BE TOO
HARD TO REACH LOWER 90S.
LONG TERM...(MONDAY NIGHT THROUGH FRIDAY)
FRONT STILL PROGGED TO MOVE SLOWLY...REACHING NORTH GA BY TUES AND
SLOWLY SAG SOUTH THROUGH LATE WED. NW FLOW OVER NEW ENGLAND
PROGGED TO INTENSIFY SFC ANTICYCLONE WED WHICH SHOULD EVENTUALLY
PUSH FRONT SOUTH OF CWA. SIMILAR TO WHAT OCCURRED LATE THIS WEEK
..COULD SEE SFC LOW DEVELOP IN THE GULF STREAM OFF SC COAST LATE
NEXT WEEK. GFS HINTS AT THIS AND IN FACT SPREADS MOISTURE AND
PRECIP BACK NORTH LATE FRI AND SAT. WEAKNESS IN H5 RIDGE ALSO
NOTED OVER FL.
TROPICAL DEVELOPMENT STILL NEEDS TO BE WATCHED. 00Z GFS NOT
SHOWING ANYTHING IMMINENT BUT 18Z DGEX DOES PROG TROPICAL
DISTURBANCE TO MOVE FROM YUCATAN STRAITS NE TOWARDS NRN FL
PENINSULA LATE FRI. 00Z GEM AND ECMWF DO NOT SUPPORT THIS HOWEVER.
AVIATION...
VFR CONDITIONS WILL CONTINUE THROUGH TONIGHT. A SHORT WAVE MOVING
OUT OF THE OHIO VALLEY WILL BRING A RISK OF THUNDER TO NORTH GA AFT
18Z. WILL GO WITH VCTS AT THIS TIME. RISK OF THUNDER SHOULD END
SHORTLY AFTER SUNSET. DO NOT EXPECT LOW CLOUDS TONIGHT HOWEVER THERE
WILL BE SOME LIGHT FOG WITH VSBYS AROUND 5 SM AFT 06Z MAINLY IN THE
AHN/FTY/MCN AREAS. WINDS WILL REMAIN EAST...SLOWLY SHIFTING TO THE
SOUTHEAST AFT 18Z...HOWEVER AFT 00Z SPEEDS WILL GO NEAR CALM.
.PRELIMINARY POINT TEMPS/POPS...
ATLANTA 90 72 91 73 / 5 10 30 20
ATHENS 91 70 92 70 / 10 10 30 20
GAINESVILLE 89 72 90 71 / 10 20 30 20
ROME 94 70 95 70 / 10 10 30 20
COLUMBUS 95 75 95 75 / 5 5 20 20
MACON 93 71 94 72 / 5 10 20 20
PEACHTREE CITY 91 67 92 69 / 5 10 20 20
CARTERSVILLE 91 69 92 70 / 10 10 30 20
&&
&&
.FFC WATCHES/WARNINGS/ADVISORIES...
NONE.
&&
$$
TDP
</PRE></TT></td> ga
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE LINCOLN IL
1033 AM CDT SAT AUG 19 2006
.DISCUSSION...
WILL BE UPDATING THE ZONE FORECAST AND GRIDS SHORTLY TO PUT IN SCT
SHOWERS AND ISOLD T-STORMS WITH 30 POPS FOR THIS AFTERNOON NORTH OF
THE I-72 CORRIDOR. SHOWERS AND A FEW T-STORMS ASSOCIATED WITH A WEAK
UPPER LEVEL SHORTWAVE/MCV IN SW IOWA EXPECTED TO CONTINUE MOVING
EAST TOWARD WCENT AND CENT IL THIS AFTERNOON. A LOW LEVEL BOUNDARY
EVIDENT ON THE RADAR MOSAIC WAS INTERSECTING THE PRECIP IN SOUTHERN
IOWA. THE MAIN SYNOPTIC FRONT WAS ANALYZED FROM JUST EAST OF CMI TO
STL. HOWEVER...VERY HUMID AIR PERSISTS BEHIND THE FRONT...WITH THE
DRIEST AIR JUST APPROACHING FAR NORTHERN IL. ALL OF THIS BODES WELL
FOR PRECIP TO KEEP MOVING INTO WCENT IL WITH ENHANCED LOW LEVEL
CONVERGENCE. THE 12Z RUC SEEMS TO HAVE A GOOD HANDLE ON THIS AS WELL.
FORECAST TEMPS ARE ON THE MARK...ESPECIALLY CONSIDERING THE
CLOUDINESS IN THE AREA...AND THE EXPECTED INCREASE IN CLOUD COVER IN
SOUTHWEST AREAS FROM WINCHESTER TO SPRINGFIELD WHERE THE SKY IS
MAINLY CLEAR AT THIS TIME.
&&
.PREV DISCUSSION...
SHORT RANGE MODELS NOT DOING THE BEST WITH ONGOING SCATTERED
CONVECTION SOUTH OF I-72 AND EAST OF I-55...THOUGH 06Z RUC
CAPTURES QPF FIELDS THE CLOSEST AND USED THIS AND RADAR TRENDS
THIS MORNING. AREAS OF DENSE FOG ALSO NOTED NW OF THE IL RIVER.
FORECAST CHALLENGE IS DEALING WITH THIS MORNING FOG AND IF DENSE FOG
ADVISORY NEEDED...AND THEN LOOKING AT CONVECTION CHANCES THIS
WEEKEND...AS CONVECTION CHANCES SUPPRESSED FURTHER SOUTH WITH TIME.
SHORT TERM...TODAY THROUGH TUESDAY...
07Z/2 AM SURFACE MAPS SHOWS 1013 MB (WEAK) LOW PRESSURE OVER NE IL
NEARW KANKAKEE WITH A FRONTAL BOUNDARY EXTENDING SW ACROSS CENTRAL
IL NEAR THE IL RIVER INTO NORTHERN MO NORTH OF I-70 AND TO 1012 MB
LOW OVER NORTHCENTRAL OK. MCS AND SHORT WAVE OVER NORTHERN INDIANA
AND FAR NE IL AND WEAKENING WITH ITS AREA OF CONVECTION. JUST WIDELY
SCATTERED SHOWERS LEFT OVER CENTRAL/SE IL EAST OF I-55 AND SOUTH OF
I-72. AN OUTFLOW BOUNDARY FROM MCS WAS OVER SE IL NEAR I-70. ANOTHER
MCS WAS OVER THE CENTRAL PLAINS OF NW MO AND EASTERN KS. TEMPS WERE
IN THE LOWER 70S AND CLOSE TO MATCHING DEWPOINTS AROUND 70F. DENSE
FOG WITH VSBY 1/4 TO 1/2 MILE AT GALESBURG...MACOMB AND PONTIAC.
ALOFT A 595 DM 500 MB SUBTROPICAL HIGH WAS OVER AR.
WEAK LOW PRESSURE AND SHORT WAVE IN NE IL MOVES EAST ACROSS THE
SOUTHERN GREAT LAKES TODAY WHILE LINGERING A FRONTAL BOUNDARY CLOSE
TO I-70. BEST CHANCES OF CONVECTION TODAY TO BE OVER SE IL WITH LESS
CHANCE NORTHERN AREAS. BUT THESE AREAS HAVE WIDESPREAD AREAS OF FOG
FROM THE IL RIVER NW AND DENSE AT GALESBURG...MACOMB AND PONTIAC.
LACON WAS DOWN TO 3/4 MILE AND NOW AT 1.25 MILES WHILE PEORIA WAS 4
MILES. WILL DECIDE BY 4 AM IF DENSE FOG ADVISORY NEEDED...BUT RIGHT
NOW LEANING ON NOT ISSUING ONE SINCE NOT WIDESPREAD ENOUGH YET. IF I
DID GO WITH ONE IT WOULD BE FAR NW COUNTIES BY GALESBURG. WILL BE
DROPPING THE FLOOD WATCH OVER EASTCENTRAL IL AT 4 AM FORECAST
PACKAGE SINCE CONVECTION CHANCES HAVE LOWERED BELOW LIKELY CHANCES.
SPC HAS SLIGHT RISK JUST SOUTH OF FLORA AND LAWRENCEVILLE TODAY.
FOLLOWED COOLER HIGHS TODAY WITH MORE CLOUDS AND LIGHT NORTH FLOW
WITH 80 TO 85F MOST AREAS EXCEPT SOME UPPER 80S FAR SE IL AT
LAWRENCEVILLE.
CONTINUED RISK OF CONVECTION THIS EVENING...THEN DRY AFTER MIDNIGHT.
ADDED SOME FOG TO SE IL OVERNIGHT WHERE WINDS ARE LIGHT AND AIR MASS
MORE MOIST AND FOG MAY BE NEEDED OVER CENTRAL IL TOO IF NORTH WINDS
LIGHT ENOUGH. ANOTHER SURFACE LOW MOVING ALONG FRONTAL BOUNDARY NEAR
THE OHIO RIVER SUNDAY BRINGS A CHANCE OF CONVECTION TO AREAS SOUTH
OF I-72 AND COULD LINGER A RISK IN SE IL INTO SUNDAY EVENING.
HIGH PRESSURE OVER THE NORTHERN PLAINS SETTLES INTO THE MIDWEST MON
AND TUE BRINGING DRY WEATHER WITH CONVECTION CHANCES SOUTH OF ILX
CWFA.
LONG TERM...WEDNESDAY THROUGH SATURDAY...
BUMPED UP HIGHS A FEW DEGREES DURING MID AND LATE WEEK TO MESH UP
BETTER WITH SURROUNDING OFFICES. NOT GOING QUITE AS WARM AS MEX
HIGHS IN THE UPPER 80S. ECMWF HAS BEEN MORE CONSISTENT OF THE
MEDIUM/EXTENDED MODELS WHICH CONTINUES TO SHOW AN UPPER LEVEL
TROUGH IN THE EASTERN U.S. AND AN UPPER LEVEL RIDGE IN THE WESTERN
U.S. DURING MID WEEK. A STRONGER WAVE MOVES INTO THE MIDWEST FRI/SAT
AND COULD BRING A RISK OF CONVECTION THEN.
&&
ILX WATCHES/WARNINGS/ADVISORIES...
NONE.
&&
$$
MILLER/HUETTL
</PRE></TT></td> il
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE INDIANAPOLIS IN
650 AM EDT SAT AUG 19 2006
.AVIATION...DISCUSSION FOR 12Z TAFS
FORECAST ISSUES FOR THIS SET WILL BE TO WHAT EXTENT THE LOW CIGS/VIS
WILL MAKE IT INTO CENTRAL INDIANA. KLAF CIGS ARE ALREADY BLO 1000
BUT THE REMAINDER OF THE SITES HAVE VFR CIGS BUT EITHER IFR OR MVFR
VIS.
RUC SOUNDINGS SHOW LOW LEVEL INVERSION LIFTING BY 10Z. HOWEVER
UPSTREAM OBSERVATIONS SHOW A WIDE AREA OF BLO 1000 CIGS AND BLO 2SM
VIS. THEREFORE AM SKEPTICAL THAT THE MODELS HAVE ANY SORT OF A
HANDLE ON THE CURRENT SITUATION. WILL GO WITH A BLEND OF
PERSISTENCE AND CLOSELY MONITOR UPSTREAM OBS FOR THE 12Z TAF SET.
NEXT ISSUE WILL BE WIND SHIFT WITH FROPA. MODELS HAVE BEEN SLOWING
THE COLD FRONT OVER THE LAST SEVERAL RUNS. AT THIS TIME IT LOOKS
LIKE FROPA WILL BE AT KLAF AROUND 16Z-18Z KIND-KHUF 18Z-20Z AND KBMG
19Z-21Z. DRY AIR LAGS WELL BEHIND THE FRONT AND WILL NOT MAKE IT
INTO THE KLAF AREA UNTIL SUNDAY. THAT SAID IFR/MVFR CONDITIONS ARE
POSSIBLE AGAIN TONIGHT AFTER 02Z.
&&
.PREV DISCUSSION...FOCUS ON CLDS/TEMPS AND PRECIP CHCS NEXT FEW
DAYS.
MODEL HANDLING OF THE LAST 24 HOURS WX AND TEMPS HAS BEEN DISMAL. AS
OF THIS AM...NONE OF THE MODELS HAD AN ACCEPTABLE HANDLE ON THE
NATURE OF THE ONGOING PRECIP. I WILL LEAN TOWARD A COOLER MAV/NWS
FCST TODAY BASED UPON FRI MAX TEMPS AND MOS WARM BIAS.
DIFFUSE SFC FRONT APPEARS TO BE LOCATED FROM LOWER MI INTO IL AND
NORTHERN MO. A WEAK WAVE ALSO APPEARS TO BE LOCATED ON THE FRONT
NEAR CHI. THIS IS A BIT SLOWER THAN THE MODELS HAD FCST. ALOFT...AT
850MB EVENING UPPER AIR SHOWED THE MAIN 850MB FRONT FROM KS INTO SE
WI WITH A SECOND BOUNDARY ACROSS THE DAKOTAS/MN. ALOFT...ONE WAVE
WAS LOCATED ACROSS IL/IN/MI WHILE ANOTHER...STRONGER WAVE WAS
TRAVERSING THE WESTERLIES ACROSS NORTHERN MN. YET MORE ENERGY SET TO
IMPACT THE REGION WAS LOCATED ACROSS THE CENTRAL ROCKIES.
FOR TODAY...EXPECT SCT TSRA TO MOVE ACROSS THE CWA THIS MORNING. BY
AFTERNOON, THE SFC/850MB FRONT SHOULD BE MAKING SOME PROGRESS ACROSS
THE CWA. 850MB WINDS SHOULD BECOME NW AND LATEST PROFILERS DO SHOW
THIS OCCURRING ACROSS IL/WI. NW WINDS FROM SFC-850MB SHOULD LOWER
THE PM RAIN THREAT ACROSS THE NW HALF OF THE CWA. AS WAS THE CASE
YESTERDAY...THERE SHOULD BE ABUNDANT CLD COVER TODAY BOTH AHEAD OF
AND IN WAKE OF THE SFC BOUNDARY. I FAVOR GOING COOLER THAN ALL MOS
WITH THIS IN MIND.
TONIGHT...ASIDE FROM LOW RAIN CHCS ACROSS THE SE PARTS OF THE CWA
NEAR THE FRONT SAGGING SE INTO OH/KY...THE NIGHT COULD END UP BEING
DRY. REMNANT MOISTURE COULD ALSO LEAD TO FOG FORMATION ESPECIALLY
SOUTH OF I-70. FCST LOWS REFLECT A BLEND OF MOS AND I WILL NOT
CHANGE.
SUN...BOTH THE ETA AND GFS ARE NOW FCSTNG ANOTHER WAVE TO DEVELOP
ALONG THE 850MB BOUNDARY ACROSS MO LATE SAT NIGHT WITH ASSOCIATED
PRECIP MOVING INTO SOUTHERN IL AND SOUTHERN IN ON SUNDAY. BASED ON
THE UPPER FLOW I WILL LIMIT RAIN CHCS TO AREAS SOUTH OF A HUF TO BAK
LINE BOTH SUNDAY AND SUN NIGHT. I ALSO LIKE THE COOLER MAV GUIDANCE
BOTH SUN AND MON GIVEN EXPECTED NE SFC FLOW AND THE POTENTIAL FOR
MORE CLD COVER. ECMWF AND GFS ARE ALSO SHOWING THAT THE SFC/850MB
FRONT MAY LINGER NEAR THE OH/IN BORDER THROUGH TUES AS ANOTHER WEAK
WAVE MOVES JUST SOUTH OF THE STATE. FOR NOW I WILL LIMIT RAIN CHCS
TO SUN NIGHT GIVEN RECENT CHANGES AND SKETCHY MODEL PERFORMANCE.
TUES AND BEYOND...NO CHANGES WILL BE MADE TO THE GOING FCST. ECMWF
WHICH HAS BEEN CONSISTENT OF LATE STILL SHOWS A EASTERN U.S. TROUGH
AND WESTERN RIDGE INTO WEDS-THURS BEFORE A STRONGER WAVE MOVES INTO
THE MIDWEST FRI. THE GFS IS NOW BUILDING THE RIDGE AND KEEPING TEMPS
WARMER WITH DRY CONDS THROUGH THE END OF THE WEEK. THE GOING FCST
REFLECTS THE MORE CONSISTENT ECMWF FCST.
&&
.IND WATCHES/WARNINGS/ADVISORIES...NONE.
$$
PUBLIC...CO
AVIATION...SALLY
</PRE></TT></td> in
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TOPEKA KS
240 PM CDT SAT AUG 19 2006
.DISCUSSION...
TONIGHT AND SUNDAY...
MCV APPCHG WRN PTN OF CWA THIS AFTN HAS ATTENDANT SHOWERS. NONE OF
MODELS HANDLING THIS WELL...HOWEVER, RUC HAS TREND CORRECT IF
SOMEWHAT FAST. BECAUSE OF THIS, AND GIVEN ONGOING PCPN UPSTREAM,
HAVE DECIDED TO INCLUDE SOME LOWER END POPS AT LEAST THIS EVENING
OVER ALL THE CWA. IF TREND OF RUC CONTINUES, THIS MCV SHOULD MOVE
EAST OF AREA BY LATE EVENING AND ONLY LINGERING CHANCE WILL BE AS
EARLIER DEPICTED ALONG SRN CWA CLOSER TO BAROCLINIC ZONE. APPEARS
THIS ZONE WILL WEAKEN WITH TIME IF MODELS ARE CORRECT...AND CHCS FOR
PCPN END BY MRNG. STILL HAVE A CONCERN FOR LOTS OF HIGH CLOUDS OVER
THE AREA IN SUBTROPICAL MOISTURE PLUME. THE TRAJECTORY FOR THIS
PLUME APPEARS FAVORABLE FOR THE HIGH CLOUDS INTO SUNDAY. THUS,
CONDITIONS FOR FOG TONIGHT MAY BE A FUNCTION OF HOW MUCH HIGH
CLOUDINESS FORMS/PERSISTS OVER THE AREA. OTHER FCST CONDITIONS
APPEAR IDEAL FOR SOME DENSE FOG WITH RECENT RAINS OCCURRING AND
LIGHT WINDS OVERNIGHT. THE BNDRY LYR DOES APPEAR RATHER MOIST
INITIALLY AND WHETHER THIS CAN BE MODIFIED DOWN A BIT OVRNGT PER
FCST TO IMPROVE FOG CHANCES REMAINS TO BE SEEN. IN ANY CASE, WON'T
TOUCH CURRENT GRID DEPICTION OF FOG FCST MAINLY ALONG/NORTH OF THE
TURNPIKE.
WITH AFOREMENTIONED CONCERNS INTO TMRW, WILL SHOW LITTLE CHANGE TO
ONGOING FORECAST. EVEN THOUGH BAROCLINIC ZONE MAY BE WEAKENING, IT
IS STILL CLOSE ENOUGH TO BE OF CONCERN FOR CLOUDS AND PSBL LIGHT
PCPN SRN HALF OF CWA. FOR NOW, WILL MAINTAIN CURRENT DRY FCST. TEMPS
ONLY SLGTLY ADJUSTED.
SUNDAY NIGHT THROUGH TUESDAY...
THE EARLY WEEK PERIODS LOOK BENIGN AS HEIGHTS RISE TO THE WEST
BEHIND A SYSTEM MOVING THROUGH EASTERN CANADA. HIGH PRESSURE WILL
DOMINATE THE LOW LEVELS WITH VERY LIGHT WINDS. MAIN CONCERN FOR
HAZARDOUS CONDITIONS IS FOG. MODELS ARE CONSISTENT WITH HIGH LEVEL
CLOUDS STREAMING OVERHEAD SUNDAY NIGHT AND INTO MONDAY...POSSIBLY
ENHANCED BY THE JET MAX TO THE EAST-NORTHEAST...AND WITH ANOTHER DAY
OF SURFACE DRYING...EXPECT FOG TO BE ONLY PATCHY AT THE MOST AT THIS
TIME. SOME DIFFERENCES EXIST ON THE DEPTH...STRENGTH...AND
PERSISTENCE OF FRONTAL INVERSION...BUT A SLOW WARMING TREND IS
STILL EXPECTED AND ONLY MINOR CHANGES WERE MADE TO THE PREVIOUS
TEMPERATURE FORECASTS.
TUESDAY NIGHT THROUGH SATURDAY...
THERE IS GOOD AGREEMENT IN THE MEDIUM RANGE MODELS OVER THE PAST FEW
RUNS AND RECENT DAY 5 SKILL SCORES HAVE BEEN RELATIVELY HIGH. UPPER
RIDGING OVER THE ROCKIES TO BE BROKEN DOWN BY A COUPLE OF SHORTWAVE
TROFS...ONE THAT WILL STAY TO THE NORTH THURSDAY AND A LONGER
WAVELENGTH TROF COMES IN BEHIND LATE FRIDAY. THIS SECOND WAVE WILL
LIKELY BRING A COLD FRONT INTO THE PLAINS AND PROVIDE SOME CHANCE
FOR THUNDERSTORMS FOR FRIDAY NIGHT AND SATURDAY. BEFORE THEN...A
RATHER NONDESCRIPT PATTERN SHOULD KEEP SIGNIFICANT WEATHER IN CHECK
WITH TEMPERATURES NEAR TO SOMEWHAT ABOVE NORMAL.
&&
.TOP WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
</PRE></TT></td> ks
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE LOUISVILLE KY
1030 AM EDT SAT AUG 19 2006
.MORNING UPDATE...
TWO REASONS FOR MORNING UPDATE...FIRST TO REMOVE ALL MORNING WORDING
FROM THE FORECAST. SECOND IS TO DEAL WITH TWEAKS TO THE FORECAST
NEEDED ON BOTH TEMPS AND POPS. CURRENT RADAR TRENDS ALONG WITH RUC
MODEL DATA SHOWING BEST CHANCES FOR PRECIP STILL LOOK TO BE NORTH OF
THE OHIO RIVER EARLY THIS AFTERNOON...THEN MORE SO IN OUR EASTERN
ZONES ACROSS THE BLUEGRASS REGION SOUTHWARDS INTO THE LAKE
CUMBERLAND REGION LATER THIS AFTERNOON. HAVE SLIGHTLY RAISED POPS IN
THE LIKELY CATEGORY IN EACH OF THOSE REGIONS. CLOUD COVER HAD KEPT
POPS SLIGHTLY UNDER FORECASTED TEMPS IN THE HOURLY GIRDS THROUGH
10AM ACROSS MUCH OF THE NORTHERN AND WESTERN PORTIONS OF THE
FORECAST AREA...HAVE LOWERED HIGHS JUST A DEGREE OR TWO WITH PRECIP
AND SIGNIFICANT CLOUD COVER THAT SHOULD REMAIN AT LEAST THROUGH THE
EARLY AFTERNOON HOURS. FORECAST SOUNDINGS SHOW PWATS WELL ABOVE 2
INCHES...AND 16+K FT FRZ LVLS...HIGH EFFICIENT PRECIP WILL BE LIKELY
IN STRONGER STORMS...HAVE MENTIONED HEAVY RAINFALL IN ZONES AND WILL
CONTINUE THIS THEME IN HWO. SEVERE THREAT LOOKS LIMITED ACROSS THE
NORTHERN ZONES DUE TO MORE CLOUD COVER DAMPENING THE
HEATING/INSTABILITY...SOUTHERN AREAS MAY SEE AN ISOLATED DOWNBURST
WITHIN ANY STRONG STORMS. --SCHOTT
PREVIOUS DISCUSSION SENT AT 240 AM EDT
SHORT TERM (TODAY-TONIGHT)...
CONVECTIVE COMPLEX ONGOING OVER CNTRL/SRN PARTS OF IL...MOVING INTO
WRN IN AS OF 630Z. THIS PCPN IS BEING DRIVEN BY SMALL SCALE SHORT
WAVE TRANSLATING EASTBOUND ALONG NRN PERIPHERY OF STRONG UPPER RIDGE
CENTERED OVER SRN STATES. IN CONJUNCTION WITH THIS...A FRONTAL
BOUNDARY IS LOCATED ROUGHLY FROM THE GREAT LAKES BACK INTO THE CNTRL
HIGH PLAINS.
HAVE HEAVILY WEIGHTED THIS FCST TOWARD THE 21Z/18 SREF ENS MEAN...
WHICH PICKED UP ONGOING PCPN REASONABLY WELL. BASED ON CURRENT
TRAJECTORY OF CONVECTION AND SREF SOLN...FEEL THAT BEST CHANCES
THROUGH 12Z WILL BE N OF THE LMK CWA...THOUGH WILL KEEP SOME 30/40
POPS IN OUR NRN ZONES TO ACCOUNT FOR ACTIVITY THAT MAY DEVELOP
SOUTHWARD WITHIN VERY MOIST AIRMASS (0Z OHX/ILX SOUNDING PWS ABOUT
150% OF NORMAL...OHX K-INDEX=38 WHICH IS QUITE HIGH). THERE MAY BE A
LULL IN PRECIP COVERAGE TOWARD MID/LATE MORNING...WITH A SCT-BKN
MID-DECK OF CLOUDS REMAINING.
INTO THE AFTN/EARLY EVE...SREF DATA SHOWS PRECIP INCREASING
CONSIDERABLY AS SFC FRONT PUSHES NEAR TO THE CWA AND AIRMASS
DESTABILIZES. LOCALLY THERE MAY BE TWO MAXIMA IN PRECIP COVERAGE
DURING THIS PERIOD...ONE FROM THE BLUEGRASS NEWD CLOSER TO BETTER
PROJECTED LOW LEVEL MASS CONVERGENCE...AND ANOTHER OVER SRN/WRN KY
ALONG OUTFLOW BOUNDARIES FROM ONGOING CONVECTION AND WHERE BETTER
INSTABILITY WILL LIKELY BE. WILL INCREASE POPS TO 50/60%...HIGHEST
IN THE BLUEGRASS CONSISTENT WITH SREF DATA. A THREAT FOR STRONG TO
SEVERE STORMS EXISTS...WET MICROBURST INDEX/CRAVEN SIG SVR
PARAMETERS HIGHLIGHT WRN/SRN SECTIONS OF THE DISTRICT BETWEEN 18-00Z
TODAY FOR SEVERE POTENTIAL. WHILE HIGH WINDS AND FREQ LIGHTNING ARE
THREATS...WITH PWS SO MUCH ABOVE NORMAL AND FRZ LEVELS ABOVE 16KFT
THE PRECIP EFFICIENCIES WILL BE ENHANCED SO WE WILL HAVE TO WATCH
FOR LOCALLY HEAVY RAIN/FLOODING.
SREF INDICATES THAT TSRA COVERAGE OVER THE CWA WILL DIMINISH AFTER
3-6Z TONIGHT...AS SFC FRONT IS FCST TO SLIDE JUST S/E OF THE CWA.
WILL STILL CONTINUE 20-30 POPS PAST MIDNIGHT WITH HIGH K-INDICES
REMAINING IN THE VICINITY.
ANOTHER ISSUE THIS MORNING HAS BEEN FOG. WITH AT LEAST PARTIALLY CLR
SKIES OVER MUCH OF THE CWA...VSBYS HAVE DROPPED INTO THE MVFR RANGE
(3-5SM)...WITH LOCALIZED REDUCTIONS BELOW 1/2SM PRIMARILY S/E OF A
BWG-LEX LINE WHERE SCT TSRA OCCURRED FRIDAY AFTERNOON. FEEL THAT
MAIN FOG THREAT THROUGH 12Z WILL BE IN THESE AREAS...AND HAVE ISSUED
AN SPS...HOWEVER IF FOG BECOMES MORE WIDESPREAD THEN AN ADVISORY MAY
BE WARRANTED. MOS DATA INDICATING THAT HAZE WILL CONTINUE THROUGHOUT
MUCH OF TODAY SIMILAR TO YESTERDAY. WITH PRESUMPTION OF RAINFALL
TODAY OVER MUCH OF THE CWA...HAVE ADDED PATCHY FOG LATE TONIGHT AS
LOW LEVEL WINDS WILL BECOME LIGHT WITH TROF AXIS IN THE VICINITY.
REGARDING TEMPS...I SUSPECT THAT MAX READINGS TODAY ACROSS THE SRN
IND/LOU/LEX AREAS WILL BE SLIGHTLY COOLER THAN YESTERDAY WITH
ENHANCED CLOUD COVER EXPECTED...HOWEVER ACROSS SRN KY WHERE MORE SUN
IS LIKELY HAVE GONE WITH MORE OR LESS A PERSISTENCE FCST. HEAT INDEX
VALUES DOWNSTATE MAY APPROACH 100 THIS AFTN.
CS
LONG TERM (SUNDAY-FRIDAY)...
SUNDAY THROUGH MONDAY NIGHT...
THIS PERIOD APPEARS TO BE THE MOST CHALLENGING IN THAT THE NUMERICAL
MODELS HAVE STARTED A TREND IN SLOWING DOWN THE SFC FRONTAL BOUNDARY
AS PRESSES SOUTH THROUGH THE REGION. IN THE UPPER LEVELS...PATTERN
CHANGE WILL GET UNDERWAY AT THE BEGINNING OF THE PD AS UPPER LEVEL
RIDGE RETROGRADES WESTWARD AND A BAGGY MEAN TROF TAKES SHAPE OVER
THE EASTERN U.S. THE TREND IN THE GFS NOW IS CAPTURING A DECENT MID
LEVEL WAVE COMING EAST ALONG THE PERIPHERY OF THE DEPARTING RIDGE.
THIS FEATURE ALONG WITH THE SLOW MOVING FRONT SUGGESTS THAT
PRECIPITATION WILL CONTINUE SUNDAY NIGHT AND THROUGH THE DAY ON
MONDAY. FOR SUNDAY...WITH FRONT IN THE AREA...WE EXPECT GENERALLY
CLOUDY SKIES WITH SHOWERS AND STORMS COMING IN DURING THE AFTERNOON
AHEAD OF ABOVE MENTIONED WAVE. BASED ON THE CURRENT MODEL
TRENDS...HAVE INCREASED KEPT POPS IN THE FCST SUNDAY NIGHT AND
THROUGH MONDAY AS THIS FEATURE MOVES THROUGH. RIGHT NOW PLAN ON
KEEPING POPS IN THE LOW CHANCE CATEGORY AND POSSIBLY UPPING THEM
LATER ON DEPENDING ON FUTURE MODEL RUNS. TEMPERATURES WILL BE
MODULATED BY CLOUDS AND PRECIP. HOWEVER GENERAL CONSENSUS OF THE
MAV AND MET SUGGEST HIGHS IN THE LOWER 80S ACROSS SOUTHERN INDIANA
AND MID TO UPPER 80S ACROSS KY. OVERNIGHT LOWS WILL BE MILD WITH
LOWS IN THE UPPER 60S TO AROUND 70. HIGHS MAY BE A BIT COOLER ON
MONDAY IF GFS SOLUTION VERIFIES AND WE GET A DECENT RAIN. FOR NOW
WILL TREND TEMPS CLOSER TO THE GFS ENSEMBLE MEANS.
TUESDAY THROUGH FRIDAY...
NOT MUCH CHANGE FROM THE PREVIOUS FCST IS EXPECTED IN THE PERIOD.
MAJORITY OF THE EXTENDED MODEL DATA CONTINUE TO SUPPORT THE SOUTHERN
U.S. RIDGE RETROGRADING WESTWARD LEAVING MORE OF A BAGGY TROF ACROSS
THE EASTERN UNITED STATES. THE OHIO VALLEY WILL REMAIN GENERALLY IN
NORTHWEST FLOW ALOFT THROUGH THE PERIOD. WITH THE STORM TRACK WELL
NORTH OF OUR AREA...GENERALLY DRY WEATHER IS EXPECTED THROUGH THE
PD. 00Z GFS SOLUTION SHOWS A BIT OF HEIGHT RISES BY THE END OF THE
PD AS TROFFING REDEVELOPS IN THE PACIFIC NORTHWEST AND THEN FURTHER
DEVELOPS INTO A HEALTHY MID LEVEL TROF OVER THE NORTHERN PLAINS BY
LATE FRIDAY. OPERATIONAL MOS GUIDANCE SHOWS TEMPERATURES MODERATING
THROUGH THE PERIOD WITH HIGHS IN THE MID TO UPPER 80S WARMING TO
NEAR 90 BY FRIDAY...WITH OVERNIGHT LOWS IN THE UPPER 60S TO AROUND
70. FOR NOW...WILL NOT MAKE WHOLESALE CHANGES THROUGH THIS
PERIOD...BUT WILL ADJUST TEMPERATURES CLOSER TO THE ENSEMBLE MEANS.
-MJ
&&
.LMK WATCHES/WARNINGS/ADVISORIES...
KY...NONE.
IN...NONE.
&&
$$
</PRE></TT></td> ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
149 PM EDT SAT AUG 19 2006
.AVIATION...
SURFACE LOW EXTENDS FROM SOUTHERN LAKE HURON TO WESTERN LAKE
ERIE...WITH VIS SATELLITE/METARS SHOWING WIDESPREAD IFR CONDITIONS
ACROSS MUCH OF SOUTHERN LOWER MICHIGAN. FNT IS ON THE FRINGE AND MBS
IS PRETTY MUCH OUT OF THE LOW CIGS...BUT VISIBILITIES CONTINUE TO
HOVER AROUND 1-2SM IN THE SOUTHERN CWA/3-5SM IN THE NORTHERN CWA.
REGIONAL RADAR SHOWS LIGHT DRIZZLE NEAR THE SURFACE LOW...WITH MORE
CONVECTIVE LOOKING SHOWERS STARTING TO DEVELOP ACROSS CENTRAL LOWER.
STRONGEST REFLECTIVITIES ARE FARTHER NORTHWEST...NEAR THE COMPACT
UPPER SHORTWAVE/STRONG JET AXIS...WHERE MID-LEVEL LAPSE RATES ARE
STEEPER AND CLOUDS HAVE BEEN THINNER THROUGH THE DAY...ALLOWING FOR
BETTER INSOLATION. THE BETTER DYNAMICS/INSTABILITY ACROSS NORTHERN
LOWER WILL JUST BRUSH THE NORTHERN CWA. BASED ON LINEAR
EXTRAPOLATION FOR TIMING...ADDED A TEMPO FOR TSRA MBS FROM 22-24Z.
OTHERWISE WILL PLAY DTW/DET MORE PESSIMISTIC...HOLDING ONTO MVFR
CLOUDS INTO THE EVENING. AS THE SURFACE LOW MOVES INTO SOUTHEAST
ONTARIO...NORTHERLY FLOW PICKS UP OVERNIGHT WHICH SHOULD HELP TO
SCOUR OUT SOME OF THE LOW-LEVEL MOISTURE. HOWEVER NAM/GFS SOUNDINGS
SHOW ALL TAF SITES REMAINING SOCKED IN. BROUGHT IN A BRIEF PERIOD OF
VFR THIS EVENING...THEN DROPPED CIGS BACK DOWN TO MVFR/IFR AROUND
SUNRISE. THE BETTER MIXING WITH THE INCREASING GRADIENT SHOULD LIMIT
FOG POTENTIAL DESPITE THE MOIST BOUNDARY LAYER FROM THE RAIN
TODAY...LEADING TO MORE OF A LOW STRATUS CONCERN.
&&
.PREV DISCUSSION...ISSUED 1132 AM EDT SAT AUG 19 2006
UPDATE...
BROAD SURFACE LOW OVER SOUTHERN LOWER MICHIGAN WILL MOVE INTO
ONTARIO/LAKE ERIE THIS AFTERNOON. WIDESPREAD SHOWERS IN THE DEEP
WARM/MOIST ADVECTION AHEAD OF THIS SYSTEM ARE JUST EXITING THE
EASTERN CWA...WITH REGIONAL RADARS/METARS SHOWING LIGHT
SHOWERS/DRIZZLE LINGERING BACK TO THE WEST. 14Z TAMDAR ASCENT
SOUNDINGS TO THE WEST OUT OF DTW SHOW THE DEEP MOISTURE ALREADY
STRIPPING AWAY...BUT WITH THE COLUMN 700MB AND BELOW REMAINING
SATURATED. 12Z RUC/NAM HAVE A DECENT HANDLE ON THE SURFACE LOW
POSITION...AND BOTH SHOW A TROUGH LINGERING BACK ACROSS SOUTHEAST
MICHIGAN INTO THIS EVENING...AHEAD OF THE STRONGER NORTHERN STREAM
SYSTEM OVER THE NORTHERN GREAT LAKES. GIVEN THE ABUNDANT LOW-LEVEL
MOISTURE THAT IS EXPECTED TO PERSIST THROUGH MUCH OF THE DAY
/LIFR-IFR CIGS EXTEND WESTWARD TO LAKE MICHIGAN/...WILL CARRY
SCATTERED LIGHT SHOWERS ACROSS THE BOARD. AM NOT TOO IMPRESSED WITH
THUNDER CHANCES THIS AFTERNOON...GIVEN THE NEARLY MOIST ADIABATIC
PROFILE AND LOSS OF THE DEEP MOISTURE. HOWEVER THERE STILL LOOKS TO
BE A SHOT ACROSS THE NORTHERN/NORTHEASTERN CWA BY LATE AFTERNOON...
AS SOME MID-LEVEL COOLING ASSOCIATED WITH THE NORTHERN SHORTWAVE
HELPS TO STEEPEN LAPSE RATES A BIT.
SHORT TERM...TODAY AND TONIGHT
WEAK DEVELOPING SURFACE LOW PRESSURE EXPECTED TO MOVE ACROSS FAR
SOUTHERN LAKES REGION TODAY VIA FAIR MODEL CONSENSUS. NAM/RUC SEEM A
BIT THE BEST IN HANDLING PRESSURE PATTERN CURRENTLY...SO WILL BE
PREFERRED FOR DETAILS. THIS LOW THEN WILL CONTINUE ON TO THE EAST
TONIGHT AHEAD OF APPROACHING RIDGE WEST OF THE AREA. AT 500
MB...PATTERN RATHER DIRTY...WITH NUMEROUS WEAK VORTICITY IMPULSES IN
WESTERLY FLOW TODAY BUT LARGELY EXITING AREA THIS MORNING. THEN...
MAIN SHORTWAVE TROUGH WEST OF THE NORTHERN LAKES REGION SWINGING
SOUTHEAST OVER AREA TONIGHT.
DEEPER MOISTURE...AS PER 850 TO 500 MB LAYER...PRETTY GOOD
TODAY...ESPECIALLY THIS MORNING AND ESPECIALLY SOUTH...LESSENING
THIS AFTERNOON AND MORE SO TONIGHT. LOWER MOISTURE AS AT 925 MB
QUITE GOOD THROUGH TONIGHT...SO CLOUDS SHOULD PREVAIL.
850 TO 700 MB OMEGA FIELDS SHOW QUITE ROBUST ASCENT THIS
MORNING...GENERALLY 5 TO 10 UBAR/S...THEN LINGERING BUT LESSENING
THIS AFTERNOON BEFORE ENDING TONIGHT. 850 TO 500 MB QVECTOR
CONVERGENCE/IMPLIED ASCENT WEAK AND MAINLY THIS MORNING. 850 TO 700
MB DEFORMATION SEEN MUCH OF TODAY...ESPECIALLY SOUTH...WITH MODEST
LOW LEVEL WIND CONVERGENCE ACCOMPANYING LOW TODAY AND CARRYING OVER
INTO THIS EVENING WITH LOW LEVEL CYCLONIC FLOW LINGERING.
MODELS DOING POORLY OVERNIGHT WITH QPF AREAL DEPICTION. FORECAST IS
TAILORED MORE TOWARD THE SUPPORTING DYNAMICS...WHICH ARE IN BETTER
AGREEMENT WITH CURRENT TRENDS. THUS...NUMEROUS POPS IN SOUTHERN 4
COUNTIES THIS MORNING AND CHANCE REMAINDER OF AREA...CHANCE POPS
ENTIRE AREA THIS AFTERNOON AND EVENING...ONLY SLIGHT CHANCE LATE
TONIGHT.
THUNDER WILL BE MENTIONED ALL AREAS TODAY...THOUGH INSTABILITY
PARAMETERS ON THE WEAK SIDE...SUCH AS CAPE AND LIFTED INDICES...
AND LAPSE RATES IN 850 TO 500 MB LAYER LACKING STEEPNESS. GUIDANCE
TEMPERATURES ADHERED TO CLOSELY THROUGH TONIGHT.
LONG TERM...SUNDAY THROUGH FRIDAY
THE WESTERLIES WILL BE QUITE ACTIVE ACROSS THE NORTHERN CONUS THIS
UPCOMING WEEK AS SEVERAL SHORT WAVES SEEN IN THE H2O VAPOR LOOP
ACROSS ALASKA INTO THE GULF OF ALASKA TRACK ACROSS THE U.S./CANADIAN
BORDER. WHILE TIMING AND EVENTUAL SYNOPTIC IMPACTS REMAIN TO BE
SEEN...LATEST TRENDS IN THE NUMERICAL SUITE ARE POINTING TOWARD A
WEAKER FROPA TUESDAY THEN A POTENT FROPA FRIDAY-SATURDAY TIME FRAME.
FIRST ISSUE IS CURRENT SHORT WAVE APPROACHING THE ARROWHEAD OF
MINNESOTA. WHILE THIS IS A SHORT TERM CONCERN...ITS AFFECTS MAY
LAST INTO SUNDAY MORNING AS THIS WAVE DEPARTS. WHILE SUBSIDENCE IS
EXPECTED...CYCLONIC FLOW ALOFT AND SOME LOW-MID LEVEL MOISTURE
INTERACTING WITH THE APPROACH OF THE 500MB COLD POOL COULD BE ENOUGH
FOR A BRIEF SHOWER IN THE MORNING. HENCE THE LOW POP AND A SLIGHT
CHANCE WORDING. THEN SKIES WILL IMPROVE THROUGH THE AFTERNOON WITH
FASTER IMPROVEMENT NEAR LAKE HURON WITH THE SHOT OF COOL ADVECTION
AND MINIMAL LAPSE RATES. FURTHER INLAND...WITH THE INSOLATION AND
DIFFERENTIAL HEATING COULD SET UP A HEALTHY CU FIELD BUT WITH AMPLE
DRY AIR ALOFT...THIS TOO SHOULD MIX OUT QUICKLY BY LATE AFTERNOON.
WITH 850MB TEMPS DROPPING BACK TO AROUND 10C...AND A LATE START TO
THE SUNSHINE...TEMPERATURES SHOULD TOP OUT INTO THE MID-UPPER 70S (A
FEW DEGREES COOLER NEAR LAKE HURON).
HIGH PRESSURE SETTLES INTO THE STATE SUNDAY NIGHT INTO MONDAY WITH A
NEAR DRY COLUMN AND LIGHT WINDS. CONCERN SUNDAY NIGHT COULD BE SOME
PATCHY FOG...ESPECIALLY IF WE DO GET SOME PRECIP...WITH IDEAL
RADIATIONAL COOLING CONDITIONS. TEMPERATURES SHOULD DROP BACK INTO
THE 50S FOR MOST LOCATIONS SUNDAY NIGHT AND WITH NEARLY FULL
SUNSHINE MONDAY CLIMB QUICKLY INTO THE LOWER 80S WITH A 2-3 DEGREE
REBOUND AT 850MBS.
AFOREMENTIONED FRONTAL SYSTEM CURRENTLY ACROSS NORTH-CENTRAL CANADA
BEGINS ITS APPROACHES THE UPPER LAKES REGION LATE MONDAY AND SAGS
SOUTHWARD THROUGH TUESDAY. AS MENTIONED IN PREVIOUS
AFD/S...MOISTURE AND UPPER SUPPORT WILL BECOME FURTHER REMOVED
THROUGH TUESDAY SO CHANCES FOR CONVECTION LOOK SMALL (30%) AT THIS
TIME. THE GFS BEGINS TO SHOW ITS CONVECTIVE ISSUES WHILE THE NMM
LOOKS A LITTLE BETTER BUT TOO SLOW WITH THE MOVEMENT OF THIS FRONT
WHEN COMPARED TO THE ECMWF/UKMET/WRF-HEMI. IN FACT IF THE WRF-HEMI
IS CORRECT...THIS FRONT WILL CLEAR THE REGION EARLY TUESDAY WHICH IS
NOT UNREASONABLE GIVEN THE STRENGTH OF WAVE IN THE GULF OF ALASKA
TRACKING ACROSS CENTRAL CANADA.
THEN THE GREAT LAKES RETURN TOWARD HIGHER PRESSURE FOR THE MID WEEK
PERIOD WITH SEASONABLE TEMPERATURES AND COMFORTABLE HUMIDITY LEVELS
FROM CANADA. THEN CHANGES ARE EXPECTED BY WEEKS END INTO THE
WEEKEND. LATEST ECMWF AND GFS SUGGEST A RATHER ROBUST COLD FRONT TO
IMPACT THE PLAINS AND MISSISSIPPI RIVER VALLEY LATE THURSDAY INTO
FRIDAY. TIMING REMAINS AN ISSUE AS THE GFS IS QUITE STRONG WITH THE
CONVECTIVE FEATURES THAT MAY PLAY HAVOC WITH THE SYNOPTIC PATTERN.
HOWEVER...FAIRLY GOOD AGREEMENT WITH ADDITIONAL SHORT WAVE SUPPORT
DIVING INTO THE BACKSIDE OF THIS FRONT INTO THE NORTHERN PLAINS THE
START OF THIS UPCOMING WEEKEND. THIS COULD PROVE TO BE A ACTIVE
SEVERE WEATHER PATTERN FOR THE EASTERN CONUS WITH STRONG LOW LEVEL
JET SIGNALS (30-40KTS) AND AMPLE MOISTURE TRANSPORT FROM THE GULF OF
MEXICO. SO THE CHANCE FOR SHOWERS/THUNDERSTORMS HOLDS THROUGH
FRIDAY AND EXTENDED INTO SATURDAY AT THIS TIME. WITH 850MB TEMPS
CLIMBING BACK INTO THE UPPER TEENS...WE COULD SEE TEMPERATURES
CLIMBING INTO THE MID AND PERHAPS UPPER 80S ASSUMING AMPLE SUNSHINE
OCCURS.
&&
.DTX WATCHES/WARNINGS/ADVISORIES...
MI...NONE.
LAKE HURON...NONE.
LAKE ST CLAIR...NONE.
MI WATERS OF LAKE ERIE...NONE.
&&
$$
UPDATE.......BRAVENDER
AVIATION.....DWD
SHORT TERM...DWD
LONG TERM....BGM
YOU CAN OBTAIN YOUR LATEST NATIONAL WEATHER SERVICE FORECASTS ONLINE
AT WWW.WEATHER.GOV/DETROIT (ALL LOWER CASE).
</PRE></TT></td> mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MARQUETTE MI
1147 AM EDT SAT AUG 19 2006
.DISCUSSION...
THE MAIN CONCERN WITH THIS FORECAST UPDATE IS THE RAIN POTENTIAL FOR
TODAY.
WATER VAPOR IMAGERY AND RUC SHOWING A SHORTWAVE OVER CENTRAL LAKE
SUPERIOR AND ANOTHER OVER THE DULUTH AREA. A ZONAL FLOW CONTINUES
FROM THE DULUTH AREA WEST TO WEST COAST. A SURFACE LOW IS OVER
SOUTHEAST LOWER MICHIGAN SHIFTING SOUTHEAST. A 1020MB RIDGE
STRETCHES FROM CENTRAL ONTARIO INTO THE DAKOTAS. RAIN IS OCCURRING
UNDER A CLOUDS SHIELD WHICH SLOWLY MOVING EAST. THE CLOUD SHIELD
LINES UP WELL WITH THE 70 PERCENT SURFACE TO 500MB MEAN RH. DRY AIR
IS ADVECTING INTO THE AREA FROM THE WEST.
THE SHORTWAVES OVER LAKE SUPERIOR AND DULUTH WILL MOVE RAPIDLY
THROUGH THE FORECAST AREA TODAY REACHING NORTHERN LOWER MICHIGAN BY
LATE AFTERNOON. A MID LEVEL LOW WILL DEVELOP OVER THE CYXZ AREA.
ANOTHER WEAK SHORTWAVE WILL SLIDE INTO THE DULUTH AREA LATE. THE
SURFACE RIDGE WILL SHIFT INTO CENTRAL AND WESTERN LAKE SUPERIOR THIS
AFTERNOON. RUC/NAM SHOW THAT THERE WILL BE ENOUGH MOISTURE TO
PRODUCE SHOWERS THIS AFTERNOON...HOWEVER...GFS DOES NOT SHOW THIS.
IT INDICATES THAT IT MAY BE TOO DRY. SATELLITE DOES NOT SHOW ANY
PRECIPITATION WITH THIS SHORTWAVE SO FAR...WHICH IS WHAT GFS
SHOWS...SO WILL FAVOR THE GFS SOLUTION FOR NOW. CLOUD COVER AND COLD
AIR ADVECTION WILL HELP TO HOLD THE TEMPERATURES DOWN...SO WILL NOT
MAKE ANY MAJOR CHANGES AT THIS TIME.
&&
.MQT WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
DLG
</PRE></TT></td> mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
1132 AM EDT SAT AUG 19 2006
.UPDATE...
BROAD SURFACE LOW OVER SOUTHERN LOWER MICHIGAN WILL MOVE INTO
ONTARIO/LAKE ERIE THIS AFTERNOON. WIDESPREAD SHOWERS IN THE DEEP
WARM/MOIST ADVECTION AHEAD OF THIS SYSTEM ARE JUST EXITING THE
EASTERN CWA...WITH REGIONAL RADARS/METARS SHOWING LIGHT
SHOWERS/DRIZZLE LINGERING BACK TO THE WEST. 14Z TAMDAR ASCENT
SOUNDINGS TO THE WEST OUT OF DTW SHOW THE DEEP MOISTURE ALREADY
STRIPPING AWAY...BUT WITH THE COLUMN 700MB AND BELOW REMAINING
SATURATED. 12Z RUC/NAM HAVE A DECENT HANDLE ON THE SURFACE LOW
POSITION...AND BOTH SHOW A TROUGH LINGERING BACK ACROSS SOUTHEAST
MICHIGAN INTO THIS EVENING...AHEAD OF THE STRONGER NORTHERN STREAM
SYSTEM OVER THE NORTHERN GREAT LAKES. GIVEN THE ABUNDANT LOW-LEVEL
MOISTURE THAT IS EXPECTED TO PERSIST THROUGH MUCH OF THE DAY
/LIFR-IFR CIGS EXTEND WESTWARD TO LAKE MICHIGAN/...WILL CARRY
SCATTERED LIGHT SHOWERS ACROSS THE BOARD. AM NOT TOO IMPRESSED WITH
THUNDER CHANCES THIS AFTERNOON...GIVEN THE NEARLY MOIST ADIABATIC
PROFILE AND LOSS OF THE DEEP MOISTURE. HOWEVER THERE STILL LOOKS TO
BE A SHOT ACROSS THE NORTHERN/NORTHEASTERN CWA BY LATE AFTERNOON...
AS SOME MID-LEVEL COOLING ASSOCIATED WITH THE NORTHERN SHORTWAVE
HELPS TO STEEPEN LAPSE RATES A BIT.
&&
.PREV DISCUSSION...ISSUED 754 AM EDT SAT AUG 19 2006
AVIATION...
PROLONGED WETTING AT SOUTHERN TAF SITES...WITH IMPROVED
MOISTURE/LIGHT WINDS ACROSS ALL OF SOUTHEAST MI OVERNIGHT...HAS
LED TO FREQUENT IFR CEILINGS SOUTH AND MAINLY IFR VISIBILITIES
THROUGHOUT DURING THE PAST FEW HOURS. WITH WEAK WAVE TRAVERSING
THE AREA TODAY...BOTH CEILINGS AND VISIBILITIES WILL BE SLOW TO
IMPROVE...THOUGH RAIN TO BE MAINLY CONFINED TO THE SOUTHERN TAF
SITES. CONDITIONS GRADUALLY IMPROVING TO MVFR BY LATE MORNING AND
TO LOW VFR CEILINGS LATER THIS AFTERNOON AS VISIBILITIES BECOME
UNRESTRICTED. MODEL SOUNDINGS SHOW LOWERING CEILINGS AGAIN
TONIGHT...THOUGH...WITH WRAPAROUND MOISTURE AND LINGERING LOW
LEVEL WIND CONVERGENCE BEHIND THE WAVE. LATE TONIGHT...HAVE
BROUGHT CEILINGS DOWN INTO IFR CATEGORY...SUPPORTED BY GUIDANCE
AND MODEL SOUNDINGS TO A LARGE DEGREE.
SHORT TERM...TODAY AND TONIGHT
WEAK DEVELOPING SURFACE LOW PRESSURE EXPECTED TO MOVE ACROSS FAR
SOUTHERN LAKES REGION TODAY VIA FAIR MODEL CONSENSUS. NAM/RUC SEEM A
BIT THE BEST IN HANDLING PRESSURE PATTERN CURRENTLY...SO WILL BE
PREFERRED FOR DETAILS. THIS LOW THEN WILL CONTINUE ON TO THE EAST
TONIGHT AHEAD OF APPROACHING RIDGE WEST OF THE AREA. AT 500
MB...PATTERN RATHER DIRTY...WITH NUMEROUS WEAK VORTICITY IMPULSES IN
WESTERLY FLOW TODAY BUT LARGELY EXITING AREA THIS MORNING. THEN...
MAIN SHORTWAVE TROUGH WEST OF THE NORTHERN LAKES REGION SWINGING
SOUTHEAST OVER AREA TONIGHT.
DEEPER MOISTURE...AS PER 850 TO 500 MB LAYER...PRETTY GOOD
TODAY...ESPECIALLY THIS MORNING AND ESPECIALLY SOUTH...LESSENING
THIS AFTERNOON AND MORE SO TONIGHT. LOWER MOISTURE AS AT 925 MB
QUITE GOOD THROUGH TONIGHT...SO CLOUDS SHOULD PREVAIL.
850 TO 700 MB OMEGA FIELDS SHOW QUITE ROBUST ASCENT THIS
MORNING...GENERALLY 5 TO 10 UBAR/S...THEN LINGERING BUT LESSENING
THIS AFTERNOON BEFORE ENDING TONIGHT. 850 TO 500 MB QVECTOR
CONVERGENCE/IMPLIED ASCENT WEAK AND MAINLY THIS MORNING. 850 TO 700
MB DEFORMATION SEEN MUCH OF TODAY...ESPECIALLY SOUTH...WITH MODEST
LOW LEVEL WIND CONVERGENCE ACCOMPANYING LOW TODAY AND CARRYING OVER
INTO THIS EVENING WITH LOW LEVEL CYCLONIC FLOW LINGERING.
MODELS DOING POORLY OVERNIGHT WITH QPF AREAL DEPICTION. FORECAST IS
TAILORED MORE TOWARD THE SUPPORTING DYNAMICS...WHICH ARE IN BETTER
AGREEMENT WITH CURRENT TRENDS. THUS...NUMEROUS POPS IN SOUTHERN 4
COUNTIES THIS MORNING AND CHANCE REMAINDER OF AREA...CHANCE POPS
ENTIRE AREA THIS AFTERNOON AND EVENING...ONLY SLIGHT CHANCE LATE
TONIGHT.
THUNDER WILL BE MENTIONED ALL AREAS TODAY...THOUGH INSTABILITY
PARAMETERS ON THE WEAK SIDE...SUCH AS CAPE AND LIFTED INDICES...
AND LAPSE RATES IN 850 TO 500 MB LAYER LACKING STEEPNESS. GUIDANCE
TEMPERATURES ADHERED TO CLOSELY THROUGH TONIGHT.
LONG TERM...SUNDAY THROUGH FRIDAY
THE WESTERLIES WILL BE QUITE ACTIVE ACROSS THE NORTHERN CONUS THIS
UPCOMING WEEK AS SEVERAL SHORT WAVES SEEN IN THE H2O VAPOR LOOP
ACROSS ALASKA INTO THE GULF OF ALASKA TRACK ACROSS THE U.S./CANADIAN
BORDER. WHILE TIMING AND EVENTUAL SYNOPTIC IMPACTS REMAIN TO BE
SEEN...LATEST TRENDS IN THE NUMERICAL SUITE ARE POINTING TOWARD A
WEAKER FROPA TUESDAY THEN A POTENT FROPA FRIDAY-SATURDAY TIME FRAME.
FIRST ISSUE IS CURRENT SHORT WAVE APPROACHING THE ARROWHEAD OF
MINNESOTA. WHILE THIS IS A SHORT TERM CONCERN...ITS AFFECTS MAY
LAST INTO SUNDAY MORNING AS THIS WAVE DEPARTS. WHILE SUBSIDENCE IS
EXPECTED...CYCLONIC FLOW ALOFT AND SOME LOW-MID LEVEL MOISTURE
INTERACTING WITH THE APPROACH OF THE 500MB COLD POOL COULD BE ENOUGH
FOR A BRIEF SHOWER IN THE MORNING. HENCE THE LOW POP AND A SLIGHT
CHANCE WORDING. THEN SKIES WILL IMPROVE THROUGH THE AFTERNOON WITH
FASTER IMPROVEMENT NEAR LAKE HURON WITH THE SHOT OF COOL ADVECTION
AND MINIMAL LAPSE RATES. FURTHER INLAND...WITH THE INSOLATION AND
DIFFERENTIAL HEATING COULD SET UP A HEALTHY CU FIELD BUT WITH AMPLE
DRY AIR ALOFT...THIS TOO SHOULD MIX OUT QUICKLY BY LATE AFTERNOON.
WITH 850MB TEMPS DROPPING BACK TO AROUND 10C...AND A LATE START TO
THE SUNSHINE...TEMPERATURES SHOULD TOP OUT INTO THE MID-UPPER 70S (A
FEW DEGREES COOLER NEAR LAKE HURON).
HIGH PRESSURE SETTLES INTO THE STATE SUNDAY NIGHT INTO MONDAY WITH A
NEAR DRY COLUMN AND LIGHT WINDS. CONCERN SUNDAY NIGHT COULD BE SOME
PATCHY FOG...ESPECIALLY IF WE DO GET SOME PRECIP...WITH IDEAL
RADIATIONAL COOLING CONDITIONS. TEMPERATURES SHOULD DROP BACK INTO
THE 50S FOR MOST LOCATIONS SUNDAY NIGHT AND WITH NEARLY FULL
SUNSHINE MONDAY CLIMB QUICKLY INTO THE LOWER 80S WITH A 2-3 DEGREE
REBOUND AT 850MBS.
AFOREMENTIONED FRONTAL SYSTEM CURRENTLY ACROSS NORTH-CENTRAL CANADA
BEGINS ITS APPROACHES THE UPPER LAKES REGION LATE MONDAY AND SAGS
SOUTHWARD THROUGH TUESDAY. AS MENTIONED IN PREVIOUS
AFD/S...MOISTURE AND UPPER SUPPORT WILL BECOME FURTHER REMOVED
THROUGH TUESDAY SO CHANCES FOR CONVECTION LOOK SMALL (30%) AT THIS
TIME. THE GFS BEGINS TO SHOW ITS CONVECTIVE ISSUES WHILE THE NMM
LOOKS A LITTLE BETTER BUT TOO SLOW WITH THE MOVEMENT OF THIS FRONT
WHEN COMPARED TO THE ECMWF/UKMET/WRF-HEMI. IN FACT IF THE WRF-HEMI
IS CORRECT...THIS FRONT WILL CLEAR THE REGION EARLY TUESDAY WHICH IS
NOT UNREASONABLE GIVEN THE STRENGTH OF WAVE IN THE GULF OF ALASKA
TRACKING ACROSS CENTRAL CANADA.
THEN THE GREAT LAKES RETURN TOWARD HIGHER PRESSURE FOR THE MID WEEK
PERIOD WITH SEASONABLE TEMPERATURES AND COMFORTABLE HUMIDITY LEVELS
FROM CANADA. THEN CHANGES ARE EXPECTED BY WEEKS END INTO THE
WEEKEND. LATEST ECMWF AND GFS SUGGEST A RATHER ROBUST COLD FRONT TO
IMPACT THE PLAINS AND MISSISSIPPI RIVER VALLEY LATE THURSDAY INTO
FRIDAY. TIMING REMAINS AN ISSUE AS THE GFS IS QUITE STRONG WITH THE
CONVECTIVE FEATURES THAT MAY PLAY HAVOC WITH THE SYNOPTIC PATTERN.
HOWEVER...FAIRLY GOOD AGREEMENT WITH ADDITIONAL SHORT WAVE SUPPORT
DIVING INTO THE BACKSIDE OF THIS FRONT INTO THE NORTHERN PLAINS THE
START OF THIS UPCOMING WEEKEND. THIS COULD PROVE TO BE A ACTIVE
SEVERE WEATHER PATTERN FOR THE EASTERN CONUS WITH STRONG LOW LEVEL
JET SIGNALS (30-40KTS) AND AMPLE MOISTURE TRANSPORT FROM THE GULF OF
MEXICO. SO THE CHANCE FOR SHOWERS/THUNDERSTORMS HOLDS THROUGH
FRIDAY AND EXTENDED INTO SATURDAY AT THIS TIME. WITH 850MB TEMPS
CLIMBING BACK INTO THE UPPER TEENS...WE COULD SEE TEMPERATURES
CLIMBING INTO THE MID AND PERHAPS UPPER 80S ASSUMING AMPLE SUNSHINE
OCCURS.
&&
.DTX WATCHES/WARNINGS/ADVISORIES...
MI...NONE.
LAKE HURON...NONE.
LAKE ST CLAIR...NONE.
MI WATERS OF LAKE ERIE...NONE.
&&
$$
UPDATE.......BRAVENDER
AVIATION.....DWD
SHORT TERM...DWD
LONG TERM....BGM
YOU CAN OBTAIN YOUR LATEST NATIONAL WEATHER SERVICE FORECASTS ONLINE
AT WWW.WEATHER.GOV/DETROIT (ALL LOWER CASE).
</PRE></TT></td> mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
754 AM EDT SAT AUG 19 2006
.AVIATION...
PROLONGED WETTING AT SOUTHERN TAF SITES...WITH IMPROVED
MOISTURE/LIGHT WINDS ACROSS ALL OF SOUTHEAST MI OVERNIGHT...HAS
LED TO FREQUENT IFR CEILINGS SOUTH AND MAINLY IFR VISIBILITIES
THROUGHOUT DURING THE PAST FEW HOURS. WITH WEAK WAVE TRAVERSING
THE AREA TODAY...BOTH CEILINGS AND VISIBILITIES WILL BE SLOW TO
IMPROVE...THOUGH RAIN TO BE MAINLY CONFINED TO THE SOUTHERN TAF
SITES. CONDITIONS GRADUALLY IMPROVING TO MVFR BY LATE MORNING AND
TO LOW VFR CEILINGS LATER THIS AFTERNOON AS VISIBILITIES BECOME
UNRESTRICTED. MODEL SOUNDINGS SHOW LOWERING CEILINGS AGAIN
TONIGHT...THOUGH...WITH WRAPAROUND MOISTURE AND LINGERING LOW
LEVEL WIND CONVERGENCE BEHIND THE WAVE. LATE TONIGHT...HAVE
BROUGHT CEILINGS DOWN INTO IFR CATEGORY...SUPPORTED BY GUIDANCE
AND MODEL SOUNDINGS TO A LARGE DEGREE.
&&
.PREV DISCUSSION...ISSUED 352 AM EDT SAT AUG 19 2006
SHORT TERM...TODAY AND TONIGHT
WEAK DEVELOPING SURFACE LOW PRESSURE EXPECTED TO MOVE ACROSS FAR
SOUTHERN LAKES REGION TODAY VIA FAIR MODEL CONSENSUS. NAM/RUC SEEM A
BIT THE BEST IN HANDLING PRESSURE PATTERN CURRENTLY...SO WILL BE
PREFERRED FOR DETAILS. THIS LOW THEN WILL CONTINUE ON TO THE EAST
TONIGHT AHEAD OF APPROACHING RIDGE WEST OF THE AREA. AT 500
MB...PATTERN RATHER DIRTY...WITH NUMEROUS WEAK VORTICITY IMPULSES IN
WESTERLY FLOW TODAY BUT LARGELY EXITING AREA THIS MORNING. THEN...
MAIN SHORTWAVE TROUGH WEST OF THE NORTHERN LAKES REGION SWINGING
SOUTHEAST OVER AREA TONIGHT.
DEEPER MOISTURE...AS PER 850 TO 500 MB LAYER...PRETTY GOOD
TODAY...ESPECIALLY THIS MORNING AND ESPECIALLY SOUTH...LESSENING
THIS AFTERNOON AND MORE SO TONIGHT. LOWER MOISTURE AS AT 925 MB
QUITE GOOD THROUGH TONIGHT...SO CLOUDS SHOULD PREVAIL.
850 TO 700 MB OMEGA FIELDS SHOW QUITE ROBUST ASCENT THIS
MORNING...GENERALLY 5 TO 10 UBAR/S...THEN LINGERING BUT LESSENING
THIS AFTERNOON BEFORE ENDING TONIGHT. 850 TO 500 MB QVECTOR
CONVERGENCE/IMPLIED ASCENT WEAK AND MAINLY THIS MORNING. 850 TO 700
MB DEFORMATION SEEN MUCH OF TODAY...ESPECIALLY SOUTH...WITH MODEST
LOW LEVEL WIND CONVERGENCE ACCOMPANYING LOW TODAY AND CARRYING OVER
INTO THIS EVENING WITH LOW LEVEL CYCLONIC FLOW LINGERING.
MODELS DOING POORLY OVERNIGHT WITH QPF AREAL DEPICTION. FORECAST IS
TAILORED MORE TOWARD THE SUPPORTING DYNAMICS...WHICH ARE IN BETTER
AGREEMENT WITH CURRENT TRENDS. THUS...NUMEROUS POPS IN SOUTHERN 4
COUNTIES THIS MORNING AND CHANCE REMAINDER OF AREA...CHANCE POPS
ENTIRE AREA THIS AFTERNOON AND EVENING...ONLY SLIGHT CHANCE LATE
TONIGHT.
THUNDER WILL BE MENTIONED ALL AREAS TODAY...THOUGH INSTABILITY
PARAMETERS ON THE WEAK SIDE...SUCH AS CAPE AND LIFTED INDICES...
AND LAPSE RATES IN 850 TO 500 MB LAYER LACKING STEEPNESS. GUIDANCE
TEMPERATURES ADHERED TO CLOSELY THROUGH TONIGHT.
LONG TERM...SUNDAY THROUGH FRIDAY
THE WESTERLIES WILL BE QUITE ACTIVE ACROSS THE NORTHERN CONUS THIS
UPCOMING WEEK AS SEVERAL SHORT WAVES SEEN IN THE H2O VAPOR LOOP
ACROSS ALASKA INTO THE GULF OF ALASKA TRACK ACROSS THE U.S./CANADIAN
BORDER. WHILE TIMING AND EVENTUAL SYNOPTIC IMPACTS REMAIN TO BE
SEEN...LATEST TRENDS IN THE NUMERICAL SUITE ARE POINTING TOWARD A
WEAKER FROPA TUESDAY THEN A POTENT FROPA FRIDAY-SATURDAY TIME FRAME.
FIRST ISSUE IS CURRENT SHORT WAVE APPROACHING THE ARROWHEAD OF
MINNESOTA. WHILE THIS IS A SHORT TERM CONCERN...ITS AFFECTS MAY
LAST INTO SUNDAY MORNING AS THIS WAVE DEPARTS. WHILE SUBSIDENCE IS
EXPECTED...CYCLONIC FLOW ALOFT AND SOME LOW-MID LEVEL MOISTURE
INTERACTING WITH THE APPROACH OF THE 500MB COLD POOL COULD BE ENOUGH
FOR A BRIEF SHOWER IN THE MORNING. HENCE THE LOW POP AND A SLIGHT
CHANCE WORDING. THEN SKIES WILL IMPROVE THROUGH THE AFTERNOON WITH
FASTER IMPROVEMENT NEAR LAKE HURON WITH THE SHOT OF COOL ADVECTION
AND MINIMAL LAPSE RATES. FURTHER INLAND...WITH THE INSOLATION AND
DIFFERENTIAL HEATING COULD SET UP A HEALTHY CU FIELD BUT WITH AMPLE
DRY AIR ALOFT...THIS TOO SHOULD MIX OUT QUICKLY BY LATE AFTERNOON.
WITH 850MB TEMPS DROPPING BACK TO AROUND 10C...AND A LATE START TO
THE SUNSHINE...TEMPERATURES SHOULD TOP OUT INTO THE MID-UPPER 70S (A
FEW DEGREES COOLER NEAR LAKE HURON).
HIGH PRESSURE SETTLES INTO THE STATE SUNDAY NIGHT INTO MONDAY WITH A
NEAR DRY COLUMN AND LIGHT WINDS. CONCERN SUNDAY NIGHT COULD BE SOME
PATCHY FOG...ESPECIALLY IF WE DO GET SOME PRECIP...WITH IDEAL
RADIATIONAL COOLING CONDITIONS. TEMPERATURES SHOULD DROP BACK INTO
THE 50S FOR MOST LOCATIONS SUNDAY NIGHT AND WITH NEARLY FULL
SUNSHINE MONDAY CLIMB QUICKLY INTO THE LOWER 80S WITH A 2-3 DEGREE
REBOUND AT 850MBS.
AFOREMENTIONED FRONTAL SYSTEM CURRENTLY ACROSS NORTH-CENTRAL CANADA
BEGINS ITS APPROACHES THE UPPER LAKES REGION LATE MONDAY AND SAGS
SOUTHWARD THROUGH TUESDAY. AS MENTIONED IN PREVIOUS
AFD/S...MOISTURE AND UPPER SUPPORT WILL BECOME FURTHER REMOVED
THROUGH TUESDAY SO CHANCES FOR CONVECTION LOOK SMALL (30%) AT THIS
TIME. THE GFS BEGINS TO SHOW ITS CONVECTIVE ISSUES WHILE THE NMM
LOOKS A LITTLE BETTER BUT TOO SLOW WITH THE MOVEMENT OF THIS FRONT
WHEN COMPARED TO THE ECMWF/UKMET/WRF-HEMI. IN FACT IF THE WRF-HEMI
IS CORRECT...THIS FRONT WILL CLEAR THE REGION EARLY TUESDAY WHICH IS
NOT UNREASONABLE GIVEN THE STRENGTH OF WAVE IN THE GULF OF ALASKA
TRACKING ACROSS CENTRAL CANADA.
THEN THE GREAT LAKES RETURN TOWARD HIGHER PRESSURE FOR THE MID WEEK
PERIOD WITH SEASONABLE TEMPERATURES AND COMFORTABLE HUMIDITY LEVELS
FROM CANADA. THEN CHANGES ARE EXPECTED BY WEEKS END INTO THE
WEEKEND. LATEST ECMWF AND GFS SUGGEST A RATHER ROBUST COLD FRONT TO
IMPACT THE PLAINS AND MISSISSIPPI RIVER VALLEY LATE THURSDAY INTO
FRIDAY. TIMING REMAINS AN ISSUE AS THE GFS IS QUITE STRONG WITH THE
CONVECTIVE FEATURES THAT MAY PLAY HAVOC WITH THE SYNOPTIC PATTERN.
HOWEVER...FAIRLY GOOD AGREEMENT WITH ADDITIONAL SHORT WAVE SUPPORT
DIVING INTO THE BACKSIDE OF THIS FRONT INTO THE NORTHERN PLAINS THE
START OF THIS UPCOMING WEEKEND. THIS COULD PROVE TO BE A ACTIVE
SEVERE WEATHER PATTERN FOR THE EASTERN CONUS WITH STRONG LOW LEVEL
JET SIGNALS (30-40KTS) AND AMPLE MOISTURE TRANSPORT FROM THE GULF OF
MEXICO. SO THE CHANCE FOR SHOWERS/THUNDERSTORMS HOLDS THROUGH
FRIDAY AND EXTENDED INTO SATURDAY AT THIS TIME. WITH 850MB TEMPS
CLIMBING BACK INTO THE UPPER TEENS...WE COULD SEE TEMPERATURES
CLIMBING INTO THE MID AND PERHAPS UPPER 80S ASSUMING AMPLE SUNSHINE
OCCURS.
&&
.DTX WATCHES/WARNINGS/ADVISORIES...
MI...NONE.
LAKE HURON...NONE.
LAKE ST CLAIR...NONE.
MI WATERS OF LAKE ERIE...NONE.
&&
$$
AVIATION...DWD
SHORT TERM...DWD
LONG TERM....BGM
YOU CAN OBTAIN YOUR LATEST NATIONAL WEATHER SERVICE FORECASTS ONLINE
AT WWW.WEATHER.GOV/DETROIT (ALL LOWER CASE).
</PRE></TT></td> mi
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE HASTINGS NE
949 AM CDT SAT AUG 19 2006
.UPDATED...TO KEEP SHOWERS SOUTH OF HIGHWAY 36 THROUGH MIDDAY
AND ADD SOME DRIZZLE WHICH IS OCCURRING HERE AND THERE. DID
LOWER TEMPERATURES JUST A BIT BACK TO MIDDLE 70S MANY AREAS
WITH CLOUDS AND NORTH WINDS.
&&
.PREV DISCUSSION... (ISSUED 551 AM CDT SAT AUG 19 2006)
DISCUSSION...WILL BE UPDATING THE FORECAST TO REMOVE THE FLASH
FLOOD WATCH FOR MITCHELL AND JEWELL COUNTIES. THE RAIN HAS ENDED
AND THE 06Z GFS SUGGESTS THE BEST CHANCE FOR ANY ADDITIONAL HEAVY
RAINFALL WILL BE SOUTH OF THE FORECAST AREA. STILL CAN NOT RULE
OUT THE POSSIBILITY OF A FEW SHOWERS OR THUNDERSTORMS IN THE SOUTH
DUE TO THE PROXIMITY OF THE H7 DEFORMATION AXIS...SO WILL KEEP A
SMALL POP GOING INTO THE AFTERNOON.
PREV DISCUSSION... (ISSUED 328 AM CDT SAT AUG 19 2006)
DISCUSSION...PRIMARY ISSUE IN THE NEAR TERM IS THE FLASH FLOOD
WATCH. AREA WSR-88DS CONTINUE TO SHOW A DIMINISHING TREND TO THE
PRECIPITATION THIS MORNING AS CLOUD TOPS CONTINUE TO WARM. THE 00Z
GFS AND NAM STILL DISAGREE ABOUT HOW LONG THE RAIN WILL LAST...WITH
THE GFS PUSHING THE MID-LEVEL DEFORMATION AXIS SOUTH MORE QUICKLY.
WILL GO WITH TIMING THAT IS A BIT SLOWER THAN THE 00Z GFS SINCE THE
LATEST RUC CONTINUES TO SHOW THE MID-LEVEL DEFORMATION AXIS
CONTINUING THIS MORNING. THE BIG QUESTION IS HOW TO HANDLE THE
CURRENT FLASH FLOOD WATCH. AS MENTIONED PREVIOUSLY THE RAINFALL
RATES HAVE TAILED OFF QUITE A BIT...HOWEVER JEWELL AND MITCHELL
COUNTIES ARE STILL SEEING SOME HEAVY RAINFALL...SO WILL CONTINUE
THE WATCH FOR THOSE TWO COUNTIES...BUT CANCEL THE REMAINDER OF THE
WATCH.
TEMPERATURES WILL BE TRICKY AGAIN TODAY AND BE DEPENDENT ON CLOUD
COVER. 11-3.9 MICRON SATELLITE IMAGERY INDICATES CLOUDS STRETCHING
ACROSS MUCH OF THE REGION...AND CROSS SECTIONS INDICATE THAT MUCH OF
THE MORNING WILL BE MAINLY CLOUDY WITH SOME INCREASE IN SUNSHINE
DURING THE AFTERNOON...ESPECIALLY IN THE NORTH AND WEST. WILL
GENERALLY GO WITH HIGHS IN THE MID 70S TO AROUND 80.
CLOUDS SHOULD CONTINUE TO CLEAR TONIGHT...AND WITH THE SURFACE RIDGE
AXIS STRETCHING THROUGH THE FORECAST AREA WINDS SHOULD BE LIGHT...SO
THINK THERE IS A GOOD POSSIBILITY OF AT LEAST PATCHY FOG LATE
TONIGHT INTO SUNDAY MORNING. ONCE THE FOG LIFTS...THERE SHOULD BE
ENOUGH SUNSHINE TO HELP WARM TEMPERATURES BACK INTO THE LOWER TO
MID 80S ON SUNDAY. THE WARMING TREND THEN CONTINUES INTO MONDAY
WITH READINGS IN THE MID TO UPPER 80S.
&&
.GID WATCHES/WARNINGS/ADVISORIES...
NE...NONE.
KS...NONE.
&&
$$
</PRE></TT></td> ne
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE HASTINGS NE
551 AM CDT SAT AUG 19 2006
.DISCUSSION...WILL BE UPDATING THE FORECAST TO REMOVE THE FLASH
FLOOD WATCH FOR MITCHELL AND JEWELL COUNTIES. THE RAIN HAS ENDED
AND THE 06Z GFS SUGGESTS THE BEST CHANCE FOR ANY ADDITIONAL HEAVY
RAINFALL WILL BE SOUTH OF THE FORECAST AREA. STILL CAN NOT RULE
OUT THE POSSIBLITY OF A FEW SHOWERS OR THUNDERSTORMS IN THE SOUTH
DUE TO THE PROXIMITY OF THE H7 DEFORMATION AXIS...SO WILL KEEP A
SMALL POP GOING INTO THE AFTERNOON.
&&
.PREV DISCUSSION... (ISSUED 328 AM CDT SAT AUG 19 2006)
DISCUSSION...PRIMARY ISSUE IN THE NEAR TERM IS THE FLASH FLOOD
WATCH. AREA WSR-88DS CONTINUE TO SHOW A DIMINISHING TREND TO THE
PRECIPITATION THIS MORNING AS CLOUD TOPS CONTINUE TO WARM. THE 00Z
GFS AND NAM STILL DISAGREE ABOUT HOW LONG THE RAIN WILL LAST...WITH
THE GFS PUSHING THE MID-LEVEL DEFORMATION AXIS SOUTH MORE QUICKLY.
WILL GO WITH TIMING THAT IS A BIT SLOWER THAN THE 00Z GFS SINCE THE
LATEST RUC CONTINUES TO SHOW THE MID-LEVEL DEFORMATION AXIS
CONTINUING THIS MORNING. THE BIG QUESTION IS HOW TO HANDLE THE
CURRENT FLASH FLOOD WATCH. AS MENTIONED PREVIOUSLY THE RAINFALL
RATES HAVE TAILED OFF QUITE A BIT...HOWEVER JEWELL AND MITCHELL
COUNTIES ARE STILL SEEING SOME HEAVY RAINFALL...SO WILL CONTINUE
THE WATCH FOR THOSE TWO COUNTIES...BUT CANCEL THE REMAINDER OF THE
WATCH.
TEMPERATURES WILL BE TRICKY AGAIN TODAY AND BE DEPENDENT ON CLOUD
COVER. 11-3.9 MICRON SATELLITE IMAGERY INDICATES CLOUDS STRETCHING
ACROSS MUCH OF THE REGION...AND CROSS SECTIONS INDICATE THAT MUCH OF
THE MORNING WILL BE MAINLY CLOUDY WITH SOME INCREASE IN SUNSHINE
DURING THE AFTERNOON...ESPECIALLY IN THE NORTH AND WEST. WILL
GENERALLY GO WITH HIGHS IN THE MID 70S TO AROUND 80.
CLOUDS SHOULD CONTINUE TO CLEAR TONIGHT...AND WITH THE SURFACE RIDGE
AXIS STRETCHING THROUGH THE FORECAST AREA WINDS SHOULD BE LIGHT...SO
THINK THERE IS A GOOD POSSIBILITY OF AT LEAST PATCHY FOG LATE
TONIGHT INTO SUNDAY MORNING. ONCE THE FOG LIFTS...THERE SHOULD BE
ENOUGH SUNSHINE TO HELP WARM TEMPERATURES BACK INTO THE LOWER TO
MID 80S ON SUNDAY. THE WARMING TREND THEN CONTINUES INTO MONDAY
WITH READINGS IN THE MID TO UPPER 80S.
&&
.GID WATCHES/WARNINGS/ADVISORIES...
NE...NONE.
KS...NONE.
&&
$$
KING
</PRE></TT></td> ne
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE UPTON NY
305 PM EDT SAT AUG 19 2006
.NEAR TERM (TONIGHT THROUGH SUNDAY)...
CLOUDS CONTINUE TO INCREASE THIS LATE SATURDAY AFTERNOON IN ADVANCE
OF AN APPROACHING SHORT WAVE AND ASSOCIATED WAA. A DECENT BATCH OF
SHOWERS MOVING ACRS PA THIS AFTERNOON WILL CONTINUE TO TREK EASTWARD
THIS EVENING...ENTERING THE WESTERN PORTION OF THE CWA EARLY
ON...THEN SPREADING ACROSS THE REST OF THE CWA BY MIDNIGHT.
WILL GO WITH CATEGORICAL POPS FOR SHOWERS OVERNIGHT FOR MY NORTHERN
TIER OF ZONES...SHADING DOWN TO HIGH CHANCE/LOW LIKELY TOWARD THE
THE COAST. I'M NOT QUITE COMFORTABLE GOING WITH LIKELY OR CAT POPS
FOR LONG ISLAND ATTM SINCE MOST OF THE FORCING IS GOING TO RIDE TO
OUR NORTH. DON'T THINK THERE WILL BE MUCH IF ANY THUNDER OVERNIGHT
ANYWHERE...HOWEVER KEPT A SLIGHT CHANCE AFTER COLLAB WITH
SURROUNDING OFFICES. FRHT61 LI'S DON'T GO BELOW ZERO UNTIL 12-18Z
SUNDAY WHICH IS A GOOD INDICATOR AS TO WHETHER IT WILL THUNDER OR
NOT.
GFS QPF LOOKS A BIT TOO HIGH TO ME BETWEEN 00Z AND 06Z TONIGHT. HAVE
SHADED QPF MORE TOWARD THE NAM BUT DID KEEP WITH GFS TIMING AS IT
DOES LOOK HAVE A MUCH BETTER HANDLE ON THE PROGRESSION OF THIS
AFTERNOON'S SHOWERS JUST TO OUR WEST AND NORTH.
THE BULK OF ANY STEADY RAINFALL SHOULD BE MOVING OUT OF THE REGION
LATE TONIGHT AS ZONE OF STRONGEST WAA ADVECTS EASTWARD TOWARD
EASTERN NEW ENGLAND AND WILL TAPER BACK POPS ACCORDINGLY.
SFC LOW PRESSURE CONTINUES ITS TREK ACROSS NEW ENGLAND SUNDAY
MORNING WITH TRAILING COLD FRONT EXPECTED TO MOVE ACRS THE TRI-STATE
AREA DURING THE AFTERNOON HOURS. WOULD THINK AT LEAST SOME PARTIAL
CLEARING IS IN ORDER FROM WEST TO EAST BY MID SUNDAY MORNING INTO
THE EARLY AFTERNOON AS BULK OF WAA WILL HAVE SLID TO THE EAST OF THE
AREA AND DRY SLOT MOVES ON IN. WILL ONLY BE GOING WITH CHC POPS
DURING THE MORNING FOR MOST OF THE AREA...BUT WOULDN'T BE SURPRISED
IF WE ARE DRY DURING MOST OF THE MORNING WITH PARTLY SUNNY SKIES.
STRONG SHORT WAVE APPROACHES FROM THE NORTHWEST SUNDAY AFTERNOON.
WITH COLD FRONT STILL IN THE VICINITY OF THE REGION DURING EARLY TO
MID AFTERNOON...MOISTURE WILL STILL BE AROUND AND IT WILL BE QUITE
MOIST. IF WE CAN GET SUBSTANTIAL BREAKS AND GO PARTLY SUNNY DURING
THE LATE MORNING/AFTERNOON ALONG THE FRONT...IT SHOULD GET UNSTABLE
AS HEATING WOULD BRING TEMPS WELL INTO THE 80S...IF NOT UPPER 80S
AROUND 90 ACRS METRO NERN NJ.
GIVEN SOME HEATING...SCT THUNDERSTORMS SHOULD DEVELOP ALONG AND NEAR
THE COLD FRONT WITH THE DYNAMICS MOVING INTO THE AREA DURING THE
EARLY/MID AFTERNOON HOURS. IF SUBSTANTIAL HEATING CAN OCCUR SOME OF
THE STORMS COULD BE STRONG TO SEVERE WITH DAMAGING WINDS AND HAIL.
DEEP LAYER SHEAR OF 40+ KNOTS WOULD PORTEND TO ORGANIZED STORMS IF
ENOUGH INSTABILITY MATERIALIZES.
ALL IN ALL...STRONG STORMS ARE NOT A LOCK FOR SUNDAY AFTERNOON YET
DUE TO COMPLICATING FACTORS SUCH AS CLOUD COVER AND FRONTAL
PLACEMENT. MESOSCALE ANALYSIS WILL BE KEY DURING THE DAY SUNDAY.
ANY CONVECTION CLEARS OUT OF THE AREA BY EARLY SUNDAY EVENING AS
FRONT PASSES TO THE SOUTHEAST.
&&
.SHORT TERM (SUNDAY NIGHT THROUGH TUESDAY)...
CLEARING AND DRYING SUNDAY NIGHT. FAIR WX AND NEAR SEASONAL TEMPS
EXPECTED THROUGH TUESDAY AS SOUTHERN WAVE EXPECTED TO REMAIN TO OUR
SOUTH.
&&
.LONG TERM (WEDNESDAY THROUGH SATURDAY)...
DRY FORECAST THROUGH THE PERIOD AS NO ORGANIZED STORM SYSTEMS LOOK
TO AFFECT THE AREA AT THIS TIME. BEST CHANCE OF ANY PRECIP WILL BE
WEDNESDAY ALONG A COLD FRONT. SHOT OF BLO NORM TEMPS POSSIBLE WED
NIGHT THROUGH THURS.
&&
.AVIATION...
18Z ACARS SOUNDING OVER NYC INDICATES LOW LEVEL INVERSION AROUND 4K
FT HAS WEAKENED SOMEWHAT...BUT STILL PRESENT...WHICH IS KEEPING SCT
STRATO CU BASES FROM RAISING. EXPECT IT TO LINGER THROUGH THE
REMAINDER OF THE AFTERNOON WITH VFR PREVAILING. THE LARGE AREA OF
SHOWERS ACROSS CENTRAL PA MARCHING EASTWARD AT A GOOD CLIP MAY
WEAKEN A BIT DUE TO DRIER AIR ALOFT BEFORE MAKING IT TO WESTERN
TERMINALS...SO HAVE TIMED IT TO ARRIVE AT NYC TERMINALS BETWEEN 23Z
AND 01Z...BUT I COULD BE SLOW BY AN HOUR OR SO. 12Z GFS CAPTURED
THIS FEATURE WELL. OTHERWISE...INCREASING LOW LEVEL MOISTURE WILL
LIKELY BRING CIGS/VSBYS DOWN TO MVFR THIS EVENING. RUC SEEMED TO
HAVE A GOOD HANDLE ON CURRENT CONDITIONS (CIGS/VSBYS) WHICH ALSO
DEVELOPS STRATUS ACROSS EASTERN TERMINALS AFTER SUNSET...BUT NOT
CONFIDENT OF TIMING SO INCLUDED SCT LOW CLOUDS THIS EVENING...AND
THEN ONCE THE RAIN MOVES CLOSER MADE IT PREVAILING. FIRST ROUND OF
SHOWERS SHOULD END BETWEEN 12Z AND 14Z FROM W TO E...THEN EXPECT
ANOTHER ROUND OF SHOWERS AND TSTMS DURING THE AFTERNOON/EVENING
HOURS SUNDAY AHEAD OF AND ALONG COLD FRONT.
&&
.MARINE...
WINDS AND SEAS WILL BE INCREASING TONIGHT AS LOW PRESSURE TRACKS
ACROSS UPSTATE NY. WENT WITH A COMPROMISE BETWEEN THE STRONG GFS AND
MUCH WEAKER NAM WIND SPEEDS...WHICH YIELDED SUSTAINED WINDS OF 15-20
KT AND GUSTS TO 25 KT ACROSS THE EASTERN TWO OCEAN ZONES...AND 10-15
KT WITH GUSTS NEAR 20 KT ELSEWHERE. SEAS WILL BUILD IN RESPONSE TO
THE BRISK S/SW FLOW...REACHING 5 FT EAST OF FIRE ISLAND INLET BY SUN
MORNING...AND SCA HAS BEEN POSTED FROM 4AM SUN THROUGH 4AM MON FOR
THESE AREAS.
SW FLOW OF 15-20 KT AND SEAS NEAR 5 FT WILL CONTINUE ACROSS THE
EASTERN OCEAN ZONES SUN...THEN WINDS WILL VEER TO W/NW AND BEGIN TO
DIMINISH SUN NIGHT AS THE COLD FRONT MOVES THROUGH THE AREA. SEAS
WILL TAKE A WHILE TO SUBSIDE...BUT SHOULD DROP BELOW 5 FT EVERYWHERE
BY EARLY MON MORNING.
QUIET CONDITIONS FOR MON AND TUE WITH HIGH PRESSURE IN CONTROL. A
WEAK FRONT WILL MOVE THROUGH WED...WITH WINDS/SEAS EXPECTED AT THIS
TIME TO REMAIN BELOW SCA LEVELS. HIGH PRESSURE BUILDS IN ONCE AGAIN
THU THROUGH FRI WITH CONTINUED TRANQUIL CONDITIONS ACROSS THE WATERS.
&&
.HYDROLOGY...
PRECIP TONIGHT THROUGH SUNDAY AFTERNOON WILL GENERALLY AVERAGE 1/2
TO 1 INCH OVER THE REGION...WITH HEAVIER RAIN POSSIBLE OVER NORTHERN
PORTIONS OF THE CWA.
&&
.OKX WATCHES/WARNINGS/ADVISORIES...
CT...NONE.
NJ...NONE.
NY...NONE.
MARINE...SMALL CRAFT ADVISORY FOR ANZ350-353 FROM 4 AM SUNDAY TO 4
AM MONDAY.
&&
$$
PUBLIC...EKSTER
AVIATION...AL
MARINE...CNJ
</PRE></TT></td> ny
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE BINGHAMTON NY
850 AM EDT SAT AUG 19 2006
.SHORT TERM (TODAY - SUNDAY)...
UPDATE - PLENTY OF CLD COVER AND -SHRA ACRS THE BGM FCST AREA ATTM,
WITH BEST CVRG ACRS UPSTATE NY. PCPN WILL BE INCRSNG IN CVRG AND
INTENSITY THIS AFTN AND EVNG AS THE S/WV OVER THE GTLAKES APRCHS.
WILL RAISE POPS TO CAT ACRS MUCH OF UPSTATE FOR THIS AFTN,
MAINTAINING THE GRADIENT TO CHC POPS ACRS FAR SE ZONES. GIVEN THE
CLD CVR, WILL SHAVE A FEW DEG OFF TDA'S MAXES, WITH MOST AREAS
TOPPING OUT IN THE M70S. PREFER THE RUC/GFS PROFILES FOR THIS AFTN,
SHOWING LTL IN THE WAY OF INSTABILTY (NAM APPEARS WAY OVERDONE WITH
CAPES), SO WILL ONLY MENTION THE SLGT CHC OF A TSRA THIS AFTN/EVNG.
APPEARS THE SFC LOW WILL TRACK CLOSE TO THE TWIN TIERS LATER TDA,
WHICH WOULD FAVOR CNTRL NY FOR THE BEST QPF, BUT AMTS NOT XPCTD TO
CAUSE ANY PRBLMS. NO OTHER CHGS PEYOND PD 1. PREV AFD BLO.
PREV UPDATE - RAISED POPS TO CHC FOR FAR SE ZONES THIS MRNG DUE TO
SCT -SHRA ACTIVITY WHICH WILL BE WORKING INTO THIS AREA DURING THE
NXT FEW HRS. NO OTHER CHGS. PREV AFD BLO.
WATER VAPOR LOOP INDICATES WESTERLY FLOW ACROSS THE GREAT LAKES AND
NORTHEAST U.S. EARLY THIS MORNING. A WEAK SHORT WAVE IS TRACKING EAST
ACROSS THE SOUTHERN GREAT LAKES... WITH A STRONGER WAVE TRACKING
EAST ACROSS MINNESOTA. A COLD FRONT IS LOCATED NORTH OF LAKE ONTARIO
WHILE SFC HIGH PRESSURE MOVES EAST OFF THE EAST COAST. SOUTHWEST
FLOW AHEAD OF THE FRONT IS BRINGING IN INCREASINGLY HIGH DEW POINTS
ACROSS THE AREA... WITH CURRENT VALUES RANGING FROM THE MID 60S
ACROSS THE NORTHERN NY LAKE PLAIN... TO THE MID 50S ACROSS THE
WESTERN CATSKILLS.
EXPECT SCATTERED SHOWERS ACROSS THE NORTHWEST HALF OF THE CWA
THROUGH THIS MORNING AS THE SHORT WAVE OVER THE SOUTHERN GREAT LAKES
MOVES EAST AND WEAKENS. RAIN CHANCES WILL INCREASE AND SPREAD
SOUTHEAST LATER THIS AFTERNOON THROUGH THIS EVENING AS THE STRONG
SHORT WAVE CURRENTLY OVER MINNESOTA MOVES EAST ACROSS THE GREAT
LAKES. AS THE WAVE APPROACHES... SURFACE LOW PRESSURE WILL TRACK
NORTHEAST FROM THE OHIO VALLEY TO UPSTATE NY. A BAND OF MID-LVL
FRONTOGENESIS WILL SWEEP NORTHEAST ACROSS UPSTATE NY THIS EVENING...
AND LOW-LEVEL SSW MID-LVL FLOW WILL INCREASE TO AROUND 30 KTS WHICH
WILL RESULT IN SIGNIFICANT AMOUNTS OF MID-LVL ISENTROPIC LIFT.
SOME SIGNIFICANT DIFFERENCES ARE NOTED BETWEEN THE WRF AND GFS
REGARDING TIMING OF THIS WAVE... AS WELL AS INSTABILITY AHEAD OF THE
WAVE THIS AFTERNOON. THE WRF IS SLOWER WITH THE EASTWARD MOVEMENT OF
THE WAVE... AND ALSO GENERATES MORE INSTABILITY LATE TODAY THAN THE
GFS. BASICALLY WENT WITH A COMPROMISE SOLUTION BETWEEN THE WRF AND
GFS WITH THIS FORECAST. BASED ON THIS EXPECT CAPE VALUES BETWEEN 500
AND 1000 J/KG LATER TODAY. THIS MODEST INSTABILITY... ALONG WITH A
25 TO 30 KT MID-LVL FLOW MAY PRODUCE ENOUGH CONVECTIVE ORGANIZATION
FOR ONE OR TWO STORMS TO GO SEVERE LATER TODAY... BUT NOT EXPECTING
ENOUGH INSTABILITY FOR A WIDESPREAD SVR OUTBREAK. SOME HEAVY
DOWNPOURS CAN ALSO BE EXPECTED LATER TODAY THRU THIS EVENING AS PWAT
VALUES APPROACH 2 INCHES. BOTH THE WRF AND GFS PLACE AN AXIS OF 1.5
TO 2.5 INCHES OF RAIN ACROSS CENTRAL AND EASTERN NY LATE TODAY THRU
THIS EVENING... WITH THE WRF A LITTLE FARTHER NORTH. WITH SOME
CONVECTION EXPECTED WOULD NOT BE SURPRISED TO SEE SOME ISOLATED 3
INCH TOTALS AND MINOR FLOODING PROBLEMS... BUT DRY WX DURING THE
PAST COUPLE OF WEEKS HAS 3-6 HR FLASH FLOOD GUIDANCE WELL OVER 3
INCHES SO AM NOT EXPECTING A BIG FLOOD RISK.
THE WRF IS SLOWER MOVING THE SYSTEM EAST OF THE AREA LATE TONIGHT
AND SUNDAY... AND THEREFORE INDICATES MORE LINGERING SHOWERS INTO
SUNDAY. AGAIN WENT WITH A COMPROMISE BETWEEN THE WRF AND FASTER GFS
AND KEPT CHC POPS GOING... MAINLY ACROSS THE NORTHERN HALF OF THE
CWA... THRU SUNDAY. - MSE
&&
.LONG TERM (SUNDAY NIGHT - FRIDAY)...
IN GNRL A FAIRLY QUIET AND DRY PD IS ANTICIPATED. THE WORK WEEK SHUD
START OFF WITH PLENTY OF SUNSHINE, THEN A CHC FOR -SHRA WITH THE NXT
CDFNT LATE TUES/TUES NGT. HIGH PRES WILL FOLLOW WITH PARTLY TO
MOSTLY SUNNY SKIES FOR THE REMAINDER OF THE WEEK. TEMPS NEAR NORMS.
&&
.AVIATION (19/12Z TO 20/12Z)...
VFR EXPECTED TO PERSIST THROUGH THIS MORNING. CONDITIONS SHOULD
SLOWLY DETERIORATE TO MVFR DURING THE AFTERNOON (FROM ABOUT 18Z TO
21Z)...AS SHOWERS BECOME MORE WIDESPREAD ACROSS THE REGION. A FEW
THUNDERSTORMS COULD DEVELOP BY LATE AFTERNOON...BUT SCATTERED
COVERAGE AT BEST PRECLUDES THEIR MENTION IN THE TERMINALS AT THIS
JUNCTURE. LIGHT WINDS EARLY TODAY SHOULD INCREASE TO ABOUT 10 KT OUT
OF THE SOUTH BY AFTERNOON.
TONIGHT...MVFR RESTRICTIONS...DUE TO LOWER CEILINGS...SHOWERS...AND
FOG...ARE ANTICIPATED TO CONTINUE THROUGH THE NIGHT. -MJ
&&
.BGM WATCHES/WARNINGS/ADVISORIES...
.NY...NONE.
.PA...NONE.
$$
MSE/MJ
</PRE></TT></td> ny
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE WILMINGTON OH
756 PM EDT SAT AUG 19 2006
.AVIATION /00Z-24Z/...
CDFNT IS CURRENTLY LOCATED FROM NR KPMH TO KCVG. WINDS TURN TO THE
NW BEHIND THE FRONT. SCT CONVECTION IS LOCATED ALONG THE FNT. WITH
IT MOVING SOUTH WILL NOT PUT ANY PCPN IN THE KCVG/KLUK TAFS.
BACKED OFF ON THE ONSET OF BR FROM THE PREVIOUS TAFS. IT LOOKS
LIKES A LITTLE DRIER ARE WILL BE WORKING IN FORM THE NORTH. ONLY
BROUGHT MVFR FOG IN AROUND 10-12Z IN THE NORTH. FARTHER
SOUTH...WHERE THE DEWPOINTS HOLD UP A LITTLE MORE...BROUGHT MVFR
HZ IN AROUND 03Z. DROPPED VSBYS TO IFR BY 08Z...WITH LIFR AT KLUK.
MODELS ARE HINTING AT POSSIBLY SOME ST IN THE MORNING ACROSS THE
SOUTH.
HIGH PRESSURE BUILDS IN FROM THE NORTH ON SUNDAY. CURU WAS SHOWING
BKN CU ACROSS THE NORTH IN THE AFTN.
SITES
&&
.PREV DISCUSSION...
/ISSUED 326 PM EDT SAT AUG 19 2006/
SHORT TERM /TONIGHT THROUGH SUNDAY NIGHT/...
FRNTL BNDRY PROGGED FAIRLY CLOSE TO I-71 ATTM. MAIN CONVECTION HAS
FIRED AHEAD OF MID LVL S/WV IN AREA OF PVA WITH HIGHER AMOUNTS OF
INSTABILITY. THESE TSTMS DVLPD ACRS SOUTH CNTRL OH AND NRN KY AND
HAVE ALREADY PUSHED EAST OUT OF FCST AREA. IN WAKE OF THIS
ACTIVITY...ISOLD -SHRA HAVE DVLPD RIGHT ALONG THE BNDRY FROM NEAR
CMH METRO TO JUST WEST OF KILN. DO NOT EXPECT ANYTHING MORE THAN
ISOLD CONVECTION AS FRNTL BNDRY TRACKS EAST ACRS REGION OVER NEXT
FEW HOURS...AS BETTER PVA ALIGNED WITH CONVECTION TO EAST AND
MODEL SOUNDINGS INDCG DVLP CAP AROUND 7KFT. TEMPS WERE IN THE 80S
THIS AFTN.
USED 18Z RUC FOR ERLY PORTION OF FCST. MID LVL S/WV AND VORT
SHOULD BE EAST OF FCST AREA BY 22Z WITH STRONG NVA CURRENTLY ACRS
INDIANA POISED TO MOVE ACRS REGION. HAVE MAINTAINED 20-30 POPS
ALONG AND EAST OF I-71 INTO ERLY EVNG...THEN MAINTAIN LO CHC POPS
ACRS SRN 1/2 FCST AREA INTO OVERNIGHT. FRNTL BNDRY WILL SAG
SOUTH OF OHIO RIVER SLOWLY OVERNIGHT. SECONDARY BNDRY CURRENTLY
OVER WESTERN GRT LKS WILL DROP SOUTH INTO FCST AREA LATE TONIGHT.
FCST AREA AGAIN APPEARS TO NOT BE IN VERY FAVORABLE SITUATION FOR
PCPN. FCST AREA WILL BE SPLIT BY TWO MAIN VORTS ASSOCD WITH MID
LVL S/WV. ONE VORT WILL PASS WELL TO NORTH OF REGION ACRS SRN
ONTARIO...WHILE SECOND VORT DROPS SE FROM MID MISSISSIPPI VLY INTO
CNTRL KY BY ERLY SUN. SOME WEAK INSTABILITY AND LO LVL CONV NOTED
WITH THE SECOND VORT DROPPING INTO KY...AND THIS MAY BE ENUF TO
EITHER SPARK A FEW ISOLD SHRA/TSTMS LATE TONIGHT ACRS SRN FCST
AREA...OR TSTMS THAT DVLP TO WEST OF REGION MAY CLIP SRN PORTIONS
OF FCST AREA AFT MIDNIGHT. WITH THIS IN MIND...WILL MAINTAIN A 20
POP LATE TONIGHT ACRS SRN 1/2 FCST AREA. WITH ABUNDANT LO LVL
MOISTURE ACRS REGION...POTENTIAL EXISTS FOR PATCHY FOG LATE
TONIGHT AND INTO ERLY SUN.
BOTH 12Z NAM AND GFS NOW A LITTLE QUICKER IN PUSHING S/WV EAST OF
REGION ON SUN WITH SFC HI PRES AND DRIER AIRMASS BUILDING IN FROM
NW. MODEL SOUNDINGS INDCG MID LVL CAP WILL STRENGTHEN DURING DAY
SUN AS HI BUUILDS INTO REGION. WITH FRNTL BNDRY SAGGING INTO UPR
TN VLY BY SUN AFTN/EVNG...THINKING MOST LOCATIONS WILL BE DRY
THROUGHOUT DAY SUNDAY. THERE IS AN OUTSIDE CHANCE AT A -SHRA OR
TWO ALONG AND SOUTH OF OHIO RIVER DURING AFTN HOURS...BUT CHANCE
IS LOW ENUF TO KEEP MENTION OUT OF FCST ATTM. EXPECTING PTLY CLDY
SKIES AS CU RULE AND MODEL SOUNDINGS SUGGESTING SCT/BKN CU DVLPG
AS 850 CAA EXPANDS SOUTH WITH HI PRES. SKIES SHOULD BECOME MSTLY
CLR SUN NIGHT AS CENTER OF SFC HI MOVES ACRS REGION. WITH LGT
WINDS AND DECENT RADIATIONAL COOLING CONDITIONS SETTING UP...COULD
BE ANOTHER FAVORABLE SETUP FOR FOG DVLPMNT LATE SUN NIGHT INTO
MON MRNG.
TEMPS...BOTH 12Z GFS AND NAM CAME IN COOLER WITH BNDRY LYR
THICKNESSES THRU SHORT TERM...AND WITH 850 TEMPS. AS A RESULT...
GENERALLY LOWERED TEMPS A FEW DEG FOR ALL THREE PERIODS. THIS
LINED UP CLOSELY WITH MET GUID.
RYAN
LONG TERM /MONDAY THROUGH SATURDAY/...
500 MB FLOW FOR THE EXTENDED WILL BE WEST TO NORTHWEST...WHICH WILL
KEEP DEEP TROPICAL/SUBTROPICAL MOISTURE TO OUR SOUTH. AT THE SURFACE
HIGH PRESSURE WILL DOMINATE WITH ONLY TWO EXCEPTIONS. WILL KEEP
MENTION OF PRECIP ACROSS FAR SOUTH MONDAY NIGHT AS BOTH NAM AND GFS
BRING WAVE THROUGH KENTUCKY. BUT HAVE PULLED PRECIP OUT OF THE FAR
SOUTH ON MONDAY AS THE EVOLUTION IS SLOWER WITH THIS RUN. MODELS
HAVE BEEN SLIDING THIS WAVE A BIT FARTHER SOUTH...BUT DON'T FEEL
GOOD ABOUT TAKING IT OUT OF MONDAY NIGHT. THE SECOND EXCEPTION IS A
WEAK COLD FRONT WHICH WILL GO THROUGH TUESDAY NIGHT INTO WEDNESDAY.
WILL KEEP THIS DRY BECAUSE OF TIMING OF FROPA AND STRENGTH...BUT
WILL MONITOR THESE FACTORS FOR POSSIBLE INCLUSION IN THE NEXT
PACKAGE.
TEMPS WILL GENERALLY BE CLOSE TO NORMAL.
TIPTON
AVIATION /18Z-18Z/...
CONDITIONS HAVE IMPROVED TO VFR. DO NOT EXPECT CONVECTION AT TAF
SITES WITH AXIS OF INSTABILITY EAST OF THE AREA. DO PREDICT THAT
MIST AND FOG WILL FORM TONIGHT WITH MODELS SHOWING PERSISTENT LOW
LEVEL MOISTURE IN THE VICINITY OF A SECONDARY FRONT. MAINLY VFR
CONDITIONS WILL RETURN ON SUNDAY IN THE DRYING NORTHERLY FLOW BEHIND
THE FRONT. THE EXCEPTION MAY BE AT DAY...WHERE MODEL SOUNDINGS
INDICATE MORE PERSISTENT BOUNDARY LAYER MOISTURE.
CONIGLIO
&&
.ILN WATCHES/WARNINGS/ADVISORIES...
OH...NONE.
KY...NONE.
IN...NONE.
&&
$$
</PRE></TT></td> oh
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE WILMINGTON OH
326 PM EDT SAT AUG 19 2006
.SHORT TERM /TONIGHT THROUGH SUNDAY NIGHT/...
FRNTL BNDRY PROGGED FAIRLY CLOSE TO I-71 ATTM. MAIN CONVECTION HAS
FIRED AHEAD OF MID LVL S/WV IN AREA OF PVA WITH HIGHER AMOUNTS OF
INSTABILITY. THESE TSTMS DVLPD ACRS SOUTH CNTRL OH AND NRN KY AND
HAVE ALREADY PUSHED EAST OUT OF FCST AREA. IN WAKE OF THIS
ACTIVITY...ISOLD -SHRA HAVE DVLPD RIGHT ALONG THE BNDRY FROM NEAR
CMH METRO TO JUST WEST OF KILN. DO NOT EXPECT ANYTHING MORE THAN
ISOLD CONVECTION AS FRNTL BNDRY TRACKS EAST ACRS REGION OVER NEXT
FEW HOURS...AS BETTER PVA ALIGNED WITH CONVECTION TO EAST AND
MODEL SOUNDINGS INDCG DVLP CAP AROUND 7KFT. TEMPS WERE IN THE 80S
THIS AFTN.
USED 18Z RUC FOR ERLY PORTION OF FCST. MID LVL S/WV AND VORT
SHOULD BE EAST OF FCST AREA BY 22Z WITH STRONG NVA CURRENTLY ACRS
INDIANA POISED TO MOVE ACRS REGION. HAVE MAINTAINED 20-30 POPS
ALONG AND EAST OF I-71 INTO ERLY EVNG...THEN MAINTAIN LO CHC POPS
ACRS SRN 1/2 FCST AREA INTO OVERNIGHT. FRNTL BNDRY WILL SAG
SOUTH OF OHIO RIVER SLOWLY OVERNIGHT. SECONDARY BNDRY CURRENTLY
OVER WESTERN GRT LKS WILL DROP SOUTH INTO FCST AREA LATE TONIGHT.
FCST AREA AGAIN APPEARS TO NOT BE IN VERY FAVORABLE SITUATION FOR
PCPN. FCST AREA WILL BE SPLIT BY TWO MAIN VORTS ASSOCD WITH MID
LVL S/WV. ONE VORT WILL PASS WELL TO NORTH OF REGION ACRS SRN
ONTARIO...WHILE SECOND VORT DROPS SE FROM MID MISSISSIPPI VLY INTO
CNTRL KY BY ERLY SUN. SOME WEAK INSTABILITY AND LO LVL CONV NOTED
WITH THE SECOND VORT DROPPING INTO KY...AND THIS MAY BE ENUF TO
EITHER SPARK A FEW ISOLD SHRA/TSTMS LATE TONIGHT ACRS SRN FCST
AREA...OR TSTMS THAT DVLP TO WEST OF REGION MAY CLIP SRN PORTIONS
OF FCST AREA AFT MIDNIGHT. WITH THIS IN MIND...WILL MAINTAIN A 20
POP LATE TONIGHT ACRS SRN 1/2 FCST AREA. WITH ABUNDANT LO LVL
MOISTURE ACRS REGION...POTENTIAL EXISTS FOR PATCHY FOG LATE
TONIGHT AND INTO ERLY SUN.
BOTH 12Z NAM AND GFS NOW A LITTLE QUICKER IN PUSHING S/WV EAST OF
REGION ON SUN WITH SFC HI PRES AND DRIER AIRMASS BUILDING IN FROM
NW. MODEL SOUNDINGS INDCG MID LVL CAP WILL STRENGTHEN DURING DAY
SUN AS HI BUUILDS INTO REGION. WITH FRNTL BNDRY SAGGING INTO UPR
TN VLY BY SUN AFTN/EVNG...THINKING MOST LOCATIONS WILL BE DRY
THROUGHOUT DAY SUNDAY. THERE IS AN OUTSIDE CHANCE AT A -SHRA OR
TWO ALONG AND SOUTH OF OHIO RIVER DURING AFTN HOURS...BUT CHANCE
IS LOW ENUF TO KEEP MENTION OUT OF FCST ATTM. EXPECTING PTLY CLDY
SKIES AS CU RULE AND MODEL SOUNDINGS SUGGESTING SCT/BKN CU DVLPG
AS 850 CAA EXPANDS SOUTH WITH HI PRES. SKIES SHOULD BECOME MSTLY
CLR SUN NIGHT AS CENTER OF SFC HI MOVES ACRS REGION. WITH LGT
WINDS AND DECENT RADIATIONAL COOLING CONDITIONS SETTING UP...COULD
BE ANOTHER FAVORABLE SETUP FOR FOG DVLPMNT LATE SUN NIGHT INTO
MON MRNG.
TEMPS...BOTH 12Z GFS AND NAM CAME IN COOLER WITH BNDRY LYR
THICKNESSES THRU SHORT TERM...AND WITH 850 TEMPS. AS A RESULT...
GENERALLY LOWERED TEMPS A FEW DEG FOR ALL THREE PERIODS. THIS
LINED UP CLOSELY WITH MET GUID.
RYAN
&&
.LONG TERM /MONDAY THROUGH SATURDAY/...
500 MB FLOW FOR THE EXTENDED WILL BE WEST TO NORTHWEST...WHICH WILL
KEEP DEEP TROPICAL/SUBTROPICAL MOISTURE TO OUR SOUTH. AT THE SURFACE
HIGH PRESSURE WILL DOMINATE WITH ONLY TWO EXCEPTIONS. WILL KEEP
MENTION OF PRECIP ACROSS FAR SOUTH MONDAY NIGHT AS BOTH NAM AND GFS
BRING WAVE THROUGH KENTUCKY. BUT HAVE PULLED PRECIP OUT OF THE FAR
SOUTH ON MONDAY AS THE EVOLUTION IS SLOWER WITH THIS RUN. MODELS
HAVE BEEN SLIDING THIS WAVE A BIT FARTHER SOUTH...BUT DON'T FEEL
GOOD ABOUT TAKING IT OUT OF MONDAY NIGHT. THE SECOND EXCEPTION IS A
WEAK COLD FRONT WHICH WILL GO THROUGH TUESDAY NIGHT INTO WEDNESDAY.
WILL KEEP THIS DRY BECAUSE OF TIMING OF FROPA AND STRENGTH...BUT
WILL MONITOR THESE FACTORS FOR POSSIBLE INCLUSION IN THE NEXT
PACKAGE.
TEMPS WILL GENERALLY BE CLOSE TO NORMAL.
TIPTON
&&
.AVIATION /18Z-18Z/...
CONDITIONS HAVE IMPROVED TO VFR. DO NOT EXPECT CONVECTION AT TAF
SITES WITH AXIS OF INSTABILITY EAST OF THE AREA. DO PREDICT THAT
MIST AND FOG WILL FORM TONIGHT WITH MODELS SHOWING PERSISTENT LOW
LEVEL MOISTURE IN THE VICINITY OF A SECONDARY FRONT. MAINLY VFR
CONDITIONS WILL RETURN ON SUNDAY IN THE DRYING NORTHERLY FLOW BEHIND
THE FRONT. THE EXCEPTION MAY BE AT DAY...WHERE MODEL SOUNDINGS
INDICATE MORE PERSISTENT BOUNDARY LAYER MOISTURE.
CONIGLIO
&&
.ILN WATCHES/WARNINGS/ADVISORIES...
OH...NONE.
KY...NONE.
IN...NONE.
&&
$$
</PRE></TT></td> oh
AREA FORECAST DISCUSSION FOR WESTERN SD AND NORTHEASTERN WY
NATIONAL WEATHER SERVICE RAPID CITY SD
808 PM MDT SAT AUG 19 2006
.DISCUSSION...THE BASIC FORECAST LOOKS ON TRACK. SOME THUNDERSTORMS
HAVE DEVELOPED OVER A NARROW MOISTURE/CAPE AXIS ACROSS NORTHEASTERN
WY...AND A FEW OF THESE HAVE BECOME LEFT-MOVING SUPERCELLS. THESE
ARE EXPECTED TO WEAKEN AS THEY CONTINUE NORTHEAST WHERE CAPE IS <
100 J/KG. HOWEVER...THE RUC IS SUGGESTING THAT A LOW-LEVEL JET WILL
DEVELOP BY 06Z ACROSS WRN SD...WITH THETA-E DECENT ADVECTION AND
ELEVATED CAPE OF 200-500 J/KG. THUS...THE FORECAST MAY NEED TO BE
UPDATED FOR THUNDERSTORMS AFTER 06Z IF PROFILER AND VWP OBSERVATIONS
SUPPORT THE MODEL FORECAST OF THE LOW-LEVEL JET.
&&
UNR...WATCHES/WARNINGS/ADVISORIES...
SD...NONE.
WY...NONE.
&&
$$
BUNKERS
</PRE></TT></td> sd
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE CHARLESTON WV
734 PM EDT SAT AUG 19 2006
.SHORT TERM /REST OF TONIGHT/...
HAVE ISSUED A COUPLE OF UPDATES ALREADY THIS EVENING...TO TRACK THE
PROGRESS OF THE PRIMARY BATCH OF PRECIP ACROSS THE CWA. ANOTHER
ROUND...ALBEIT MUCH THINNER IS TRACKING ACROSS SE OHIO...ASSOCIATED
WITH THE COLD FRONT. AFTER THIS NEXT LINE TRACKS THROUGH DEW POINTS
SHOULD BE ABLE TO FALL A COUPLE OF NOTCHES. GOOD CLEARING WILL
OCCUR DURING SUNDAY AFTERNOON. HOWEVER...SIGNIFICANT COOLING IS NOT
EXPECTED. WE WILL STILL BE ABLE TO FALL BACK ABOUT 5 DEGREES...TO
NEAR NORMAL HIGH TEMPS FOR TOMORROW.
THE MAIN CHANGES FOR THIS UPDATE WERE TO CONTINUE TO SLIDE THE BEST
CHANCE OF POPS TO OUR EAST...AND TRY TO TIME THE THIN LINE ACROSS
THE AREA. COOLED HTS OVERNIGHT LOW A COUPLE OF DEGREES...AND ROSE
EKN A COUPLE. FEW OTHER CHANGES WERE MADE. WILL LIKELY ISSUE
ANOTHER UPDATE TO THE ZFP ONE MOST OF THE PRECIP EXITS...TO FRESHEN
UP THE WORDING.
&&
.AVIATION...
CEILINGS REMAIN VFR AT ALL OF THE TAF SITES AT 23Z...WITH VIS
BRINGING THEM DOWN TO MVFR AT BOTH BKW AND HTS. MOST LOCATIONS
SHOULD FALL TO MVFR OR IFR WITH FOG PRIOR TO DAWN...WITH A SLOW
CLIMB IN CEILING HEIGHT THROUGH THE LATE MORNING HOURS. WILL
CONTINUE TO TWEAK THIS FORECAST...GIVEN SEVERAL BREAKS IN THE CLOUD
COVER UPSTREAM. WITH THE LOW CHANCE OF PRECIP...MAINLY LESS THAN 40
PERCENT OVER THE NEXT 24 HOURS...HAVE OPTED TO LEAVE MOST OF IT OUT
UNTIL WE GET A BETTER HANDLE ON LOCATION AND
INTENSITY...PARTICULARLY ACROSS THE SE CORNER OF THE AREA...FOR BKW
AS ANOTHER WAVE OF ENERGY SLIDES ACROSS AND ALONG THE FRONT TOMORROW
AFTERNOON.
&&
.PREV DISCUSSION...
/ISSUED 259 PM EDT SAT AUG 19 2006/
SHORT TERM /REST OF TONIGHT THROUGH TUESDAY/...
NEW MODEL RUNS CONSISTENT WITH PREVIOUS RUNS PUSHING FRONT THROUGH
AND TO THE SOUTH. WAVE ALONG FRONT KEEPS CHC ACROSS SOUTH. NO REAL
CHANGE TO FCST. LOCAL WRF AND RUC MODEL IDENTIFIED CONVECTION
SETTING UP THIS AFTERNOON WELL BELOW UPPER LEVEL DIVERGENCE. AFTER
SUNSET THEY SHOW THINGS CALMING DOWN AS UPPER DIVERGENCE MOVES OFF
TO THE EAST.
AVIATION...
A FAIR AMOUNT OF MOISTURE AROUND TONIGHT SHOULD KEEP SOME CLOUDS
AROUND. BUT...WITH PRECIP THIS AFTERNOON AND THE FRONT ONLY TO
NEAR OHIO RIVER SUNDAY MORNING...FOG SHOULD SET UP IN NORMAL PRIME
AREAS. WITH MOISTURE AND SOME CLOUDS HAVE RESTRICTED LOWER
CONDITIONS MORE TO VSBY THEN CIG.
PREV DISCUSSION...
/ISSUED 1247 PM EDT SAT AUG 19 2006/
LONG TERM /TUESDAY THROUGH SATURDAY/...
MODELS ARE SHOWING PRIMARY AND SECONDARY FRONTAL PLACEMENTS IN
SIMILAR LOCATIONS COMPARED WITH PREVIOUS RUNS. MAINTAINED TUESDAY
POPS IN SOUTHERN ZONES WITH PRIMARY FRONT SLOWLY SINKING SOUTH.
HOWEVER...THE SECONDARY FRONT CONTINUES TO LOOK MORE DIFFUSE AND
MOISTURE STARVED WITH EACH SUCCESSIVE MODEL RUN. I REMOVED THE
SLIGHT CHANCE POPS FOR WEDNESDAY/WEDNESDAY NIGHT.
LOOKS LIKE A COMFORTABLE PERIOD THURSDAY INTO FRIDAY...WITH DRY
AIR MASS AND SURFACE HIGH PRESSURE PASSING JUST TO OUR NORTH. AS
THE HIGH GOES OVER THE ATLANTIC LATE FRIDAY THROUGH NEXT
WEEKEND...MOISTURE LOOKS TO RETURN AT LOW LEVELS...WHILE UPPER
LEVEL TROUGHINESS ARRIVES FROM THE WEST. CHANCE POPS HAVE BEEN
INTRODUCED FOR THIS TIME PERIOD.
&&
.RLX WATCHES/WARNINGS/ADVISORIES...
WV...NONE.
OH...NONE.
KY...NONE.
VA...NONE.
&&
$$
SHORT TERM...KF
AVIATION...KF
</PRE></TT></td> wv
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE CHARLESTON WV
259 PM EDT SAT AUG 19 2006
.SHORT TERM /REST OF TONIGHT THROUGH TUESDAY/...
NEW MODEL RUNS CONSISTENT WITH PREVIOUS RUNS PUSHING FRONT THROUGH
AND TO THE SOUTH. WAVE ALONG FRONT KEEPS CHC ACROSS SOUTH. NO REAL
CHANGE TO FCST. LOCAL WRF AND RUC MODEL IDENTIFIED CONVECTION
SETTING UP THIS AFTERNOON WELL BELOW UPPER LEVEL DIVERGENCE. AFTER
SUNSET THEY SHOW THINGS CALMING DOWN AS UPPER DIVERGENCE MOVES OFF
TO THE EAST
&&
.AVIATION...
A FAIR AMOUNT OF MOISTURE AROUND TONIGHT SHOULD KEEP SOME CLOUDS
AROUND. BUT...WITH PRECIP THIS AFTERNOON AND THE FRONT ONLY TO
NEAR OHIO RIVER SUNDAY MORNING...FOG SHOULD SET UP IN NORMAL PRIME
AREAS. WITH MOISTURE AND SOME CLOUDS HAVE RESTRICTED LOWER
CONDITIONS MORE TO VSBY THEN CIG.
&&
.PREV DISCUSSION...
/ISSUED 1247 PM EDT SAT AUG 19 2006/
LONG TERM /TUESDAY THROUGH SATURDAY/...
MODELS ARE SHOWING PRIMARY AND SECONDARY FRONTAL PLACEMENTS IN
SIMILAR LOCATIONS COMPARED WITH PREVIOUS RUNS. MAINTAINED TUESDAY
POPS IN SOUTHERN ZONES WITH PRIMARY FRONT SLOWLY SINKING SOUTH.
HOWEVER...THE SECONDARY FRONT CONTINUES TO LOOK MORE DIFFUSE AND
MOISTURE STARVED WITH EACH SUCCESSIVE MODEL RUN. I REMOVED THE
SLIGHT CHANCE POPS FOR WEDNESDAY/WEDNESDAY NIGHT.
LOOKS LIKE A COMFORTABLE PERIOD THURSDAY INTO FRIDAY...WITH DRY
AIR MASS AND SURFACE HIGH PRESSURE PASSING JUST TO OUR NORTH. AS
THE HIGH GOES OVER THE ATLANTIC LATE FRIDAY THROUGH NEXT
WEEKEND...MOISTURE LOOKS TO RETURN AT LOW LEVELS...WHILE UPPER
LEVEL TROUGHINESS ARRIVES FROM THE WEST. CHANCE POPS HAVE BEEN
INTRODUCED FOR THIS TIME PERIOD.
PREV DISCUSSION...
/ISSUED 654 AM EDT SAT AUG 19 2006/
AVIATION...
FOG AT HTS WILL BURN OFF BY 13Z...THEN WE WILL BE WATCHING FOR SHWRS
AND TSTORMS DEVELOPING AHEAD A FRONT MOVING THROUGH THE OHIO VALLEY
AS HIGH PRESSURE DEPARTS. THINKING SHOWERS AND STORMS WILL BE MOST
NUMEROUS THROUGH NORTHERN TERMINALS PKB AND CKB. ALTHOUGH STORMS
WILL BE SCATTERED AND HARD TO PINPOINT EXACT TIME...DID CODE AT LEAST
CB OR TSRA IN ALL TERMINALS. WILL BE HOLDING OFF ON FOG FOR MOST
SPOTS TONIGHT WITH CLOUDS HANGING AROUND...BUT ENOUGH BREAKS SHOULD
OCCUR ACROSS THE NORTH FOR IFR FOG TO FORM.
PREV DISCUSSION...
/ISSUED 411 AM EDT SAT AUG 19 2006/
SHORT TERM /TODAY THROUGH SATURDAY NIGHT/...
WILL NEED SOME SUNSHINE OR AN OUTFLOW BOUNDARY TODAY TO GET
CONVECTION GOING PERHAPS IN THE CENTRAL AND SOUTH BEFORE SHORTWAVE
CUTS THROUGH THE OHIO VALLEY LATER THIS AFTERNOON. DID RAISE HIGHS
CLOSER TO GUIDANCE IN THE SOUTH...THINKING THAT SUNSHINE WILL BREAK
THROUGH THERE AT TIMES. BUFKIT SOUNDINGS SHOW A DECENT AMOUNT OF
CINH IN THE CENTRAL AND SOUTH...WITH LESS ACROSS NORTHERN WEST
VIRGINIA AND SOUTHEASTERN OHIO. THEREFORE...KEPT POPS PRETTY MUCH AS
IS...AND STUCK WITH LIKELIES ACROSS FAR NORTH AND SOUTHEAST OHIO.
ALSO DELAYED POPS BY ABOUT 3HRS WITH SLOWER PROGRESSION OF SHRTWV
AND BOUNDARY. WILL BE INTERESTED TO SEE PWATS OFF OF 12Z
SOUNDINGS...WITH 70F DEWPOINTS...SMALL MBE VELOCITIES...GOOD H850
DEWS AND WARM CLOUD LAYER TO 13KFT...DID FLIRT WITH ADDING HEAVY
RAINFALL WORDING WITH LIKELY POPS TO ZONES...BUT WILL LET NEXT SHIFT
MAKE THAT DECISION. SPC IS INTERESTED IN NORTHERN WEST VIRGINIA AND
SOUTHEASTERN OHIO FOR POSSIBLE STRONG STORMS THIS AFTERNOON.
OVER THE PAST FEW RUNS...THE NAM HAS BEEN HINTING AT CONVECTION
ONGOING IN THE SOUTH OVERNIGHT SATURDAY CLOSER TO THE COLD
FRONT...AS THE FRONT BECOMES MORE STRETCHED WEST TO EAST AND SLOWS.
WITH BIG 0-6KM SHEAR VALUES OF 50 M/S DURING THE OVERNIGHT AND
THICKNESS DIVERGENCE OVER SOUTHERN WEST VIRGINIA...DID HOLD ONTO
POPS A LITTLE BIT LONGER ACROSS SOUTHERN COUNTIES...ESPECIALLY IF
BOUNDARY BECOMES STATIONARY. A SIMILAR SETUP PRODUCED A NICE COMPLEX
IN THE MISSISSIPPI VALLEY LAST NIGHT. IF THIS DOES DEVELOP...IT MAY
BE ABLE TO HOLD TOGETHER THROUGH THE OHIO VALLEY WITH THAT AMOUNT OF
SHEAR. CLOCKWISE HODOGRAPH POINTS MORE TO A SOUTHEASTERLY MOVEMENT.
FRONT SHOULD MAKE ENOUGH PROGRESS THOUGH TO BRING PRECIP TO AN END
IN THE NORTH LATER TONIGHT. DID DECREASE CLOUD COVER THERE BY SUNDAY
MORNING.
LONG TERM /SUNDAY THROUGH SATURDAY/...
SHEAR VALUES START TO DECREASE BY SUNDAY MORNING BUT THERE MAY BE
ONE LAST OPPORTUNITY FOR THUNDERSTORMS SUNDAY LATE MORNING AND
MIDDAY EASTERN AND FAR SOUTHERN PORTIONS OF AREA IN THE DAYTIME
HEATING BEFORE FRONT AND UPPER SHORT WAVE FINALLY PUSH ON THROUGH.
DRIER AIR FILTERS IN FROM THE NORTH FOR SUNDAY NIGHT AND MONDAY AS
HIGH PRESSURE BUILDS E ACROSS LOWER GREAT LAKES.
MODELS APPEAR TO CONCUR ON IDEA OF WAVE ALONG FRONT...BRINGING
PRECIPITATION BACK INTO AT LEAST SOUTHERN PORTION OF AREA LATE
MONDAY AND CONTINUING INTO TUESDAY. THERE ARE DIFFERENCES W/R
TIMING AND HOW FAR N FORCING AND PRECIPITATION GET. PLAYED IT
CONSERVATIVE W/R HOW FAR N PRECIPITATION GETS...AND RAISED POPS S
ONLY SLIGHTLY WHILE ALSO SPEEDING UP ONSET A BIT...ALL IN COORD WITH
ADJACENT OFFICES.
NEW COLD FRONT PUSHES THROUGH LATE WEDNESDAY INTO THURSDAY FOLLOWED
BY MORE DRY...COOL AIR. EDGED POPS DOWN A BIT AS THIS ONE LOOKS
MOISTURE STARVED WITH LITTLE INSTABILITY.
EDGED HIGH TEMPERATURES UP SUNDAY ACROSS THE N IN THE SUNSHINE AS
WAS NOT IMPRESSED WITH LOW LEVEL THERMAL GRADIENT BEHIND FRONT.
ENDED UP CLOSEST TO THE HIGHER NUMBERS N AND THE LOWER NUMBERS S
WHERE CLEARING IS LATER. NUMBERS WERE BETTER CONVERGED FOR SUNDAY
NIGHT AND MONDAY SO STAYED CLOSE. LITTLE CHANGE MADE BEYOND
MONDAY.
&&
.RLX WATCHES/WARNINGS/ADVISORIES...
WV...NONE.
OH...NONE.
KY...NONE.
VA...NONE.
&&
$$
SHORT TERM...ARJ
AVIATION...AAR
</PRE></TT></td> wv
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE JACKSON KY
430 AM EDT SUN AUG 20 2006
.DISCUSSION...
COLD FRONT HAS DROPPED INTO THE NORTHERN PORTIONS OF OUR CWA THIS
MORNING. A THIN LINE OF SCATTERED SHOWERS AND THUNDERSTORMS HAVE
DEVELOPED ALONG THE BOUNDARY...WITH A FEW ADDITIONAL POCKETS OF
SHOWER AND THUNDERSTORMS OUT AHEAD OF THE FRONT. OTHERWISE...AN MCS
WAS TRACKING EASTWARD THROUGH WESTERN KENTUCKY. EXPECT THIS FEATURE
TO WEAKEN SOME AS IT PROGRESSES EASTWARD INTO A MORE STABLE
ENVIRONMENT AND WHERE THE ATMOSPHERE HAS BEEN WORKED OVER DURING THE
OVERNIGHT. RUC ANALYSIS AND RADAR CONFIRMS THIS TREND.
EXPECT SHOWERS AND THUNDERSTORMS TO CONTINUE TO DEVELOP ALONG AND
AHEAD OF THE FRONT AS IT SLIDES SOUTHWARD THROUGH THE DAY. ACTIVITY
WILL INTENSIFY IN COVERAGE AND STRENGTH LATER IN THE AFTERNOON WITH
HELP OF DAY TIME HEATING AND AS SOME SHORT WAVE ENERGY MANAGES TO
MAKE ITS WAY INTO THE AREA. PERSISTENCE WOULD SUGGEST THAT ONE OR
TWO STORMS MAY EVEN MAKE IT TO SEVERE LEVELS THIS AFTERNOON WITH THE
MAIN THREAT BEING HIGH WINDS. ALSO...SOME LOCALLY HEAVY RAINFALL
WILL BE POSSIBLE. WILL MENTION THESE IN THE HWO.
WILL SEE A BRIEF REPRIEVE FROM SHOWER ACTIVITY LATER TONIGHT.
AFTERWARDS...MODELS STILL DEVELOP A WAVE OF LOW PRESSURE AND TRACK
IT EASTWARD BETWEEN THE TN AND OH VALLEYS LATE MONDAY INTO TUESDAY.
NAM IS FURTHER SOUTH AND FASTER WITH ANY ENERGY ASSOCIATED WITH
THIS DISTURBANCE AS COMPARED TO THE GFS. FOR NOW STAYED WITH THE
MORE CONSISTENT GFS SOLUTION. BEST LIFT OVER EASTERN KENTUCKY
APPEARS TO OCCUR DURING THE MONDAY NIGHT...TUESDAY TIME FRAME. SO
HIT POPS HARDEST DURING THIS PERIOD.
&&
.PREV DISCUSSION...
930 PM EDT SAT AUG 19 2006
S/WV HAS MOVED THRU THE AREA AND MOST OF THE CONVECTION NOW
EAST/SOUTH OF CWFA. ISOLATED CONVECTION POPPING UP IN CNTRL KY BUT
DIMINISHES TO BARELY -RA BY THE TIME IT GETS TO I-75. WX OF GREATEST
CONCERN IS THE SHRA ALONG THE QUASI-STATIONARY FNT FM PMH TO CVG AND
CONVECTIVE COMPLEX ON THE WRN FRINGE OF CNTRL KY CWFA. HAVE KEPT CHC
POP IN NORTH FOR FNTL CONVECTION AND FEEL THE MCS IN WRN KY WILL HOLD
AT BAY UNTIL AFTER SUNRISE. LOCALLY DENSE FOG IN VLYS IS SPILLING
ONTO RIDGES IN LIGHT SRLY BREEZE. LIGHT WIND SHOULD GO CALM TONITE
AND FOG WILL SETTLE BUT THE DEPTH OF THE MOIST/SATURATED AIR MAY
PRECLUDE ANY SIGNIFICANT DROP IN TEMP. ALREADY INTO THE LOWER 70S AND
HAVE PROJECTED LOWS IN THE NRN 2/3 CWFA TO ONLY DROP A COUPLE OF DEG
FROM CURRENT TEMPS...PUTTING THEM BARELY INTO THE UPPER 60S.
536 PM EDT SAT AUG 19 2006
SW/V IS MOVING FROM THE OH VALLEY AND INTO THE CENTRAL APPALACHIANS
LATE THIS AFTERNOON. UPPER TROUGH WAS MOVING FROM THE UPPER MIDWEST
AND INTO THE GREAT LAKES. MCS DEVELOPED OVER THE CWA AHEAD OF THE
SW/V AND MAINLY PRODUCED LOCALLY HEAVY RAIN OF AN INCH TO AN INCH AND
ONE HALF IN ABOUT ONE HALF OF AN HOUR. STRATIFORM RAIN LINGERS OVER
THE EASTERN 2/3 OF THE CWA...WITH ONLY A COUPLE OF POCKETS OF
INSTABILITY LEFT NEAR THE VA AND TN BORDERS. AT THE SFC...AN AREA OF
LOW PRESSURE WAS OVER EASTERN LAKE ERIE...WITH A COLD FRONT TRAILING
SW TO NEAR KCMH TO KILN TO KHNB TO NEAR KMVN AND THEN WAS STATIONARY
DOWN INTO WESTERN TX.
THE INITIAL SW/V SHOULD PASS EAST OF THE EVENING...WITH SW/V RIDGING
WORKING ACROSS THE REGION DURING THE EVENING...LEADING TO A LULL IN
THE CONVECTION. WE EXPECT FOG DEVELOPMENT WHERE ANY HOLES IN THE
CLOUDS ARE PRESENT. THE SFC COLD FRONT WILL GRADUALLY SAG INTO THE
NORTHERN PART OF THE CWA BY 12 SUN. HOWEVER...EXPECT VERY LITTLE
CONVECTION OVERNIGHT IN THE CWA...WITH SOME POSSIBLY FORMING TO OUR
WEST VERY LATE AS THE TROUGH AXIS APPROACHES. THE TROUGH AXIS CROSS
THE AREA DURING THE DAY AND MODEL CONSENSUS IS THAT CONVECTION WILL
FROM IN THE MID TO LATE MORNING AND MOVE TO THE SOUTH OF THE CWA
DURING THE EVENING AS THE FRONT CONTINUES TO MOVE SOUTH AND BE MORE
WIDESPREAD OVER THE SW 2/3 OF THE CWA IN WARMER AND SLIGHTLY MORE
MOIST AIRMASS OUT AHEAD OF THE FRONT AND WENT LIKELY THERE FOR SUN.
LOW TEMPS TONIGHT WERE TRICKY...WITH TEMPS ALREADY NEAR MOS GUIDANCE
LOWS IN THE RAIN COOLED AIR. MOS NUMBERS WERE CLOSE AND WENT WITH A
BLEND OVERALL AND CLOSE TO THE PREVIOUS FORECAST. FOG COULD DRIVE
TEMPS DOWN FURTHER...AND LATER SHIFTS WILL MONITOR. TEMPS ON SUN WILL
ALSO BE TRICKY...AND HIGHLY DEPENDENT ON PRECIP AND FROPA TIMING.
OVERALL TRENDED TEMPS DOWN ON SUN.
MODELS CONTINUE TO INDICATE THAT THE FRONT WILL GET HUNG UP OVER THE
TN VALLEY. AS ANOTHER SW/V DROPS SOUTH AND SHARPENS THE BROAD EASTERN
TROUGH THAT WILL BE IN PLACE EARLY IN THE WEEK. A COUPLE OF SFC WAVES
ARE EXPECTED TO TRACK NE ALONG THE BOUNDARY. CONTINUED UPWARD TREND
OF POPS WITH MORE RUN TO RUN CONSISTENCY WITH THIS IDEA...MAINLY ON
MON NIGHT AND DURING THE DAY ON TUE...WHEN BEST UVV IS INDICATED OVER
THE AREA.
EXTENDED (OZ WED THROUGH 12Z SUN)...ONLY A FEW SLIGHT CHANGES MADE
TO EXTENDED PORTION OF FORECAST. LATEST GFS HAS AN MORE DIFFUSE FRONT
MOVING SOUTH ACROSS THE OHIO VALLEY WEDNESDAY NIGHT INTO THURSDAY. IN
FACT...IT IS VERY DIFFICULT TO EVEN FIND THE FRONT IN THE MODEL DATA.
MODEL CROSS SECTIONS WITH A VERY SHALLOW LAYER OF MOIST AIR NEAR THE
SURFACE PRETTY MUCH THE WHOLE WEEK. THIS WARRANTED LEAVING IN PARTLY
TO MOSTLY CLOUDY SKIES...BUT DEFINITELY NOT PRECIPITATION. REMOVED
PRECIPITATION CHANCES FROM THE FORECAST THROUGH NEXT FRIDAY. GFS AND
ECMWF BOTH TRYING TO MOVE A FRONTAL WAVE UP THE EAST COAST...JUST TO
THE EAST OF THE APPALACHIAN MOUNTAINS NEXT SATURDAY...SO DECIDED TO
ADD POPS TO THAT PORTION OF THE FORECAST. MADE CORRESPONDING
ADJUSTMENTS TO QPF...SKY...AND WEATHER GRIDS FOR NEXT SATURDAY AS
WELL.
TEMPERATURES LOOKED PRETTY GOOD AS WELL. DECIDED TO INCREASE DAYTIME
HIGHS BY A DEGREE OR SO ACROSS THE BOARD...AS MEXMOS NUMBERS HAVE
COME IN A BIT HIGHER EACH OF THE PREVIOUS 3 RUNS. A FEW TWEAKS WERE
ALSO MADE TO DEWPOINTS...AS LATE IN THE WEEK THEY SEEMED A BIT HIGH.
WINDS WERE IN GOOD SHAPE AND WERE LEFT ALONE.
1224 PM EDT SAT AUG 19 2006
ISSUED AN UPDATE EARLIER TO MAINLY REMOVE MORNING FOG REFERENCES. A
SW/V WAS MOVING THROUGH THE OH VALLEY THIS AFTERNOON AND SHOULD BE
CROSSING THE REGION NEAR PEAK HEATING. CONVECTION HAS DEVELOPED OVER
THE BLUEGRASS ASSOCIATED WITH THIS FEATURE. AN ISOLATED THUNDERSTORM
HAS DEVELOPED NEAR THE TN LINE. MODEL FORECAST SOUNDINGS INDICATE
THAT MODERATE INSTABILITY WILL DEVELOP ACROSS THE CWA TODAY...WITH
CAPES AROUND 2500 TO 3000 J/KG AND LI AROUND -6 EXPECTED. WIND
FIELDS ARE WEAK AND WBZ HEIGHTS ARE EXPECTED TO BE IN THE 14 TO 15K
FT RANGE. EXPECT THIS CONVECTION TO PROGRESS EAST INTO THE CWA
BETWEEN 17 AND 18Z...GENERALLY BETWEEN I 64 AND THE HAL RODGERS
PARKWAY. ADDITIONAL CONVECTION SHOULD DEVELOP AS CONVECTIVE TEMPS
ARE REACHED OUTSIDE OF THIS AREA. MAIN FEATURE OF AFTERNOON
CONVECTION SHOULD BE LOCALLY HEAVY RAIN...THOUGH SOME OF THE
STRONGEST STORMS...IF THEY CAN BUILD ABOVE THE TROPOPAUSE...COULD
PRODUCE AN ISOLATED MICROBURST OR TWO. OVERALL...KEPT POPS NEAR THE
PREVIOUS FORECAST. RAISED TEMPS ONE OR TWO DEGREES IN SOME AREAS
BASED ON THE LATEST TRENDS.
&&
.JKL WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
RAY
</PRE></TT></td> ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE ST LOUIS MO
355 AM CDT SUN AUG 20 2006
.DISCUSSION...
WEAK AND DIFFUSE COLD FRONT LOOKS TO HAVE PASSED COMPLETELY THROUGH
THE AREA...AND SOMEWHAT DRIER AIR IS SLOWLY WORKING ITS WAY SOUTH
OUT OF THE UPPER MID-WEST THIS MORNING. STILL HAVING TO DEAL WITH
ISOLATED SHOWERS AND THUNDERSTORMS THIS MORNING...MAINLY SOUTH OF
THE I-70 CORRIDOR. ADDITIONALLY...FOG AND STRATUS HAVE
DEVELOPED/ARE DEVELOPING ACROSS MUCH OF THE CWFA THIS MORNING.
BOTH THE RUC AND NAM ARE SHOWING SOME MOISTURE CONVERGENCE ON WHAT
APPEARS TO BE THE 850MB FRONT STRETCHING FROM NEAR KSTL TO JUST
NORTH OF KSGF WHICH APPEARS TO BE THE PRIMARY CAUSE OF OUR SHOWER
ACTIVITY. THIS MOISTURE CONVERGENCE REALLY TRENDS DOWNWARD AFTER
SUNRISE AS THE 850 FRONT DROPS SOUTHWARD SO I WOULD EXPECT THE
SHOWERS TO DIMINISH BY MID-MORNING IF NOT SOONER. FOG AND STRATUS
SHOULD LIFT BY MID MORNING INTO A BROKEN STRATO-CU/CUMULUS
FIELD...AND IT APPEARS THAT SHORTWAVE ENERGY EJECTING EASTWARD
ACROSS MISSOURI FROM THE PLAINS COMBINED WITH DIFFERENTIAL HEATING
NEAR THE FRONTAL BOUNDARY WILL ALLOW MORE SHOWERS AND THUNDERSTORMS
TO GET FIRED UP ACROSS SOUTHERN MISSOURI BY LATE MORNING OR EARLY
AFTERNOON. HAVE THEREFORE KEPT SLIGHT CHANCE ALONG THE I-70
CORRIDOR FADING INTO 40 AND 50 PERCENT CHANCE OF PRECIP DOWN ACROSS
THE SOUTHERN CWFA GOING IN THE FORECAST TODAY.
REMAINDER OF THE SHORT TERM SEES THE FRONT CONTINUE TO SAG SLOWLY
SOUTHWARD INTO NORTHERN ARKANSAS...AND FINALLY THRU ARKANSAS INTO
LOUISIANA BY TUESDAY EVENING. FLOW BECOMES MORE NORTHWESTERLY ALOFT
BRINGING WEAK SHORTWAVES ACROSS THE AREA JUST ABOUT EVERY PERIOD.
LOW LEVEL MOISTURE DECREASES TO THE POINT WHERE CONVECTION SHOULDN'T
BE MUCH OF A THREAT ANYWHERE EXCEPT ACROSS FAR SOUTHERN AREAS. HAVE
KEPT SLIGHT TO LOW CHANCE POPS GOING THROUGH MONDAY NIGHT DOWN SOUTH
TO COVER FOR THE ROGUE SHOWER OR STORM WHICH COULD RUMBLE THROUGH.
HAVE GONE A COUPLE OF DEGREES WARMER THAN GUIDANCE THROUGH THE SHORT
TERM AS VERIFICATION SHOWS THE MOS HAS BEEN RUNNING 2-3 DEGREES TOO
COOL FOR THE PAST MONTH OR SO.
CARNEY
&&
.AVIATION...
FOR THE 06Z TAFS...SCT SHRA AND TSRA CONT TO DVLP S AND E OF STL
ATTM. MAY NEED TO MENTION VCTS IN STL OR SUS DURING THE FIRST
COUPLE OF HRS OF THE FCST PERIOD DEPENDING ON LATEST RADAR TRENDS.
MDL TIME SECTIONS INDICATE RH INCRSG TO 90 PERCENT AT 850 MB AND
BLW LT TGT AND EARLY SUN MRNG. MOS GUIDANCE STILL HINTS AT STRATUS
AND FOG DVLPG LTR TGT IN THE TAF SITES. UIN IS ALREADY DOWN TO 3 SM
IN FOG. WILL CONT MENTION OF CLOUD CEILING BLW 2000 FT LT TGT AND
EARLY SUN MRNG WITH AT LEAST LGT FOG AT THE TAF SITES. THIS FOG
SHOULD DISSIPATE BY LT SUN MRNG WITH THE STRATUS LFTG AS WELL.
WILL FCST CONDITIONS AT THE TAF SITES RETURNING TO VFR BY SUN
AFTN.
GKS
&&
.LSX WATCHES/WARNINGS/ADVISORIES...
MO...NONE.
IL...NONE.
&&
$$
WFO LSX
</PRE></TT></td> mo
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE WILMINGTON OH
154 AM EDT SUN AUG 20 2006
.AVIATION /06Z-06Z/...
A COLD FRONT HAS MOVED SE OF THE TERMINALS THIS MORNING. DESPITE
MID CLOUDS BEHIND THE FRONT...MVFR WITH SOME IFR VISIBILITIES WILL
DEVELOP AND PERSIST THROUGH 12Z-14Z. FCST SNDG PARAMETERS INDICATE THAT LOW
ST MAY FORM AS WELL...ALTHOUGH THIS IS LOOKING LESS LIKELY.
LIGHT AND VARIABLE WINDS WILL TURN LIGHT NE AS CLOUDS DECREASE NW
TO SE AFTER 16Z. AFTER 01Z..EXPECT SKC.
&&
PREV DISCUSSION...
/ISSUED 326 PM EDT SAT AUG 19 2006/
SHORT TERM /TONIGHT THROUGH SUNDAY NIGHT/...
FRNTL BNDRY PROGGED FAIRLY CLOSE TO I-71 ATTM. MAIN CONVECTION HAS
FIRED AHEAD OF MID LVL S/WV IN AREA OF PVA WITH HIGHER AMOUNTS OF
INSTABILITY. THESE TSTMS DVLPD ACRS SOUTH CNTRL OH AND NRN KY AND
HAVE ALREADY PUSHED EAST OUT OF FCST AREA. IN WAKE OF THIS
ACTIVITY...ISOLD -SHRA HAVE DVLPD RIGHT ALONG THE BNDRY FROM NEAR
CMH METRO TO JUST WEST OF KILN. DO NOT EXPECT ANYTHING MORE THAN
ISOLD CONVECTION AS FRNTL BNDRY TRACKS EAST ACRS REGION OVER NEXT
FEW HOURS...AS BETTER PVA ALIGNED WITH CONVECTION TO EAST AND
MODEL SOUNDINGS INDCG DVLP CAP AROUND 7KFT. TEMPS WERE IN THE 80S
THIS AFTN.
USED 18Z RUC FOR ERLY PORTION OF FCST. MID LVL S/WV AND VORT
SHOULD BE EAST OF FCST AREA BY 22Z WITH STRONG NVA CURRENTLY ACRS
INDIANA POISED TO MOVE ACRS REGION. HAVE MAINTAINED 20-30 POPS
ALONG AND EAST OF I-71 INTO ERLY EVNG...THEN MAINTAIN LO CHC POPS
ACRS SRN 1/2 FCST AREA INTO OVERNIGHT. FRNTL BNDRY WILL SAG
SOUTH OF OHIO RIVER SLOWLY OVERNIGHT. SECONDARY BNDRY CURRENTLY
OVER WESTERN GRT LKS WILL DROP SOUTH INTO FCST AREA LATE TONIGHT.
FCST AREA AGAIN APPEARS TO NOT BE IN VERY FAVORABLE SITUATION FOR
PCPN. FCST AREA WILL BE SPLIT BY TWO MAIN VORTS ASSOCD WITH MID
LVL S/WV. ONE VORT WILL PASS WELL TO NORTH OF REGION ACRS SRN
ONTARIO...WHILE SECOND VORT DROPS SE FROM MID MISSISSIPPI VLY INTO
CNTRL KY BY ERLY SUN. SOME WEAK INSTABILITY AND LO LVL CONV NOTED
WITH THE SECOND VORT DROPPING INTO KY...AND THIS MAY BE ENUF TO
EITHER SPARK A FEW ISOLD SHRA/TSTMS LATE TONIGHT ACRS SRN FCST
AREA...OR TSTMS THAT DVLP TO WEST OF REGION MAY CLIP SRN PORTIONS
OF FCST AREA AFT MIDNIGHT. WITH THIS IN MIND...WILL MAINTAIN A 20
POP LATE TONIGHT ACRS SRN 1/2 FCST AREA. WITH ABUNDANT LO LVL
MOISTURE ACRS REGION...POTENTIAL EXISTS FOR PATCHY FOG LATE
TONIGHT AND INTO ERLY SUN.
BOTH 12Z NAM AND GFS NOW A LITTLE QUICKER IN PUSHING S/WV EAST OF
REGION ON SUN WITH SFC HI PRES AND DRIER AIRMASS BUILDING IN FROM
NW. MODEL SOUNDINGS INDCG MID LVL CAP WILL STRENGTHEN DURING DAY
SUN AS HI BUUILDS INTO REGION. WITH FRNTL BNDRY SAGGING INTO UPR
TN VLY BY SUN AFTN/EVNG...THINKING MOST LOCATIONS WILL BE DRY
THROUGHOUT DAY SUNDAY. THERE IS AN OUTSIDE CHANCE AT A -SHRA OR
TWO ALONG AND SOUTH OF OHIO RIVER DURING AFTN HOURS...BUT CHANCE
IS LOW ENUF TO KEEP MENTION OUT OF FCST ATTM. EXPECTING PTLY CLDY
SKIES AS CU RULE AND MODEL SOUNDINGS SUGGESTING SCT/BKN CU DVLPG
AS 850 CAA EXPANDS SOUTH WITH HI PRES. SKIES SHOULD BECOME MSTLY
CLR SUN NIGHT AS CENTER OF SFC HI MOVES ACRS REGION. WITH LGT
WINDS AND DECENT RADIATIONAL COOLING CONDITIONS SETTING UP...COULD
BE ANOTHER FAVORABLE SETUP FOR FOG DVLPMNT LATE SUN NIGHT INTO
MON MRNG.
TEMPS...BOTH 12Z GFS AND NAM CAME IN COOLER WITH BNDRY LYR
THICKNESSES THRU SHORT TERM...AND WITH 850 TEMPS. AS A RESULT...
GENERALLY LOWERED TEMPS A FEW DEG FOR ALL THREE PERIODS. THIS
LINED UP CLOSELY WITH MET GUID.
RYAN
LONG TERM /MONDAY THROUGH SATURDAY/...
500 MB FLOW FOR THE EXTENDED WILL BE WEST TO NORTHWEST...WHICH WILL
KEEP DEEP TROPICAL/SUBTROPICAL MOISTURE TO OUR SOUTH. AT THE SURFACE
HIGH PRESSURE WILL DOMINATE WITH ONLY TWO EXCEPTIONS. WILL KEEP
MENTION OF PRECIP ACROSS FAR SOUTH MONDAY NIGHT AS BOTH NAM AND GFS
BRING WAVE THROUGH KENTUCKY. BUT HAVE PULLED PRECIP OUT OF THE FAR
SOUTH ON MONDAY AS THE EVOLUTION IS SLOWER WITH THIS RUN. MODELS
HAVE BEEN SLIDING THIS WAVE A BIT FARTHER SOUTH...BUT DON'T FEEL
GOOD ABOUT TAKING IT OUT OF MONDAY NIGHT. THE SECOND EXCEPTION IS A
WEAK COLD FRONT WHICH WILL GO THROUGH TUESDAY NIGHT INTO WEDNESDAY.
WILL KEEP THIS DRY BECAUSE OF TIMING OF FROPA AND STRENGTH...BUT
WILL MONITOR THESE FACTORS FOR POSSIBLE INCLUSION IN THE NEXT
PACKAGE.
TEMPS WILL GENERALLY BE CLOSE TO NORMAL.
TIPTON
&&
.ILN WATCHES/WARNINGS/ADVISORIES...
OH...NONE.
KY...NONE.
IN...NONE.
&&
$$
</PRE></TT></td> oh
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE NORMAN OK
157 AM CDT SUN AUG 20 2006
EARLY MORNING CONVECTION IS GRADUALLY CENTERING AROUND HIGHER
PORTIONS OF THE FRONTAL BOUNDARY WITH THE SURFACE BOUNDARY MOVING
THROUGH WICHITA FALLS AND ARDMORE AT THIS TIME. THE 875-800 MB LAYER
SEEMS THE MOST UNSTABLE WITH ITS LIFT SHIFTING NORTHWARD WITH TIME
PER LATEST TRENDS AND RUC GUIDANCE. THEREFORE...LOWERED POPS TO
BETWEEN 20-30 PERCENT NEAR AND SOUTH OF INTERSTATE 40 FOR THE REST
OF TONIGHT AND RAISED THEM ACROSS NORTH CENTRAL OKLAHOMA. OVERNIGHT
LOWS WERE ALSO RAISED SEVERAL DEGREES WITH ONLY WEAK COLD AIR
ADVECTION BEHIND THE FRONT AND LONGWAVE RADIATION TRAPPED BY SEVERAL
CLOUD DECKS.
JAMES
--------------------------
933 PM CDT SAT AUG 19 2006
.UPDATE...
MAIN FRONTAL BOUNDARY THIS EVENING EXTENDS FROM SOUTHWEST OKLAHOMA
INTO CENTRAL AND NORTHEAST PARTS OF THE STATE. CONVECTION HAS BEEN
INCREASING ACROSS CENTRAL SECTIONS DURING PAST HOUR WITH OVERALL
DOWNWARD TREND IN TERMS OF STORM STRENGTH. HAVE SHIFTED HIGHEST POPS
FARTHER SOUTH FOR REST OF NIGHT WITH A SLIGHT REDUCTION ACROSS NORTH
CENTRAL SECTIONS. HOPEFULLY WAVE OVER CENTRAL TEXAS WILL LIFT
NORTHWARD AROUND UPPER RIDGE AND PROVIDE ADDITIONAL LIFT/MOISTURE
FOR CONVECTION OVERNIGHT.
&&
SIX
.PREV DISCUSSION... (ISSUED 331 PM CDT SAT AUG 19 2006)
DISCUSSION...
GIVEN TEMPS AOA 100 DEGREES...ALONG WITH HUMIDITIES HOVERING
AROUND 20-25 PERCENT...WILL LET RED FLAG WARNING CONTINUE FOR ITS
DURATION THIS EVENING DESPITE THE LIGHT WINDS.
SCATTERED STORMS EXPECTED TO CONTINUE DEVELOPING THIS AFTERNOON
AND EVENING EXPECTED ON/JUST NORTH OF WEAKENING/RETREATING
FRONTAL BOUNDARY THAT WILL EXTEND FROM FAR SOUTHWEST
OKLAHOMA...NORTHEAST THROUGH CENTRAL OKLAHOMA...INTO SOUTHEAST
KANSAS. BASED ON AREA PROFILERS AND 88DS...SOUTHERN EDGE OF FRONT
VERY SHALLOW AND MIXING SLOWLY NORTHWARD...BUT IS AROUND 1.5KM
DEEP ACROSS NORTHERN OKLAHOMA AND SOUTHERN KANSAS. SECONDARY AND
MORE SUBSTANTIAL FRONTAL BOUNDARY EXPECTED TO MAKE A RUN SOUTHWARD
FROM KANSAS TONIGHT THROUGH SUNDAY BEHIND MID-LEVEL WAVE THAT IS
PROGD TO PASS EASTWARD THROUGH KANSAS. COULD SEE TWO DEVELOPMENT
PEAKS...ONE LATE THIS AFTERNOON AND EARLY EVENING NEAR THE RETREATING
FRONTAL BOUNDARY ACROSS MAINLY WESTERN/NORTHWEST OKLAHOMA...AND
ANOTHER TOWARD/AFTER MIDNIGHT AS COLD FRONT AND POSSIBLE STORM
COMPLEX SURGES SOUTHWARD AND INTERACTS WITH MODEST S/SWLY LOW
LEVEL JET. HIGHEST THREAT FOR SEVERE STORMS APPEARS TO BE THROUGH
THE MID-EVENING HOURS AND PRIMARILY IN THE FORM OF DOWNBURST WINDS.
MENTIONED FRONT EXPECTED TO MAKE IT TO AROUND THE RED RIVER VALLEY
TOMORROW BEFORE STALLING. MODELS FAIRLY SIMILAR IN FRONTOLYSIS
MONDAY AND TUESDAY...BUT WITH CAP WEAK DURING PEAK HEATING...WILL
LEAVE CHANCE AND SLIGHT CHANCE POPS GOING THROUGH TUESDAY NIGHT.
FORECAST WILL BE DRY AFTER THAT.
EXTENDED RANGE MODELS BRING ANOTHER...AND POSSIBLY MORE SUBSTANTIAL
COLD FRONT INTO REGION TOWARD THE END OF THE WEEK. PRIOR TO THIS
FRONT... WE WILL WARM BACK UP TO JUST ABOVE AVERAGE...BUT
CURRENTLY DO NOT ANTICIPATE WIDESPREAD TEMPS OVER 100 DEGREES.
WILL BEGIN A COOLING TREND SATURDAY ACROSS THE NORTHERN HALF OF
THE FORECAST AREA...BUT POPS WILL NOT BE INSERTED ATTM.
&&
$$
</PRE></TT></td> ok
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE SALT LAKE CITY UT
315 AM MDT SUN AUG 20 2006
.SYNOPSIS...SEVERAL WEAK WEATHER SYSTEMS WILL CROSS UTAH IN
SOUTHWEST FLOW THROUGH MONDAY NIGHT. HIGH PRESSURE WILL STRENGTHEN
ACROSS THE FOUR CORNERS REGION THROUGH TUESDAY.
&&
.DISCUSSION...LITTLE CHANGE IN MOISTURE LAYER ACROSS UTAH THIS
MORNING WITH .6 TO .7 INCH PRECIPITABLE WATER OVER EASTERN AREAS
AND .4 TO .6 OVER THE WESTERN DESERTS AND VALLEYS. HOWEVER
OLD WEST COAST SYSTEM IS LIFTING ACROSS UTAH THIS MORNING AS PROGGED
BY MODELS AND CONTINUES TO DEVELOP SCATTERED NOCTURNAL THUNDERSTORMS
OVER EASTERN UTAH WITH ISOLATED ACTIVITY OVER WESTERN AND SOUTHERN
AREAS. RUC SOUNDINGS...SATELLITE LOOPS AND SURFACE OBSERVATIONS
INDICATE MOST OF THIS IS ROOTED AS ELEVATED CONVECTION...OVER THE
20S AND 30S DEWPOINTS AND ABOVE VALLEYS AND MOUNTAINS. MAIN UPPER
DISTURBANCE CENTER IS OVER NORTHEAST NEVADA AND SHEARING WITH
TIME...WITH A 70 KNOT JET STREAK EXITING EASTERN UTAH. DYNAMICS EXIT
EASTERN UTAH THIS MORNING WITH REMAIN UPPER TROUGH AXIS TRACKING
ACROSS NORTHWEST UTAH. SOME CELLS WILL DEVELOP IN NORTHWEST UTAH AS
A RESULT AND WITH CONDITIONAL UNSTABLE AIR MASS REMAINING OVER
EASTERN UTAH THIS MORNING AN ISOLATED CELL COULD REDEVELOP.
THE LATE MORNING AND AFTERNOON WILL TRANSITION INTO SURFACE BASED
TERRAIN FORCED CONVECTION WITH NAM-WRF AND LOCAL WRF-NMM (AVAILABLE
ON WEB PAGE) DEPICTING MORE SIGNIFICANT CAPE THIS AFTERNOON OVER THE
SPINE OF UTAH INCLUDING THE OQUIRRHS AND TINTIC MOUNTAINS AND TO THE
EAST. MORNING DISTURBANCE RIDES OVER THE RIDGE BUT ANOTHER VORT LOBE
FORECAST TO LIFT ACROSS WESTERN UTAH THIS AFTERNOON AHEAD OF THE
NEXT PACIFIC SYSTEM...WHICH WILL FURTHER DESTABILIZE THE AIR MASS
THROUGH SYNOPTIC LIFT FOR INCREASED MOIST CONVECTION. AIR MASS WARMS
ABOUT 1C TODAY ACROSS THE REGION AT 700 MB.
NEXT WEST COAST SYSTEM IS STRONGER AND STILL FORECAST BY NAM-WRF AND
GFS TO LIFT A VORT LOBE ACROSS WESTERN UTAH TONIGHT AND MONDAY
MORNING WITH 500 MB WARM AIR ADVECTION IN ITS WAKE. THIS WILL BE
FORCING FOR MORE NOCTURNAL THUNDERSTORMS TONIGHT INTO MONDAY MORNING
WITH A MORE STABLE AIR MASS DEVELOPING MONDAY AFTERNOON OVER FAR
WESTERN AREA AS DRIER AND WARM AIR ALOFT PUNCH INTO WESTERN UTAH.
SCATTERED CONVECTION WILL STILL REDEVELOP AHEAD OF THIS...MOST OF IT
FORCED BY TERRAIN MONDAY AFTERNOON WITH SUFFICIENT CAPE FROM THE
SPINE OF UTAH AND EASTWARD.
DRIER AND SLIGHTLY WARMER AIR PROGGED TO SPREAD ACROSS UTAH ON
TUESDAY AS THE UPPER RIDGE STRENGTHENS OVER THE 4-CORNERS...AND
ENERGY LIFTS NORTH INTO IDAHO AND MONTANA. EXPECT DECREASED
CONVECTION OVER MUCH OF THE REGION. MID LEVEL FLOW FORECAST TO
INCREASE OVER WESTERN UTAH WITH A HOT AIR MASS OF 16C AT 700MB. THIS
DRY ADIABATICALLY MIXED WILL GIVE HIGHS CLOSE TO RECORDS IN THE
NORTH. WEST COAST TROUGH BEGINS TO ELONGATE BY TUESDAY AND
WEDNESDAY. 594-DM UPPER HIGH WEAKENS STARTING WEDNESDAY AND WESTERLY
FLOW ALOFT SETS UP OVER UTAH. WESTERLIES JUST TO OUR NORTH WILL SEND
DISTURBANCES THROUGH OUR REGION WEDNESDAY THROUGH FRIDAY WITH A COOL
FRONT ACROSS THE NORTH ON THURSDAY. ALL MODELS LEAVE SOME ENERGY
ALONG THE CALIFORNIA COAST. ENOUGH MOISTURE SOUTH OF THIS WILL ALLOW
FOR WIDELY SCATTERED CONVECTION REST OF THE WEEK. UPPER RIDGE
FORECAST TO BUILD AGAIN NEXT WEEKEND THOUGH ANOTHER UPPER LOW ON THE
WEST COAST COMES INTO THE PICTURE.
&&
.AVIATION...THERE IS A SLIGHT CHANCE OF HIGH BASED SHOWERS AND
A LIGHTNING STRIKE THIS MORNING. BETTER CHANCE THIS AFTERNOON
WITH THE ADDITIONAL OF GUSTY WINDS FROM OUTFLOWS.
&&
.FIRE WEATHER...THUNDERSTORMS OVERNIGHT PRODUCED A LOT OF LIGHTNING
FROM CASTLE COUNTRY THROUGH THE UINTAH BASIN MOVING ACROSS THE UINTA
MOUNTAINS AT THIS HOUR. ADDITIONAL ISOLATED STORMS WILL AFFECT
WESTERN AND NORTHERN UTAH THIS MORNING FOLLOWING THE THE UPPER
TROUGH AXIS THAT IS LIFTING ACROSS NORTHERN UTAH BUT EXTENDS INTO
SOUTHERN UTAH. THIS AFTERNOON WILL REDEVELOP SCATTERED CONVECTION
WITH A GOOD THREAT FOR DRY LIGHTNING WESTERN ZONES ALONG WITH HIGH
HAINES. WE HAVE UPGRADED AND EXPANDED RED FLAG WARNING FOR THIS...
AND COORDINATED WITH SPC. MORE NOCTURNAL THUNDERSTORMS SHOULD
DEVELOP LATER TONIGHT INTO MONDAY MORNING...ESPECIALLY WESTERN AREAS
WHERE MARGINAL BUT SUFFICIENT MOISTURE IS IN PLACE. AIR MASS IS MORE
STABLE WESTERN AND NORTHERN AREAS FOR TUESDAY AND WEDNESDAY BUT THIS
WILL BE THE PEAK OF THE HOT PERIOD AND AFTERNOON AND EVENING BREEZES
WILL REACH 25-30 MPH...BRINGING POSSIBLE RED FLAG CONDITIONS AGAIN.
&&
.SLC WATCHES/WARNINGS/ADVISORIES...
UT...RED FLAG WARNING THIS AFTERNOON AND EVENING ZONES
420...423...424...433...434...435...436...437
WY...NONE.
&&
$$
TARDY/SMITH
</PRE></TT></td> ut
WEST CENTRAL AND SOUTHWEST FLORIDA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE TAMPA BAY RUSKIN FL
948 AM EDT SUN AUG 20 2006
.MORNING UPDATE...LATEST W/V STLT AND RUC LOCATE AN UPPER LOW EAST
OF FL...JUST NORTH OF THE BAHAMAS...MAKING SLOW PROGRESS TOWARD THE
STATE. MSAS HAS A WEAK SURFACE RIDGE ACROSS CENTRAL FL THIS MORNING.
THIS RIDGE WILL BUILD SLIGHTLY TO THE WEST DURING THE DAY. THE 12Z
TBW RAOB CAME IN A BIT DRIER AND WARMER ALOFT THAN THE LAST COUPLE
OF SOUNDINGS BUT FEEL THIS WILL BE NEGATED BY THE DECREASE IN CLOUD
COVER FROM YESTERDAY AROUND THIS TIME. SO EXPECT ANOTHER ACTIVE
DAY WITH COVERAGE IN THE LIKELY RANGE THIS AFTERNOON...ALTHOUGH THE
GREATEST COVERAGE WILL BE FROM TAMPA BAY SOUTH ALONG WITH SOME
STRONG STORMS IN THE FAR. THANKS IN PART TO A LITTLE MORE MOISTURE
DOWN THERE. CURRENT ZONES LOOK ON TRACK AND WILL NOT UPDATE.
&&
.MARINE...SURFACE DATA AND LIMITED QUICK SCAT IMAGES SUPPORT THE ONGOING
FORECAST OF SE OR VARIABLE WINDS THAT SHIFT TO ONSHORE IN THE AFTERNOON.
BIGGEST MARINE CONCERN WILL BE THUNDERSTORMS...SCATTERED OVER THE OPEN
GULF BUT MORE NUMEROUS NEAR SHORE IN THE AFTERNOON. NEXT CWF OUT BY
1030 AM.
&&
.TBW WATCHES/WARNINGS/ADVISORIES...
FL...NONE.
GULF WATERS...NONE.
&&
$$
09/RKR
</PRE></TT></td> fl
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE LOUISVILLE KY
1111 AM EDT SUN AUG 20 2006
.UPDATE...
MORNING UPDATE RUNNING A LITTLE LATE...CONVECTION STILL
PROGRESSING ACROSS MUCH OF THE LOWER AND MIDDLE OHIO VALLEY THIS
MORNING. THIS ACTIVITY SHOULD CONTINUE THRU THE AFTERNOON...THOUGH
USING CURRENT RADAR AND SAT TRENDS COMBINED WITH RUC DATA THINK
THE BULK OF THE ACTIVITY WILL SHIFT ACROSS THE SOUTHERN PORTIONS
OF THE AREA BASICALLY SOUTH OF A LINE FROM HARTFORD TO
JAMESTOWN...HAVE SIGNIFICANTLY RAISED POPS IN THIS AREA. WILL HAVE TO
WATCH FOR BOTH SOME GUSTY WINDS IN THE STORMS...AS WELL AS PRECIP
TOTALS THAT MAY SPELL FOR SOME MINOR FLOODING ISSUES AS THAT AREA
HAS BEEN VERY DRY THIS SUMMER. STORMS ARE LINED UP TO THE WEST
BACK TOWARDS WESTERN MO...AND SHOULD CONTINUE TO PROPAGATE ALONG
THE 850 MB FRONT INTO OUR AREA AS THE AFTERNOON PROGRESSES BEFORE
ALL SHIFTS FURTHER SOUTH TONIGHT.
MADE SOME TWEAKS TO TEMPS AND CLOUDS...THINKING THAT A BIT MORE
SUNSHINE MAY OCCUR ACROSS THE NORTHERN PORTIONS OF THE AREA AS
SOME DRIER AIR WORKS SOUTH...DEW POINTS AT IND 57...BMG 59...CVG
64...AS COMPARED TO MOSTLY LOWER 70S STILL ACROSS MUCH OF THE AREA
OUTSIDE THE BLUEGRASS AND ALLOW FOR A DEGREE OR TWO WARMER THERE
THAN PREVIOUS THINKING. --SCHOTT
&&
PREV DISCUSSION... (ISSUED 705 AM EDT SUN AUG 20 2006)
UPDATE...
SMALL MCS MOVING THROUGH THE LOU-LEX CORRIDOR. MANY REPORTS OF
HIGH WINDS AND POWER OUTAGES...ALONG WITH HEAVY RAINFALL AND MINOR
FLOODING. ISSUING A QUICK UPDATE TO INCREASE POPS TO LIKELY
THROUGH THE MID-MORNING HOURS WITH ONGOING CONVECTION. ADDITIONAL
STORMS DEVELOPING NEAR STL WITHIN PAST HOUR MAY EVENTUALLY AFFECT
CWA LATER...WILL HAVE TO WATCH. UPDATED FORECAST OUT SHORTLY.
PREV DISCUSSION... (ISSUED 240 AM EDT SUN AUG 20 2006)
SHORT TERM (TODAY-TONIGHT)...
PW VALUES REMAIN UNSEASONABLY HIGH ACROSS THE REGION BASED ON 0Z
SOUNDINGS...AROUND 160% OF NORMAL AT ILX/OHX. THIS ALONG WITH WEAK
SHORTWAVE(S) TRANSLATING E/SE THROUGH IL/MO...AND SFC FRONT ALONG
THE OHIO RIVER...ARE HELPING GENERATE SCT CLUSTERS OF NOCTURNAL
TSRA. AS OF 0630Z...STRONGEST/MOST ORGANIZED STORMS ARE DROPPING
E/SEWD THROUGH SRN IL AND LOOK TO IMPACT PARTS OF CNTRL/SRN KY
AROUND OR AFTER 8Z. WILL GO WITH LIKELY POPS ROUGHLY ALONG/SW OF A
HNB-FTK-SME LINE THROUGH 12Z. EXPECTING ISLTD-SCT SHRA WITH EMBEDDED
THUNDER EXPECTED ELSEWHERE IN THE CWA THROUGH 12Z. WILL MAINTAIN SCT
PRECIP COVERAGE DURING THE BALANCE OF THE MORNING OVER MOST OF THE
CWA. PATCHY FOG WILL CONTINUE THROUGH DAYBREAK...BUT SO FAR VSBYS
HAVE NOT BEEN TOO LOW (GENERALLY BETWEEN 2-4SM WITH LOCAL REDUCTIONS
TO 1SM).
HAVE AGAIN FOLLOWED LATEST SREF RUN (21Z/19) FOR MUCH OF THE SHORT
TERM FORECAST PERIOD. WE EXPECT SFC FRONT TO MAKE SLOW PROGRESS
SOUTH TODAY INTO SRN KY AND TENN...WITH SLIGHTLY DRIER AIR ALOFT
FILTERING INTO SRN IND THIS AFTN. BEST COVERAGE OF PRECIP TODAY
SHOULD BE OVER SRN KY CLOSER TO SFC FRONT AND AXIS OF INSTABILITY.
WILL GO WITH LIKELY POPS DOWNSTATE THIS AFTN...WITH CHANCE POPS
ELSEWHERE. LOCALLY HEAVY RAINFALL SEEMS TO BE THE PRIMARY THREAT
WITH HIGH PWS/FRZ LEVELS. BEST SVR POTENTIAL TODAY WOULD APPEAR TO
BE INTO TENN WHERE WET MICROBURST PARAMETER EXCEEDS SVR THRESHOLDS.
STILL...NOT OUT OF THE QUESTION TO GET A FEW STRONG/MARGINALLY SVR
STORMS IN FAR SRN KY IF SUFFICIENT INSTABILITY CAN DEVELOP.
ACTIVITY SHOULD WANE QUICKLY AFTER SUNSET PER SREF DATA...THOUGH
HAVE KEPT SOME LOW CHC POPS IN SRN KY UNTIL MIDNIGHT GIVEN FCST
K-INDICES ABOVE 25 IN THAT AREA. SKIES SHOULD AT LEAST PARTIALLY
CLEAR TONIGHT...ALLOWING FOR PATCHY FOG TO FORM ONCE AGAIN. LIMITING
FACTOR FOR WIDESPREAD FOG FORMATION WILL BE 10-15KT LOW LEVEL WINDS
FCST BY THE NAM.
CS
LONG TERM (MONDAY-SATURDAY)...
MONDAY THROUGH TUESDAY NIGHT...
SHORT AND MEDIUM RANGE MODELS CONTINUE BE IN GOOD AGREEMENT THROUGH
THIS PART OF THE FORECAST PERIOD. OVER THE LAST FEW RUNS...THE
MODELS HAVE BEEN KEEN ON TRACKING A LITTLE VORT COMING AROUND THE
TOP OF THE DEPARTING H5 RIDGE TO OUR SOUTHWEST. TONIGHTS MODELS
CONTINUE TO SUPPORT THIS BY TAKING THE VORT AND SWINGING IT MAINLY
THROUGH KY WITH ASSOCIATED SFC LOW TRACKING THROUGH TN. THIS WILL
BRING ANOTHER CHANCE OF SHOWERS TO THE AREA MONDAY AND MONDAY
NIGHT. CURRENT FCST HAS THIS COVERED...SO ONLY SOME MINIMAL CHANGES
ARE NEED AT THIS TIME. WILL CONTINUE TO RUN CHANCE POPS FOR MONDAY
AND MONDAY NIGHT AND BEGIN TO DRY THINGS OUT ON TUESDAY. GIVEN THE
CLOUDS AND ASSOCIATED PRECIPITATION EXPECTED...TEMPS WILL SOMEWHAT
COOLER THAN IN PREVIOUS DAYS WITH HIGHS IN THE MID 80S. CLEARING
WILL BEGIN TO WORK ITS WAY INTO THE REGION ON TUESDAY WITH
TEMPERATURES STILL IN THE MID 80S IN THE NORTH AND PERHAPS CLIMBING
INTO THE UPPER 80S ACROSS FAR SOUTH KY.
WEDNESDAY THROUGH SATURDAY...
UPPER LEVEL THROUGH THIS PERIOD LOOKS TO FLATTEN OUT A BIT AS
TROFFING IN THE EASTERN U.S. BEGINS TO BECOME MORE ZONAL AS SERIES
OF POTENT H5 WAVES FLATTEN OUT THE WESTERN UNITED STATES RIDGE.
FAIRLY TRANQUIL WEATHER IS EXPECTED THROUGH THE PERIOD.
TEMPERATURES WILL BEGIN THE PD NEAR NORMAL AND AS ZONAL FLOW TAKES
OVER...WE SHOULD START TO SEE SLOWLY MODERATING TEMPERATURES FROM
MIDWEEK ONWARD. BY LATE IN THE PERIOD...DECENT H5 WAVE WILL BE
PASSING THROUGH THE GREAT LAKES WITH ASSOCIATED COLD FRONT BOUNDARY
TRYING TO MAKE IT SOUTHEASTWARD TOWARDS THE OHIO VALLEY. LATEST
MODEL GUIDANCE SUGGEST THAT FRONT MAY MAKE IT TO THE OHIO RIVER
BEFORE STALLING OUT AS SOUTHEAST RIDGE KEEPS IT FROM MAKING ANY REAL
HEADWAY. MODEL PROGS ALSO SHOW THAT BEST PRECIPITATION CHANCES WILL
LIKELY BE AFTER THIS FCST PD...AROUND SUNDAY OR SO. THUS...WILL
CONTINUE A DRY FORECAST FOR NOW. AS FOR TEMPS...WILL ADJUST THOSE
CLOSER TO THE ENSEMBLE MEANS WHICH HAVE PERFORMED WELL AND SHOWN
GOOD RUN TO RUN CONTINUITY OVER THE PAST FEW DAYS.
-MJ
&&
.LMK WATCHES/WARNINGS/ADVISORIES...
KY...NONE.
IN...NONE.
&&
$$
</PRE></TT></td> ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE JACKSON KY
1101 AM EDT SUN AUG 20 2006
.DISCUSSION...
PRIMARY FORECAST PROBLEM FOR UPDATE IS TEMPERATURES FOR THE REST OF
TODAY. WITH THE PASSAGE OF THIS MORNINGS MCS...HOURLY TEMPERATURES
AT SEVERAL SITES ACROSS FORECAST AREA ARE NOW SEVERAL DEGREES LOWER
THAN PREVIOUSLY FORECAST. WITH THIS IN MIND...DECIDED TO DECREASE
AFTERNOON HIGH TEMPERATURES ACROSS THE BOARD TO A CATEGORY BELOW
PREVIOUS FORECAST. ALSO REMOVED MENTION OF FOG FROM FORECAST...AS
WINDS FROM MCS PASSAGE HAVE HELPED TO BREAK UP QUITE A BIT OF THE
FOG THAT WAS PRESENT IN VALLEY LOCATIONS THIS MORNING. REST OF
FORECAST WAS IN GOOD SHAPE.
&&
.PREV DISCUSSION...
430 AM EDT SUN AUG 20 2006
COLD FRONT HAS DROPPED INTO THE NORTHERN PORTIONS OF OUR CWA THIS
MORNING. A THIN LINE OF SCATTERED SHOWERS AND THUNDERSTORMS HAVE
DEVELOPED ALONG THE BOUNDARY...WITH A FEW ADDITIONAL POCKETS OF
SHOWER AND THUNDERSTORMS OUT AHEAD OF THE FRONT. OTHERWISE...AN MCS
WAS TRACKING EASTWARD THROUGH WESTERN KENTUCKY. EXPECT THIS FEATURE
TO WEAKEN SOME AS IT PROGRESSES EASTWARD INTO A MORE STABLE
ENVIRONMENT AND WHERE THE ATMOSPHERE HAS BEEN WORKED OVER DURING THE
OVERNIGHT. RUC ANALYSIS AND RADAR CONFIRMS THIS TREND.
EXPECT SHOWERS AND THUNDERSTORMS TO CONTINUE TO DEVELOP ALONG AND
AHEAD OF THE FRONT AS IT SLIDES SOUTHWARD THROUGH THE DAY. ACTIVITY
WILL INTENSIFY IN COVERAGE AND STRENGTH LATER IN THE AFTERNOON WITH
HELP OF DAY TIME HEATING AND AS SOME SHORT WAVE ENERGY MANAGES TO
MAKE ITS WAY INTO THE AREA. PERSISTENCE WOULD SUGGEST THAT ONE OR
TWO STORMS MAY EVEN MAKE IT TO SEVERE LEVELS THIS AFTERNOON WITH THE
MAIN THREAT BEING HIGH WINDS. ALSO...SOME LOCALLY HEAVY RAINFALL
WILL BE POSSIBLE. WILL MENTION THESE IN THE HWO.
WILL SEE A BRIEF REPRIEVE FROM SHOWER ACTIVITY LATER TONIGHT.
AFTERWARDS...MODELS STILL DEVELOP A WAVE OF LOW PRESSURE AND TRACK
IT EASTWARD BETWEEN THE TN AND OH VALLEYS LATE MONDAY INTO TUESDAY.
NAM IS FURTHER SOUTH AND FASTER WITH ANY ENERGY ASSOCIATED WITH
THIS DISTURBANCE AS COMPARED TO THE GFS. FOR NOW STAYED WITH THE
MORE CONSISTENT GFS SOLUTION. BEST LIFT OVER EASTERN KENTUCKY
APPEARS TO OCCUR DURING THE MONDAY NIGHT...TUESDAY TIME FRAME. SO
HIT POPS HARDEST DURING THIS PERIOD.
930 PM EDT SAT AUG 19 2006
S/WV HAS MOVED THRU THE AREA AND MOST OF THE CONVECTION NOW
EAST/SOUTH OF CWFA. ISOLATED CONVECTION POPPING UP IN CNTRL KY BUT
DIMINISHES TO BARELY -RA BY THE TIME IT GETS TO I-75. WX OF GREATEST
CONCERN IS THE SHRA ALONG THE QUASI-STATIONARY FNT FM PMH TO CVG AND
CONVECTIVE COMPLEX ON THE WRN FRINGE OF CNTRL KY CWFA. HAVE KEPT CHC
POP IN NORTH FOR FNTL CONVECTION AND FEEL THE MCS IN WRN KY WILL HOLD
AT BAY UNTIL AFTER SUNRISE. LOCALLY DENSE FOG IN VLYS IS SPILLING
ONTO RIDGES IN LIGHT SRLY BREEZE. LIGHT WIND SHOULD GO CALM TONITE
AND FOG WILL SETTLE BUT THE DEPTH OF THE MOIST/SATURATED AIR MAY
PRECLUDE ANY SIGNIFICANT DROP IN TEMP. ALREADY INTO THE LOWER 70S AND
HAVE PROJECTED LOWS IN THE NRN 2/3 CWFA TO ONLY DROP A COUPLE OF DEG
FROM CURRENT TEMPS...PUTTING THEM BARELY INTO THE UPPER 60S.
536 PM EDT SAT AUG 19 2006
SW/V IS MOVING FROM THE OH VALLEY AND INTO THE CENTRAL APPALACHIANS
LATE THIS AFTERNOON. UPPER TROUGH WAS MOVING FROM THE UPPER MIDWEST
AND INTO THE GREAT LAKES. MCS DEVELOPED OVER THE CWA AHEAD OF THE
SW/V AND MAINLY PRODUCED LOCALLY HEAVY RAIN OF AN INCH TO AN INCH AND
ONE HALF IN ABOUT ONE HALF OF AN HOUR. STRATIFORM RAIN LINGERS OVER
THE EASTERN 2/3 OF THE CWA...WITH ONLY A COUPLE OF POCKETS OF
INSTABILITY LEFT NEAR THE VA AND TN BORDERS. AT THE SFC...AN AREA OF
LOW PRESSURE WAS OVER EASTERN LAKE ERIE...WITH A COLD FRONT TRAILING
SW TO NEAR KCMH TO KILN TO KHNB TO NEAR KMVN AND THEN WAS STATIONARY
DOWN INTO WESTERN TX.
THE INITIAL SW/V SHOULD PASS EAST OF THE EVENING...WITH SW/V RIDGING
WORKING ACROSS THE REGION DURING THE EVENING...LEADING TO A LULL IN
THE CONVECTION. WE EXPECT FOG DEVELOPMENT WHERE ANY HOLES IN THE
CLOUDS ARE PRESENT. THE SFC COLD FRONT WILL GRADUALLY SAG INTO THE
NORTHERN PART OF THE CWA BY 12 SUN. HOWEVER...EXPECT VERY LITTLE
CONVECTION OVERNIGHT IN THE CWA...WITH SOME POSSIBLY FORMING TO OUR
WEST VERY LATE AS THE TROUGH AXIS APPROACHES. THE TROUGH AXIS CROSS
THE AREA DURING THE DAY AND MODEL CONSENSUS IS THAT CONVECTION WILL
FROM IN THE MID TO LATE MORNING AND MOVE TO THE SOUTH OF THE CWA
DURING THE EVENING AS THE FRONT CONTINUES TO MOVE SOUTH AND BE MORE
WIDESPREAD OVER THE SW 2/3 OF THE CWA IN WARMER AND SLIGHTLY MORE
MOIST AIRMASS OUT AHEAD OF THE FRONT AND WENT LIKELY THERE FOR SUN.
LOW TEMPS TONIGHT WERE TRICKY...WITH TEMPS ALREADY NEAR MOS GUIDANCE
LOWS IN THE RAIN COOLED AIR. MOS NUMBERS WERE CLOSE AND WENT WITH A
BLEND OVERALL AND CLOSE TO THE PREVIOUS FORECAST. FOG COULD DRIVE
TEMPS DOWN FURTHER...AND LATER SHIFTS WILL MONITOR. TEMPS ON SUN WILL
ALSO BE TRICKY...AND HIGHLY DEPENDENT ON PRECIP AND FROPA TIMING.
OVERALL TRENDED TEMPS DOWN ON SUN.
MODELS CONTINUE TO INDICATE THAT THE FRONT WILL GET HUNG UP OVER THE
TN VALLEY. AS ANOTHER SW/V DROPS SOUTH AND SHARPENS THE BROAD EASTERN
TROUGH THAT WILL BE IN PLACE EARLY IN THE WEEK. A COUPLE OF SFC WAVES
ARE EXPECTED TO TRACK NE ALONG THE BOUNDARY. CONTINUED UPWARD TREND
OF POPS WITH MORE RUN TO RUN CONSISTENCY WITH THIS IDEA...MAINLY ON
MON NIGHT AND DURING THE DAY ON TUE...WHEN BEST UVV IS INDICATED OVER
THE AREA.
EXTENDED (OZ WED THROUGH 12Z SUN)...ONLY A FEW SLIGHT CHANGES MADE
TO EXTENDED PORTION OF FORECAST. LATEST GFS HAS AN MORE DIFFUSE FRONT
MOVING SOUTH ACROSS THE OHIO VALLEY WEDNESDAY NIGHT INTO THURSDAY. IN
FACT...IT IS VERY DIFFICULT TO EVEN FIND THE FRONT IN THE MODEL DATA.
MODEL CROSS SECTIONS WITH A VERY SHALLOW LAYER OF MOIST AIR NEAR THE
SURFACE PRETTY MUCH THE WHOLE WEEK. THIS WARRANTED LEAVING IN PARTLY
TO MOSTLY CLOUDY SKIES...BUT DEFINITELY NOT PRECIPITATION. REMOVED
PRECIPITATION CHANCES FROM THE FORECAST THROUGH NEXT FRIDAY. GFS AND
ECMWF BOTH TRYING TO MOVE A FRONTAL WAVE UP THE EAST COAST...JUST TO
THE EAST OF THE APPALACHIAN MOUNTAINS NEXT SATURDAY...SO DECIDED TO
ADD POPS TO THAT PORTION OF THE FORECAST. MADE CORRESPONDING
ADJUSTMENTS TO QPF...SKY...AND WEATHER GRIDS FOR NEXT SATURDAY AS
WELL.
TEMPERATURES LOOKED PRETTY GOOD AS WELL. DECIDED TO INCREASE DAYTIME
HIGHS BY A DEGREE OR SO ACROSS THE BOARD...AS MEXMOS NUMBERS HAVE
COME IN A BIT HIGHER EACH OF THE PREVIOUS 3 RUNS. A FEW TWEAKS WERE
ALSO MADE TO DEWPOINTS...AS LATE IN THE WEEK THEY SEEMED A BIT HIGH.
WINDS WERE IN GOOD SHAPE AND WERE LEFT ALONE.
&&
.JKL WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
RAY/AR
</PRE></TT></td> ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
1037 AM EDT SUN AUG 20 2006
.UPDATE...
VIS SATELLITE SHOWS THE EARLY MORNING LOW CLOUDS ARE RAPIDLY
STRIPPING AWAY...WITH THE SAGINAW VALLEY ALREADY SUNNY. CLOUDS ARE
HOLDING LONGER ACROSS THE THUMB WITH SOME HELP WITH THE UNSTABLE
NORTHERLY FLOW OFF LAKE HURON...HOWEVER EVEN THE BACK EDGE OF THE
CLOUDS OUT ACROSS THE OPEN LAKE IS STEADILY DROPPING SOUTHWARD. 12Z
DTX/APX SOUNDINGS SHOW THE STORY...WITH DTX SATURATED BELOW 850MB
WHILE APX BEGINS TO DRY OUT JUST ABOVE THE SURFACE. 12Z RUC/NAM
TEMPERATURE/DEWPOINT PROFILES STILL SUPPORT SOME CU DEVELOPMENT
TODAY...WITH DEWPOINTS IN THE UPPER 50S AND 850MB TEMPERATURES
AROUND 9C. HOWEVER GIVEN THE STRONG SUBSIDENCE AND DRYING BEHIND THE
SHORTWAVE DOWNSTREAM OVER SOUTHWEST ONTARIO...DO NOT EXPECT THESE
CLOUDS TO PERSIST VERY LONG. WILL UPDATE TO ADJUST SKY COVER GIVEN
THE CLEARING THAT HAS ALREADY DEVELOPED. WILL CARRY DRIZZLE OF LIGHT
SPRINKLES FOR A COUPLE MORE HOURS ACROSS THE EASTERN CWA AS
RADAR/SATELLITE STILL INDICATE SOME WEAK ACTIVITY DOWNSTREAM OF LAKE
HURON.
&&
.PREV DISCUSSION...ISSUED 742 AM EDT SUN AUG 20 2006
AVIATION...
LOW LEVEL FLOW OFF OF LAKE HURON EXPECTED TO CONTINUE ENHANCING
ALREADY GOOD LOW LEVEL MOISTURE TO HELP KEEP MVFR LOW CLOUDS
AROUND MOST OF THE MORNING IN WEAKLY CYCLONIC LOW LEVEL
FLOW...THOUGH CEILINGS SHOULD SLOWLY LIFT. SCATTERED CLOUDS
EXPECTED BY EARLY AFTERNOON...OCCASIONALLY VFR BROKEN UNTIL LATE
AFTERNOON THANKS TO DIURNAL DEVELOPMENT. MOSTLY CLEAR
TONIGHT...BUT HAVE MENTIONED VISIBILITIES 5 MILES IN MIST/LIGHT
FOG BY 09Z WITH GOOD RADIATIONAL COOLING AS HIGH PRESSURE DRIFTS
DIRECTLY OVER THE AREA.
&&
PREV DISCUSSION...ISSUED 456 AM EDT SUN AUG 20 2006
MARINE...
DECIDED TO ADD INNER SAGINAW BAY TO SMALL CRAFT ADVISORY
TODAY...AS LATEST RUNNING OF THE WAVE MODEL BRINGS CRITERIA FOR
WAVES INTO THE INNER PART OF THE BAY AS WINDS TURN TO EAST OF NORTH.
WATCHES/WARNINGS/ADVISORIES SECTION BELOW ALSO UPDATED.
PREV DISCUSSION...ISSUED 354 AM EDT SUN AUG 20 2006
SHORT TERM...TODAY AND TONIGHT
BROAD SURFACE/LOW LEVEL CYCLONIC FLOW LINGERING OVER SOUTHEAST MI
THIS MORNING...GIVING WAY TO HIGH PRESSURE BUILDING IN FROM THE WEST
AND SETTLING OVERHEAD TONIGHT. MEANWHILE AT 500 MB...EASTERN GREAT
LAKES SHORTWAVE TROUGH CONTINUING EAST TODAY WITH SHORTWAVE RIDGING
SETTING UP OVER FORECAST AREA TODAY AND CONTINUING TONIGHT.
MOISTURE IN MID TO UPPER LEVELS VERY SPARSE AS PER MODEL CONSENSUS
AND WATER VAPOR IMAGERY...EXPECTED TO REMAIN SO THROUGH TONIGHT. LOW
LEVEL MOISTURE IS MORE PROBLEMATIC. QUITE OF BIT OF LOW
MOISTURE...SUCH AS AT 925 MB...AROUND THIS MORNING...BUT GFS MUCH
FASTER DIMINISHING THIS MOISTURE THAN IS NAM/LOCAL WRFHEMI/NGM.
MODEL SOUNDINGS ALSO SHOW THIS. GIVEN VEERING FLOW WITH MOIST AIR
TRAJECTORIES OFF OF LAKE HURON...AM LEANING MORE TOWARD THE DELAYED
DEPARTURE OF LOW CLOUDS...AND THUS CLOUDS ONLY GRADUALLY DIMINISHING
THROUGH THE DAY. ALSO...AWIPS NAM CUMULUS RULE PROMISES BROKEN
DIURNAL CLOUD DEVELOPMENT. FAR SOUTHERN COUNTIES SHOULD SEE THE
LEAST CLOUD COVER...AS PER CLOUD ADVECTION/DEVELOPMENT TREND ACROSS
THE AREA SINCE MIDNIGHT.
GENERAL LOW TO MID LEVEL SUBSIDENCE THROUGH TONIGHT AS PER QVECTOR
FIELDS AND DESCENT SEEN ON 300K/305K ISENTROPIC SURFACES.
TEMPERATURES TODAY TENDING TO BE A FEW DEGREES COOLER THAN
YESTERDAY...IN AGREEMENT WITH T1 GUIDANCE TRENDS. ALSO NOTICEABLY
LESS HUMID TODAY THAN YESTERDAY...AS SURFACE DEW POINTS ARE EXPECTED
TO BE ABOUT 10 DEGREES LOWER TODAY.
WITH LIGHT WINDS AND SURFACE HIGH PRESSURE RIGHT OVERHEAD
TONIGHT...WILL RETAIN PATCHY FOG MENTION. SOME PATCHES OF FOG/MIST
CURRENTLY SEEN WITH UPSTREAM HIGH.
LONG TERM...MONDAY THROUGH SATURDAY
JUST WHEN NUMERICAL SUITE WAS BEGINNING TO SHOW SOME SIGNS OF
STABILITY...THIS MORNINGS COMPUTATIONS SHOW OTHERWISE. CULPRITS ARE
INITIALIZATIONS OF WAVES FROM ALASKA DOWN TO 40N BETWEEN 150-140W
AND THE IMPACT OF THESE WAVES WITH CONVECTIVE FEEDBACK SIGNALS FOR
THE MID WEEK PERIOD. THE GFS SEEMS TOO AGGRESSIVE BREAKING DOWN THE
RIDGE ACROSS THE GREAT LAKES WITH STRONG CONVECTIVE DEVELOPMENT OVER
THE PLAINS THEN TRACKING ITS ELEMENTS EAST WHILE THE
ECMWF/UKMET/CANADIAN/WRF-HEMI LOOK MORE REASONABLE BUT THESE TOO
HAVE COMPLICATIONS WITH OVERALL CONVECTIVE TRENDS FOR THE UPCOMING
WEEK.
AS EXPECTED...WESTERLIES WILL BE ACTIVE THIS WEEK WITH LEAD SHORT
WAVE APPROACHING LAKE WINNIPEG THIS MORNING WILL REMAIN WELL NORTH
OF THE LOCAL AREA MONDAY THROUGH TUESDAY. ASSOCIATED COLD FRONT
WILL APPROACH THE LOWER LAKES LATE MONDAY NIGHT INTO TUESDAY WITH
LITTLE IN THE WAY OF MOISTURE OR UPPER SUPPORT.
NEVERTHELESS...TIMING OF THIS FRONT DOES MOVE IT THROUGH DURING THE
PEAK HEATING ON TUESDAY AND THIS PUSHES CAPES TO BETWEEN 1000-1500
J/KG WITH MID LEVEL LAPSE RATES OF 6.5 C/KM. CURRENT FORECAST FOR
CHANCE OF SHOWERS AND SLIGHT CHANCE FOR THUNDER LOOKS GOOD AT THIS
TIME WITH NO CHANGES. WITH FROPA...ALBEIT SLOWER MIGRATION
SOUTHWARD...TUESDAY NIGHT COULD SEE LINGERING CONVECTION BEFORE
DISSIPATING WITH LOSS OF THE SUNSHINE AND WEAKENING SURFACE
CONVERGENCE. THE QUESTION WILL BE JUST HOW MUCH COLD ADVECTION
OCCURS OVER LAKE HURON OVERNIGHT. THE NMM SUGGESTS LAKE EFFECT RAIN
SHOWERS WITH 1000-850MB LAPSE RATES OVER 7.5 C/KM WITH THE OTHER
VARIOUS MODELS NOT ONLY WARMER BUT LESS PRONOUNCED WITH THERMAL
TROUGH OVER LAKE HURON. AS THE NMM RESOLUTION IS HIGHER AND IT MORE
MESOSCALE THAN ITS COUNTERPARTS...PREFER TO INTRODUCE A SLIGHT
CHANCE FOR RAIN SHOWERS OVERNIGHT FOR SOUTH LAKE HURON AND INCLUDE
HURON COUNTY.
SURFACE HIGH SLIDES INTO THE GREAT LAKES FOR WEDNESDAY THEN UPSTREAM
CONVECTIVE TRENDS WILL DICTATE THE REMAINDER OF THE FORECAST. AS
NOTED IN THE SWODY3 AND CURRENT ECMWF...HEIGHT FALLS WILL COMMENCE
WITH THE APPROACH OF VORTEX IN THE GULF OF ALASKA TRACKING JUST
NORTH OF THE U.S. BORDER. LEE SURFACE CYCLOGENESIS WILL NOT ONLY
INCREASE THE LOW LEVEL JET BUT MOISTURE TRANSPORT AND INCREASED
SHEAR FOR SEVERAL COMPLEXES TO DEVELOP. WHILE THE GFS IS LIKELY TOO
OVERDEVELOPED...MID LEVEL WARM FRONT SHOULD LIFT NORTHWARD ACROSS
THE LAKES THURSDAY NIGHT AND THE CHANCE FOR ELEVATED THUNDERSTORMS.
THEN WITH WARM AND INCREASED MOIST/UNSTABLE AIRMASS IN ADVANCE OF A
COUPLE OF FRONTAL SYSTEMS WILL PROVIDE THE CONTINUED CHANCE FOR
CONVECTION THROUGH THE FRIDAY-SATURDAY TIME PERIOD.
&&
.DTX WATCHES/WARNINGS/ADVISORIES...
MI...NONE.
LAKE HURON...SMALL CRAFT ADVISORY...LHZ422...UNTIL 6 PM SUNDAY.
SMALL CRAFT ADVISORY...LHZ421-LHZ441...UNTIL 6 PM SUNDAY.
SMALL CRAFT ADVISORY...LHZ442-LHZ443...UNTIL 9 PM SUNDAY.
LAKE ST CLAIR...NONE.
MI WATERS OF LAKE ERIE...NONE.
&&
$$
UPDATE.......BRAVENDER
AVIATION.....DWD
MARINE.......DWD
SHORT TERM...DWD
LONG TERM....BGM
YOU CAN OBTAIN YOUR LATEST NATIONAL WEATHER SERVICE FORECASTS ONLINE
AT WWW.WEATHER.GOV/DETROIT (ALL LOWER CASE).
</PRE></TT></td> mi
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE BINGHAMTON NY
940 AM EDT SUN AUG 20 2006
.SHORT TERM (TODAY - MONDAY)...
UPDATE -
GFS/NAM PROFILES STILL SHOWING SIG DIFFS W/RESPECT TO CONVECTIVE
POTNL THIS AFTN, WITH GFS PROFILES MUCH MORE STABLE AND INDICATING
LITTLE IF ANY ACTIVITY TDA, WHILE NAM INDICATES POTNL FOR MODEST
CONVECTION. THE RUC PROFILES APPEAR TO BE A GOOD COMPROMISE, WITH
CAPES POTNLY IN THE 300-400 RANGE THIS AFTN AND LI'S OF ARND -1 TO
-2. HOWEVER, ALL PROFILES SUGGEST A STRENGTHENING AND LOWERING
SUBSIDENCE INVERSION IN THE 600-700 MB LAYER THIS AFTN. THIS FEATURE
IS EVIDENT IN THE 12Z BUF SNDG, AND IS MUCH STRONGER IN THE UPSTREAM
DTX/APX 12Z SNDGS. WILL KEEP CHC POPS, BUT PRBLY SCALE BACK TO 30
POPS FOR THE CNTRL SRN TIER AND NE PA. BETTER CHCS ACRS THE FINGER
LAKES, WRN MOHAWK VLY, SRN TUG AND NRN SUSQ RGN WHERE BETTER FORCING
FROM THE APRCHNG S/WV WILL BE EVIDENT, AIDED BY SOME LOW LVL
CONVERGENCE AS 2NDRY SFC TROF DROPS SWD.
LOOKING BACK AT LAST NGT, HEAVIER PCPN AXIS FORMED JUST N OF THE
NY/PA BORDER, WITH SVRL RPTS OF 2-3 INCHES AND EVEN A FEW 3.5 INCH
AMTS. NO PRBLMS RPTD DUE TO ANTECEDENT DRY CONDITIONS. PREV AFD
BLO...
BACK EDGE OF THE HEAVIER RAIN IS PUSHING ACROSS OUR EASTERN ZONES AS
OF THIS WRITING...AND IT SHOULD BE THROUGH THESE AREAS BY AROUND 4
AM. THIS WILL LEAVE SOME SCATTERED LIGHTER SHOWERS FOR THE REGION
THIS MORNING...AS A WEAK SURFACE TROUGH MOVES ACROSS NY AND PA. THIS
AFTERNOON...ENOUGH MIXING SHOULD DEVELOP TO ALLOW THE SUN TO BREAK
THROUGH THE CLOUDS AT TIMES...ESPECIALLY ACROSS NORTHEAST PA. AT THE
SAME TIME...THOUGH...ANOTHER UPPER-LEVEL WAVE IS EXPECTED TO CROSS
UPSTATE NY LATE TODAY INTO THIS EVENING. SOME COOLING ALOFT/HEIGHT
FALLS WITH THIS FEATURE COULD DESTABILIZE THE ATMOSPHERE
SUFFICIENTLY TO BRING A FEW SHOWERS OR THUNDERSTORMS BACK INTO THE
FORECAST AREA BETWEEN ROUGHLY 3 AND 9 PM...PARTICULARLY FOR THE
NORTHERN ZONES.
LATER TONIGHT AND MONDAY...MORE PRONOUNCED SINKING MOTION/DRYING
DEVELOPS IN THE WAKE OF THE ABOVE MENTIONED UPPER WAVE.
CONSEQUENTLY...WE SHOULD SEE AT LEAST PARTIAL CLEARING AFTER
MIDNIGHT...WITH A MAINLY SUNNY DAY EXPECTED MONDAY. -MJ
&&
.LONG TERM (MONDAY NIGHT - SATURDAY)...
THE EXTENDED STARTS OUT WITH UPPER TROF LIFTING OUT AND UPPER RIDGE
BUILDING FOR MOST OF THE REMAINDER OF THE PERIOD. DAY 3-4 RESIDUAL
CYCLONIC CIRCULATION ON THE SURFACE/PASSING TROF BRINGS A SLIGHT CHC
OF SHOWERS. LARGE DRY HIGH PRESSURE BUILDING IN AND SLOWLY MOVING
OFFSHORE FOR THE REMAINDER OF THE PERIOD. - JFC
&&
.AVIATION (20/12Z TO 21/12Z)...
MVFR TO OCCASIONAL IFR RESTRICTIONS EXPECTED THIS MORNING WITH LOWER
CEILINGS...LIGHT FOG...AND SCATTERED SHOWERS. FOR THE LATE MORNING
AND AFTERNOON HOURS...GENERAL IMPROVEMENT ANTICIPATED AS CONDITIONS
RETURN TO VFR. WEST TO NORTHWEST SURFACE WINDS SHOULD INCREASE TO
10-15 KT THIS AFTERNOON. SOME HIT AND MISS SHOWERS OR THUNDERSTORMS
ARE EXPECTED ONCE AGAIN LATE THIS AFTERNOON INTO THE EVENING
(BETWEEN ABOUT 21Z AND 03Z). HOWEVER...THE FAIRLY ISOLATED NATURE
OF THEM PRECLUDES THEIR MENTION IN THE TERMINALS AT THIS JUNCTURE.
-MJ
&&
.BGM WATCHES/WARNINGS/ADVISORIES...
.NY...NONE.
.PA...NONE.
$$
</PRE></TT></td> ny
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAND FORKS ND
1007 AM CDT SUN AUG 20 2006
.UPDATE...
MORNING UPDATE WILL MAINLY ADDRESS POTENTIAL FOR AFTERNOON/
EVENING CONVECTION. THERE ARE CURRENTLY SOME ECHOES ON RADAR SOUTH
OF KBIS AND EAST OF KMOT. THESE STORMS ARE ELEVATED IN NATURE...
ASSOCIATED WITH THE LOW LEVEL JET AND A RIBBON OF ELEVATED
MOISTURE. AS THESE ECHOES MOVE EAST THEY WILL MOVE AWAY FROM BOTH
THESE COMPONENTS...SO AS THE RADAR SHOWS...THEY SHOULD DIE OUT.
THERE IS A POSSIBILITY FOR A FEW SPRINKLES OVER WESTERN BENSON/
WESTERN TOWNER COUNTIES...BUT IT WILL MOST LIKELY BE VIRGA. BETTER
CHANCES FOR CONVECTION WILL BE LATER THIS AFTERNOON...ALONG THE
COLD FRONT. THIS FRONT IS CURRENTLY OVER THE NORTHWEST CORNER OF
ND. LATEST MODELS ARE MOVING THIS FRONT EASTWARD A BIT QUICKER
THAN THEY DID IN PRIOR RUNS. NOW IT APPEARS IT WILL BE INTO THE
KDVL REGION BY LATE AFTERNOON AND ALONG A KROX/KGFK/VALLEY CITY
LINE BY 06Z. RUC IS SHOWING THE LIFTED INDEX DROPPING TO AROUND
-4/-6 BY 00Z ALONG THE FRONT. SFC MOISTURE RETURN SOMEWHAT
LACKING...BUT THE RUC ALSO SHOWS GOOD MOISTURE AVAILABLE AT
850MB...SO IT WILL LIKELY BE HIGH BASED STORMS. NOT VERY GOOD
DYNAMICS TO WORK WITH...BUT THE SFC CONVERGENCE WILL BE ENOUGH TO
GENERATE SOME STORMS. WITH THE LACK OF UPPER SUPPORT...COVERAGE
WILL NOT BE GREAT AND SEVERE STORMS ARE NOT EXPECTED. ADDED IN
PCPN CHANCES FOR LATE AFTERNOON AND EARLY TONIGHT.
&&
.PREV DISCUSSION... (ISSUED 425 AM CDT SUN AUG 20 2006)
CURRENT OBSERVATIONAL OVERVIEW...
08Z SURFACE ANALYSIS DEPICTED THE COMMENCEMENT OF SOUTHERLY FLOW AND
ASSOCIATED WAA FROM THE VALLEY WEST IN CONJUNCTION WITH IMPENDING S/W
TROUGH FROM MANITOBA PROVINCE TO MONTANA. LATEST WATER VAPOR IMAGERY
SHOWED WEST TO NORTHWEST FLOW ALOFT OVER THE NORTHERN PLAINS WITH
EMBEDDED SHOTS OF S/W ENERGY RIDING ALONG IN FLOW. MOST PRONOUNCED
S/W ATTM WAS EVIDENT OVER AB/SK PROVINCES WITH ATTENDANT 70KT SPEED
MAX.
SHORT TERM...
MAIN FORECAST CHALLENGE DURING THE NEXT 24 TO 48 HOURS WILL BE TIMING
AND DEGREE OF MOISTURE DEPTH FOR IMPENDING FROPA TO FEED OFF OF FOR
CONVECTIVE POTENTIAL. LATEST MODEL TRENDS SUGGEST TIMING OF TROUGH
PASSAGE WILL BE LATE TONIGHT FROM THE VALLEY WEST AND THEN EARLY
MONDAY MORNING ACROSS MINNESOTA COUNTIES. BASED ON ABOVE TIMING
APPEARS MAIN CONVECTIVE THREAT SHOULD BE ACROSS THE SOUTHERN PORTION
OF CWFA WHERE SOME DAYTIME HEATING/ATMOSPHERIC DESTABILIZATION WILL
OCCUR I.E. ML CAPES VALUES OF 1000 J/KG. BASED ON THIS WILL CONFINE
LOW POP CHANCES FOR AREAS GENERALLY SOUTH OF A VALLEY CITY TO FARGO
TO PARK RAPIDS LINE. IN WAKE OF TROUGH ANOTHER RIDGE OF HIGH PRESSURE
WILL BRIEFLY BUILD INTO THE NORTHERN PLAINS MONDAY NIGHT INTO PART
OF TUESDAY. EXPECT UNSETTLED CONDITIONS TO RETURN TO CWFA TUESDAY
NIGHT AND WEDNESDAY AS LOW LEVEL FLOW BACKS TO SOUTHERLY COMPONENT
ALLOWING MOISTURE/INSTABILITY TO OUR SOUTH TO MAKE A RETURN VISIT.
SLOW NATURE TO TROUGH LEAVES MUCH UNCERTAINTY TO EVENTUAL OUTCOME
FOR LATTER PART OF UPCOMING WEEK. ATTM GFS IS THE MOST BULLISH WITH
STRENGTH OF TROUGH/ATTENDANT WAVE OF LOW PRESSURE THAT DEVELOPS ALONG
BOUNDARY ON WEDNESDAY INTO THURSDAY. FOR NOW WILL TAKE CONSERVATIVE
APPROACH WITH RESPECT TO DEGREE OF POPS/QPF POTENTIAL UNTIL OVERALL
PICTURE BECOMES MORE CLEAR CUT. AS FOR TEMPS EXPECT GOOD MERCURY
RECOVERY TODAY AFTER A COOL START WITH READINGS REACHING INTO THE
LOW TO MID 80S. REMAINDER OF THE WEEK TEMPERATURES ARE A TOUGH CALL
WITH TIMING ISSUES OF BOUNDARY INTERACTION/PASSAGE DETAILS RAISING
QUITE A FEW QUESTIONS ATTM.
&&
.FGF WATCHES/WARNINGS/ADVISORIES...
ND...NONE.
MN...NONE.
&&
$$
GODON
</PRE></TT></td> nd
AREA FORECAST DISCUSSION...UPDATED
NATIONAL WEATHER SERVICE ABERDEEN SD
746 AM CDT SUN AUG 20 2006
.UPDATE...REVISITED WX/POP GRIDS TO INCREASE AREAL COVERAGE WITH
DEVELOPING CONVECTION ACROSS NORTH CENTRAL SODAK THIS MORNING...AS
WELL AS TO REFRESH OVER HOURLY GRIDS. UPDATED WORDS/GRIDS OUT.
DORN
&&
.PREV DISCUSSION... (ISSUED 355 AM CDT SUN AUG 20 2006)
SHORT TERM...TODAY THROUGH TUESDAY NIGHT
WEST TO NORTHWEST UPPER LEVEL FLOW CONTINUES ACROSS THE REGION
THROUGH MONDAY...WITH PRECIP CHANCES EXPECTED TODAY INTO MONDAY.
WATER VAPOR IMAGERY SHOWING A WEAK WAVE EXITING NE WYOMING...WITH A
FEW ISOLATED -TRW FIRING ACROSS NWRN SD. RUC/GFS/NAM INDICATE A
DECENT THETA-E RIDGE SITUATED INTO WRN SD IN VICINITY OF THE CURRENT
CONVECTION...WITH THIS RIDGE SHIFTING EASTWARD INTO CENTRAL SD BY
MID MORNING. THEREFORE HAVE INSERTED AN ISOLATED -TRW MENTION FOR
THIS MORNING ACROSS THE NORTH CENTRAL ZONES...EXPECTING ACTIVITY TO
DISSIPATE BY MID/LATE MORNING. MOISTURE AXIS REMAINS IN THAT AREA
THROUGH THE DAY...AS A STRONGER UPPER WAVE MOVES THROUGH LATER TODAY
INTO MONDAY. LAPSE RATES INDICATING SUFFICIENT INSTABILITY...WITH
MOISTURE STILL REMAINING AN ISSUE. LATEST SPC ANALYSIS SUGGESTS
POTENTIAL FOR SEVERE ACTIVITY BUT EXPECT A LIMITED AMOUNT OF
DEVELOPMENT DUE TO THE LACK OF MOISTURE. MODELS STILL HAVING TROUBLE
COMING TO A CONSENSUS WITH THE COLD FRONT EXPECTED TO DROP THROUGH
MONDAY INTO MONDAY NIGHT. LATEST HPC GUIDANCE SUGGESTING NAM MAY BE
TOO FAST WITH THE FRONTAL BOUNDARY...AND GFS A LITTLE SLOW. AGREED
WITH THIS...BUT ULTIMATELY LEANED TOWARD THE GFS FOR THE TIMING AS
IT HAS SHOWN BEST CONTINUITY WITH THIS SYSTEM. THEREFORE CONTINUED
WITH PRECIP CHANCES MONDAY INTO MONDAY AFTERNOON WITH THE FRONTAL
PASSAGE...BUT OPTED TO REMOVE THE MENTION ACROSS THE NORTHERN CWA
FOR MONDAY EVENING. WILL HAVE TO WATCH FUTURE MODEL TRENDS...TO
FURTHER TREND PRECIP CHANCES FOR LATER MONDAY AFTERNOON INTO MONDAY
NIGHT. BEGIN TO SEE SOME UPPER RIDGING ALOFT INTO TUESDAY AND
TUESDAY NIGHT...WITH THE REGION BECOMING SANDWICHED BETWEEN SFC LOW
PRESSURE TO THE WEST AND HIGH PRESSURE TO THE EAST. MODELS
INDICATING SOUTHERLY FLOW INTO THE REGION...WITH A DECENT LLJ
DEVELOPING TUESDAY NIGHT. CONTINUED WITH A MENTION OF PRECIP DURING
THE MORE DIURNALLY FAVORED TIME OF TUESDAY NIGHT. HOWEVER IF THE
HIGH PRESSURE AREA ENDS UP SLIGHTLY FURTHER WEST THAN MODELS
CURRENTLY INDICATE...ANY ACTIVITY MAY REMAIN TO THE WEST OF THE CWA.
AS FOR TEMPERATURES...MADE VERY LITTLE CHANGES.
LONG TERM...WEDNESDAY THROUGH SATURDAY
THE OPERATIONAL DATA SETS FOR THE 00Z GFS/EC WERE SIMILAR IN MASS
FIELD OUTPUT AND REMAINED REFLECTIVE OF GOING EXTENDED FORECAST
PACKAGE. THE 12Z/19 OPERATIONAL EC APPEARED TO BE AN OUTLIER IN ITS
500HPA HEIGHT FIELD ACROSS THE EASTERN PACIFIC AT 12Z ON
SATURDAY...BUT THE 00Z/20 EC CAME IN LOOKING MORE SIMILAR TO THE GFS
500HPA HEIGHT FIELD FOR DAY 7. THIS LENT A LITTLE MORE CONFIDENCE
TOWARD THE GFS ENSEMBLE SUITE OF PRODUCTS AS WELL AS THE OPERATIONAL
GFS. BASICALLY...WEAK MID-LEVEL RIDGING ACROSS THE NORTH CENTRAL
STATES WILL BE INTERRUPTED BY SHORT-WAVE TROFPAS WEDNESDAY AND
FRIDAY...WITH THURSDAY AND SATURDAY EXPECTED ATTM TO BE DRY DAYS
WITH WEAK SURFACE HIGH PRESSURE BUBBLES SEPARATING A COUPLE OF
SURFACE LOW PRESSURE TROFPAS ASSOCIATED WITH EACH UPPER WAVE.
NO SUBSTANTIVE CHANGE TO WX/POP GRIDS. DID EXTEND THE POP MENTION ON
FRIDAY INTO FRIDAY EVENING ACROSS THE FAR EASTERN FORECAST AREA IN
ANTICIPATION OF MODEL BIAS/TENDENCY TO SLOW THINGS DOWN A LITTLE AS
FT=0 APPROACHES.
AGAIN...LITTLE IN THE WAY OF CHANGE TO THE MAX/MIN T GRIDS
AS...850HPA THERMAL PROGS POINTING TO WARMER CONDITIONS WEDNESDAY
AND THURSDAY BEFORE STRONGER UPPER WAVE PASSES THROUGH ON FRIDAY
DELIVERING A BLAST OF COOLER CANADIAN AIR TO THE NORTH CENTRAL
STATES FOR FRIDAY AFTERNOON THROUGH SATURDAY NIGHT. 850HPA THERMAL
PROGS TRANSITION FROM A RANGE OF +20C TO +28C DAYS 4 AND 5 DOWN INTO
THE TEENS ON DAYS 6 AND 7.
&&
.ABR WATCHES/WARNINGS/ADVISORIES...
SD...NONE.
MN...NONE.
&&
$$
ALBRECHT/DORN
</PRE></TT></td> sd
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MORRISTOWN TN
1000 AM EDT SUN AUG 20 2006
.DISCUSSION...SCATTERED SHOWERS AND THUNDERSTORMS HAVE MOVED ACROSS
THE NORTHERN AND CENTRAL SECTIONS OF THE FORECAST AREA THIS MORNING
WITH AN MCS MOVING INTO EASTERN KY ALONG AND JUST NORTH OF WEAK COLD
FRONT AT THIS TIME. EXPECT MCS TO DECREASE IN INTENSITY BY THE TIME
IT REACHES SW VA BUT THIS AREA HAS BEST CHANCE OF RAIN LATE THIS
MORNING. EXTENSIVE CLOUDS AND SOME FOG ELSEWHERE IS KEEPING
TEMPERATURES IN THE UPPER 60S TO MID 70S. THIS FRONT WILL BE THE
FOCUS FOR SHOWERS AND THUNDERSTORMS TODAY AND WITH THE ATMOSPHERE
VERY MOIST AND DAYTIME HEATING SOME LOCALIZED HEAVY RAINFALL
MAY OCCUR. BEST FOCUS FOR HEAVY RAIN SHOULD STAY NORTHWEST OF THE
CWA IN KY. LATEST RUC DATA SHOWS PRECIPITATION INCREASING LATE THIS
MORNING AND CONTINUING THROUGH THE AFTERNOON. THE GFS/NAM GENERALLY
SHOW THIS TOO WITH SHOWERS AND THUNDERSTORMS DEVELOPING NORTHERN
AREAS FIRST AND SOUTHERN AREAS THIS AFTERNOON. WILL CONTINUE HIGH
POPS AND RAISE THEM SLIGHTLY FOR LATE MORNING AND AFTERNOON HOURS.
ALSO ADJUSTING HOURLY TEMPERATURES AND DEWPOINTS.
&&
.MRX WATCHES/WARNINGS/ADVISORIES...
NC...NONE.
TN...NONE.
VA...NONE.
&&
$$
TD
</PRE></TT></td> tn
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GOODLAND KS
200 PM MDT SUN AUG 20 2006
.SHORT TERM... (TONIGHT - WEDNESDAY)
FORECAST PROBLEM WILL BE CHANCES OF PRECIPITATION TONIGHT AND
MONDAY...MAINLY SOUTH OF INTERSTATE 70.
WATER VAPOR IMAGERY SHOWS THAT THE SOUTHERN AND CENTRAL HIGH PLAINS
STILL UNDER A MOIST TROPICAL FLOW IN MID/UPPER LEVELS OF THE
ATMOSPHERE. LOWER LEVELS ALSO QUITE MOIST AFTER A COUPLE OF DAYS OF
UPSLOPE FLOW. IT WILL NOT TAKE MUCH FORCING TO LIFT THIS VERY
BUOYANT AND MOIST COLUMN. AREA WILL BE UNDER PERSISTENT RIGHT REAR
QUADRANT OF UPPER JET STRETCHING ACROSS THE MIDWEST. IN
ADDITION...SHORTWAVE TROUGH CURRENTLY OVER NEW MEXICO EXPECTED TO
TRACK NORTH THEN NORTHEASTWARD THE NEXT 24 HOURS. IT SHOULD BE
SUFFICIENT TO INITIATE SHOWERS AND A FEW THUNDERSTORMS. QUESTION
WILL BE HOW FAR NORTH TO TAKE THE QPF. CERTAINLY AREAS SOUTH OF THE
INTERSTATE STAND THE BEST CHANCES. THE HIGHER RESOLUTION MODELS
(NAM12 AND RUC13) ARE ALSO THE MOST AGGRESSIVE WITH TAKING THE
PRECIPITATION NORTH ON MONDAY. PRECIPITATION WILL WIND DOWN LATE
MONDAY AFTERNOON AND EVENING AS SHORTWAVE TROUGH PULLS AWAY AND
RIDGING REBUILDS FROM THE NORTHWEST.
REMAINDER OF THE SHORT TERM PERIOD WILL BE DOMINATED BY UPPER
RIDGING. NOT MUCH CHANGE FORECAST IN 850MB TEMPERATURES BETWEEN
MONDAY AND TUESDAY...BUT BY WEDNESDAY THEY ARE FORECAST TO APPROACH
30C AS UPPER ANTICYCLONE NEARLY OVERHEAD. THIS WILL ALLOW
TEMPERATURES TO RISE WELL INTO THE 90S BY MIDWEEK.
.LONG TERM... (THURSDAY - SUNDAY)
PATTERN WILL FEATURE UPPER RIDGING OVER THE FOUR CORNERS. LATEST
MODEL RUNS ARE STRONGER WITH RIDGING EXTENDING ACROSS THE ROCKIES
AND INTO THE CENTRAL PLAINS. AS A RESULT...TEMPERATURES WILL WARM
AND BE WELL ABOVE NORMAL THROUGH THE END OF THE WEEK. STRONG
NORTHERN STREAM SHORTWAVE TROUGH WILL MOVE ACROSS THE NORTHERN
ROCKIES EARLY IN THE PERIOD...EJECTING INTO THE NORTHERN PLAINS
FRIDAY. THIS WILL SUPPORT A SURFACE COLD FRONT WHICH IS FORECAST TO
MOVE THROUGH THE LOCAL FORECAST AREA FRIDAY AFTERNOON/NIGHT. EXPECT
A CHANCE OF THUNDERSTORMS WITH THE FRONT. POST FRONTAL LOW LEVEL
UPSLOPE REGIME WILL RULE ON SATURDAY...WHICH PROBABLY MEANS A COOL
AND CLOUDY DAY. RIDGING QUICKLY REBUILDS ALOFT BEHIND THE SHORT
WAVE...AND WARMING WILL COMMENCE ON SUNDAY.
&&
.GLD WATCHES/WARNINGS/ADVISORIES...
KS...NONE.
NE...NONE.
CO...NONE.
&&
$$
JDK
</PRE></TT></td> ks
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE JACKSON KY
400 PM EDT SUN AUG 20 2006
.DISCUSSION...
NAM SEEMED TO BE HANDLING CURRENT SYNOPTIC PATTERN FAIRLY WELL...SO
WENT WITH THE LATEST NAM SOLUTION FOR SHORT TERM PORTION OF
FORECAST. GFS AND NAM BOTH WITH SIMILAR SOLUTIONS...MOVING THE FRONT
A BIT FURTHER SOUTH THAN WHERE IT IS CURRENTLY LOCATED. WITH THIS IN
MIND...DECIDED TO SLOW DOWN SOUTHWARD PROGRESSION OF FRONT A
BIT...TO BETTER REFLECT CURRENT FRONTAL POSITION AND MOVEMENT. ALL
MOS DATA...MAV...MET...AND FWC...COMING IN WITH VERY LOW OR NO
PRECIPITATION CHANCES AT ALL THROUGH WEDNESDAY NIGHT. DECREASED
PRECIP CHANCES QUITE A BIT FOR ENTIRE SHORT RANGE PORTION OF
FORECAST. LEFT IN SLIGHT CHANCE POPS FOR SOUTHERN AND SOUTHEASTERN
TWO TIERS OF COUNTIES FOR THE NEXT FEW DAYS...AS IT APPEARS A WEAK
WAVE WILL FORM AND MOVE EASTWARD ALONG A NEARLY STATIONARY FRONTAL
BOUNDARY...PARTICULARLY TUESDAY AND TUESDAY NIGHT. WITH THIS IN
MIND...WENT CLOSEST TO MAVMOS FOR POPS.
GRADUALLY DECREASED CLOUD COVER THROUGH THE PERIOD...PER LATEST NAM
AND GFS SOLUTIONS. MODEL CROSS SECTIONS ALSO DEPICTING VERY LITTLE
MOISTURE IN LOW LEVELS OF ATMOSPHERE FOR THE NEXT 3 DAYS...SO THIS
CHANGE SEEMED WARRANTED. DEWPOINTS SEEMED A BIT TOO HIGH...AS HIGH
PRESSURE SHOULD BE MOVING IN FROM THE NORTH OVER THE NEXT COUPLE OF
DAYS...AS PER THE LATEST ENSEMBLE MODEL OUTPUT.
TEMPERATURES WERE IN FAIRLY GOOD SHAPE ALREADY. A FEW SLIGHT TWEAKS
WERE MADE HERE AND THERE TO ACCOUNT FOR THE SLIGHTLY WARMER DAYTIME
HIGHS SHOWING UP IN THE LATEST MOS DATA. USED A BLEND BETWEEN MRF
ENSEMBLE TEMPS AND MAV/MET MOS FOR HIGHS...GOING A BIT WARMER THAN
PREVIOUSLY FORECAST THROUGH WEDNESDAY AFTERNOON. OVERNIGHT LOWS
LOOKED A BIT WARM AND WERE DECREASED SLIGHTLY. OVERALL TEMPERATURE
FORECAST WAS ALREADY IN VERY GOOD SHAPE.
WINDS WERE TWEAKED A BIT TO BETTER REFLECT TERRAIN
AFFECTS...ESPECIALLY DURING THE NIGHTTIME PERIODS. QPF AND WEATHER
GRIDS WERE ALSO CHANGED TO REFLECT CHANGES MADE TO SKY AND POP
FORECAST.
EXTENDED (0Z THU THROUGH 12Z MON)...OPTED FOR THE 0Z GFS ENSEMBLES.
ECMWF HAS MORE RIDGING OVER THE SOUTHERN US AND HIGHER HEIGHTS
ACROSS THE AREA THROUGH MUCH OF THE EXTENDED PERIOD. EARLY IN THE
PERIOD...HEIGHTS RISE...WITH A RETURN OF A WARM AND MOIST AIRMASS AS
SFC HIGH SHIFTS EAST...AND RETURN FLOW SETTING UP ON FRI. ABOVE
NORMAL TEMPERATURES ARE EXPECTED THUR THROUGH SAT WITH 8H TEMPS IN
THE UPPER TEENS C...AND RAISED MAX TEMPS SLIGHTLY THESE DAYS FROM
THE PREVIOUS FORECAST. MIN TEMPS WILL BE LOWEST EARLY IN THE PERIOD
AS SFC HIGH SHIFTS EAST ON THU AM WITH PROBABLE RIDGE/VALLEY TEMP
SPLIT SETUP. INTRODUCED SLIGHT CHANCE POPS ON FRI...MAINLY DIURNAL
THOUGH ENSEMBLES INDICATE THAT A SW/V TROUGH MAY BE CROSSING THE
REGION ON FRI. MAIN TROUGH WILL PROGRESS EAST FROM THE NORTHERN ON
FRI TO ONTARIO BY THE END OF THE PERIOD. SFC LOW SHOULD ACCOMPANY
THIS SYSTEM WITH SFC COLD FRONT APPROACHING THE AREA LATE IN THE
PERIOD. DEPENDING ON THE STRENGTH OF THE RIDGE OVER THE SOUTHEASTERN
US (ECMWF IS STRONGER THAN GFS/ENSEMBLES) THIS FRONT COULD BE
SLOWER. INCLUDED CHANCE POPS FROM SAT PM THROUGH SUN
EVENING...DURING TIME THE FRONT IS EXPECTED TO MOVE THROUGH THE AREA.
&&
.PREV DISCUSSION...
1101 AM EDT SUN AUG 20 2006
PRIMARY FORECAST PROBLEM FOR UPDATE IS TEMPERATURES FOR THE REST OF
TODAY. WITH THE PASSAGE OF THIS MORNINGS MCS...HOURLY TEMPERATURES
AT SEVERAL SITES ACROSS FORECAST AREA ARE NOW SEVERAL DEGREES LOWER
THAN PREVIOUSLY FORECAST. WITH THIS IN MIND...DECIDED TO DECREASE
AFTERNOON HIGH TEMPERATURES ACROSS THE BOARD TO A CATEGORY BELOW
PREVIOUS FORECAST. ALSO REMOVED MENTION OF FOG FROM FORECAST...AS
WINDS FROM MCS PASSAGE HAVE HELPED TO BREAK UP QUITE A BIT OF THE
FOG THAT WAS PRESENT IN VALLEY LOCATIONS THIS MORNING. REST OF
FORECAST WAS IN GOOD SHAPE.
430 AM EDT SUN AUG 20 2006
COLD FRONT HAS DROPPED INTO THE NORTHERN PORTIONS OF OUR CWA THIS
MORNING. A THIN LINE OF SCATTERED SHOWERS AND THUNDERSTORMS HAVE
DEVELOPED ALONG THE BOUNDARY...WITH A FEW ADDITIONAL POCKETS OF
SHOWER AND THUNDERSTORMS OUT AHEAD OF THE FRONT. OTHERWISE...AN MCS
WAS TRACKING EASTWARD THROUGH WESTERN KENTUCKY. EXPECT THIS FEATURE
TO WEAKEN SOME AS IT PROGRESSES EASTWARD INTO A MORE STABLE
ENVIRONMENT AND WHERE THE ATMOSPHERE HAS BEEN WORKED OVER DURING THE
OVERNIGHT. RUC ANALYSIS AND RADAR CONFIRMS THIS TREND.
EXPECT SHOWERS AND THUNDERSTORMS TO CONTINUE TO DEVELOP ALONG AND
AHEAD OF THE FRONT AS IT SLIDES SOUTHWARD THROUGH THE DAY. ACTIVITY
WILL INTENSIFY IN COVERAGE AND STRENGTH LATER IN THE AFTERNOON WITH
HELP OF DAY TIME HEATING AND AS SOME SHORT WAVE ENERGY MANAGES TO
MAKE ITS WAY INTO THE AREA. PERSISTENCE WOULD SUGGEST THAT ONE OR
TWO STORMS MAY EVEN MAKE IT TO SEVERE LEVELS THIS AFTERNOON WITH THE
MAIN THREAT BEING HIGH WINDS. ALSO...SOME LOCALLY HEAVY RAINFALL
WILL BE POSSIBLE. WILL MENTION THESE IN THE HWO.
WILL SEE A BRIEF REPRIEVE FROM SHOWER ACTIVITY LATER TONIGHT.
AFTERWARDS...MODELS STILL DEVELOP A WAVE OF LOW PRESSURE AND TRACK
IT EASTWARD BETWEEN THE TN AND OH VALLEYS LATE MONDAY INTO TUESDAY.
NAM IS FURTHER SOUTH AND FASTER WITH ANY ENERGY ASSOCIATED WITH
THIS DISTURBANCE AS COMPARED TO THE GFS. FOR NOW STAYED WITH THE
MORE CONSISTENT GFS SOLUTION. BEST LIFT OVER EASTERN KENTUCKY
APPEARS TO OCCUR DURING THE MONDAY NIGHT...TUESDAY TIME FRAME. SO
HIT POPS HARDEST DURING THIS PERIOD.
930 PM EDT SAT AUG 19 2006
S/WV HAS MOVED THRU THE AREA AND MOST OF THE CONVECTION NOW
EAST/SOUTH OF CWFA. ISOLATED CONVECTION POPPING UP IN CNTRL KY BUT
DIMINISHES TO BARELY -RA BY THE TIME IT GETS TO I-75. WX OF GREATEST
CONCERN IS THE SHRA ALONG THE QUASI-STATIONARY FNT FM PMH TO CVG AND
CONVECTIVE COMPLEX ON THE WRN FRINGE OF CNTRL KY CWFA. HAVE KEPT CHC
POP IN NORTH FOR FNTL CONVECTION AND FEEL THE MCS IN WRN KY WILL HOLD
AT BAY UNTIL AFTER SUNRISE. LOCALLY DENSE FOG IN VLYS IS SPILLING
ONTO RIDGES IN LIGHT SRLY BREEZE. LIGHT WIND SHOULD GO CALM TONITE
AND FOG WILL SETTLE BUT THE DEPTH OF THE MOIST/SATURATED AIR MAY
PRECLUDE ANY SIGNIFICANT DROP IN TEMP. ALREADY INTO THE LOWER 70S AND
HAVE PROJECTED LOWS IN THE NRN 2/3 CWFA TO ONLY DROP A COUPLE OF DEG
FROM CURRENT TEMPS...PUTTING THEM BARELY INTO THE UPPER 60S.
&&
.JKL WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
AR/JP
</PRE></TT></td> ky
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE MARQUETTE MI
347 PM EDT SUN AUG 20 2006
.DISCUSSION...
MAIN FORECAST CONCERN IS RAIN CHANCES FOR TOMORROW.
CURRENT WEATHER...19Z WATER VAPOR LOOP AND RUC 500MB HEIGHT ANALYSIS
SHOWED A GENERAL NW FLOW ALOFT ACROSS THE NORTHERN HALF OF THE U.S.
AND INTO CANADA. WITHIN THE FLOW...FEATURES OF INTEREST ARE A WEAK
RIDGE MOVING INTO UPPER MICHIGAN AT THE MOMENT AND STRONG SHRTWV
TROUGH DROPPING SOUTHWARD THROUGH SASKATCHEWAN AND MANITOBA. THE
UPPER RIDGE THAT IS BUILDING INTO THE CWA IS RESULTING IN LOW TO MID
LEVEL SUBSIDENCE (SEE 12Z MPX AND GRB SOUNDINGS WITH INVERSION AT
800MB)...HELPING TO MAINTAIN A HIGH PRESSURE RIDGE OVER THE AREA AND
KEEP SKIES OVERALL MOSTLY SUNNY. THESE MOSTLY SUNNY SKIES HAS
RESULTED IN DEEP MIXING UP TO THE SUBSIDENCE INVERSION...AND SINCE
TEMPS AT 800MB ARE AROUND 9C...SURFACE TEMPERATURES HAVE CLIMBED TO
NEAR 80 AWAY FROM LAKE BREEZES. THE MIXING HAS ALSO ALLOWED
DEWPOINTS TO DROP INTO THE MID 40S IN THE INTERIOR. HIGHER DEWPOINTS
CAN BE SEEN OFF TO THE WEST ACROSS WESTERN MINNESOTA AND THE
DAKOTAS. THIS MOISTURE IS ALONG AND AHEAD OF A COLD FRONT ASSOCIATED
WITH THE STRONG SHRTWV TROUGH...WHICH EXTENDS FROM A LOW IN NE
MANITOBA SOUTHWESTWARD TO THE BISMARCK AREA. A FEW SHOWERS AND
THUNDERSTORMS ARE ALSO OCCURRING ON THE FRONT IN NORTH DAKOTA AS
NOTED BY REGIONAL RADARS.
TONIGHT...UPPER LEVEL RIDGE OVER THE AREA IS PROGGED TO PUSH
EASTWARD IN RESPONSE TO THE SHRTWV TROUGH IN SASKATCHEWAN MOVING
EASTWARD. ALTHOUGH HEIGHTS WILL BE FALLING AND WARM ADVECTION IS
EXPECTED TO CONTINUE AHEAD OF THE TROUGH...ISENTROPIC LIFT IS
PROGGED TO BE MINIMAL. SO NO GREAT INCREASE IN CLOUD COVER IS
EXPECTED UNTIL THE MAIN FRONTAL BOUNDARY MOVES INTO THE MN ARROWHEAD
DURING THE LATE PART OF THE NIGHT. THEREFORE...WITH MOSTLY CLEAR
SKIES AND GENERALLY LIGHT WINDS (PARTICULARLY CENTRAL AND EAST)...
TEMPERATURES DROPPING AT LEAST INTO THE UPPER 40S AS INDICATED BY
THE MAV COOP GUIDANCE SEEMS LIKELY. DUE TO THE COOL READINGS...HAVE
INSERTED SOME PATCHY FOG FOR THE INLAND AREAS OF THE CENTRAL AND
EASTERN CWA. WARMER TEMPERATURES ARE EXPECTED ALONG THE GREAT LAKES
WITH A COMBINATION OF WEAK SURFACE RETURN FLOW AND LAND BREEZES.
MONDAY...UPPER LEVEL SHRTWV TROUGH IS PROGGED TO CONTINUE MOVING
EASTWARD...CROSSING ALL OF NORTHERN ONTARIO DURING THE DAY.
THEREFORE THE BETTER DYNAMICAL FORCING IS EXPECTED TO THE NORTH.
HOWEVER...THERE MAY STILL BE A FEW SHOWERS OR THUNDERSTORMS DURING
THE MORNING MOVING INTO THE WESTERN U.P. FROM MINNESOTA...SO HAVE
MAINTAINED THE SLIGHT CHANCE POPS. SUNSHINE THAT OCCURS IN THE
MORNING AHEAD OF THE FRONT IN THE AFTERNOON SHOULD BE ENOUGH TO LIFT
TEMPERATURES INTO THE LOW 80S (MIXING TO 850MB AND PER MET/MAV
GUIDANCE TEMPS). THESE TEMPERATURES COMBINED WITH DEWPOINTS AROUND
60F WILL RESULT IN MIXED LAYER CAPE OF 1000-1500 J/KG AHEAD OF THE
FRONT WITH LITTLE CIN. LAKE BREEZES COMBINED WITH SOME WEAK LOW
LEVEL FORCING ALONG THE FRONT IS EXPECTED TO BE ENOUGH TO DEVELOP
SOME MORE ISOLATED-SCATTERED THUNDERSTORMS DURING THE AFTERNOON...
PARTICULARLY INLAND FROM LAKE SUPERIOR. 0-6KM SHEAR IS AROUND 35
KNOTS...SO ANY STORMS THAT DO DEVELOP SHOULD ORGANIZE INTO AT LEAST
MULTICELLS. LOW WET BULB ZERO HEIGHTS (9500 FT OR BELOW) COMBINED
WITH SURFACE TO 5000 FT THETA-E DIFFERENCES OF 20-25C SUGGESTS BOTH
LARGE HAIL AND DAMAGING WINDS ARE A POSSIBILITY. THE ONLY OTHER ITEM
TO NOTE IS THE DRY SLOT BEHIND THE FRONT. MODELS SUGGEST DEEP MIXING
OCCURRING WITHIN THE DRY SLOT...ALLOWING AREAS SUCH AS IRONWOOD TO
MIX TO 800MB. THIS WILL RESULT IN DEWPOINTS FALLING INTO THE UPPER
40S. IN ADDITION...WINDS SHOULD INCREASE WITH THE DEEP MIXING...AND
HAVE WINDS FORECAST NEAR 20KT FOR HOUGHTON WITH THE PREFERRED
WESTERLY FLOW.
MONDAY NIGHT AND TUESDAY...GFS/NAM/UKMET SUGGEST THE POSSIBILITY OF
A SECONDARY SURFACE COLD FRONT MOVING INTO UPPER MICHIGAN AFTER
MIDNIGHT MONDAY NIGHT BEFORE HIGH PRESSURE OVER NW ONTARIO BUILDS
OVER THE CWA ON TUESDAY. THIS SECONDARY COLD FRONT APPEARS TO BE
ASSOCIATED WITH SOME STRATOCUMULUS CLOUDS...AND WITH NE WINDS BEHIND
IT...SEE NO REASON WHY AT LEAST A SCATTERED MVFR DECK WILL DEVELOP
OVER THE U.P. BEFORE GRADUALLY MIXING OUT ON TUESDAY. UNTIL THIS
CLOUD DECK ARRIVES...DIMINISHING WINDS MONDAY NIGHT WITH A
SLACKENING PRESSURE GRADIENT AND PRECIPITABLE WATER BETWEEN 0.5-0.75
INCHES SUGGESTS TEMPERATURES SHOULD DROP INTO THE UPPER 40S AGAIN IN
THE INTERIOR CENTRAL. 850MB TEMPS OF 6-8C ON TUESDAY WILL RESULT IN
COOLER READINGS THAN EXPERIENCED TODAY AND MONDAY...AND WITH
NORTHERLY WINDS...LOCATIONS ALONG LAKE SUPERIOR MAY NOT GET ABOVE
70. INTERIOR LOCATIONS ALONG THE WISCONSIN BORDER SHOULD STILL REACH
THE MID 70S...THOUGH.
TUESDAY NIGHT AND WEDNESDAY...MODELS HAVE COME INTO BETTER AGREEMENT
DURING THIS PERIOD AND MATCHES UP WELL WITH THE PREVIOUS FORECAST.
HIGH PRESSURE WHICH WAS OVER THE CWA ON TUESDAY WILL HEAD EAST IN
RESPONSE TO UPPER LEVEL FLOW TURNING ZONAL. THIS ZONAL FLOW WILL
ALSO INDUCE PRESSURE FALLS ACROSS THE NORTHERN PLAINS AND THEREFORE
A LOW LEVEL JET DOWNSTREAM OVER THE UPPER MISSISSIPPI VALLEY. MOST
MODELS INDICATE THAT AFTER MIDNIGHT TUESDAY NIGHT...AN MCS IS
PROGGED TO DEVELOP BY NEARLY ALL MODELS OVER THE NORTH HALF OF
MINNESOTA. THIS MCS WILL LIKELY WEAKEN SOME AS IT MOVES EAST
WEDNESDAY INTO THE DEPARTING HIGH PRESSURE AREA...BUT AT LEAST
CHANCE POPS FOR SHOWERS AND THUNDERSTORMS ARE REQUIRED. AREAS IN THE
WESTERN U.P. MAY NEED TO BE BUMPED UP TO LIKELY OR HIGHER IF THE
CURRENT AGREEMENT CONTINUES SINCE THAT APPEARS TO BE THE BEST AREA
TO GET RAIN. UNTIL THE MCS ARRIVES...SKIES ARE LIKELY TO REMAIN
MOSTLY CLEAR FOR MUCH OF THE NIGHT. GIVEN THAT THE AIRMASS WILL
STILL BE DRY AND WINDS ON THE LIGHT SIDE...TEMPERATURES SHOULD
EASILY DROP INTO THE 40S AS INDICATED BY MAV COOP GUIDANCE.
TEMPERATURES ARE A BIT MORE DIFFICULT TO PIN DOWN FOR WEDNESDAY
GIVEN THE EXPECTED RAINFALL AND PLENTY OF CLOUD COVER. HAVE WENT
CLOSER TO CLIMATOLOGY...THOUGH IF MORE PRECIPITATION COVERAGE
OCCURS...TEMPERATURES MAY NOT GET ABOVE 70 IN MOST LOCATIONS.
EXTENDED (THURSDAY THROUGH SUNDAY)...MODEL AGREEMENT AMONGST THE
OPERATIONAL AND ENSEMBLE MODEL RUNS IS LESS THAN AVERAGE AT THE
BEGINNING OF THE PERIOD...THEN COMES BACK TOGETHER TOWARDS THE
WEEKEND. 06Z GFS AND 00Z ECMWF/UKMET ALL INDICATE SOME SHRTWV MOVING
THROUGH UPPER MICHIGAN AT THE BEGINNING OF THE PERIOD...BUT THE
TIMING VARIES FROM THURSDAY (06Z GFS) TO FRIDAY (00Z ECMWF/UKMET).
FOR NOW...PREFER TO FOLLOW THE MORE CONSISTENT GFS RUNS WHICH ALLOWS
FOR THUNDERSTORMS ON THURSDAY...A BRIEF PERIOD OF QUITE WEATHER
AFTER MIDNIGHT THURSDAY NIGHT AND THEN MORE WARM ADVECTION WHICH MAY
RESULT IN MORE RAIN ON FRIDAY. FOR FRIDAY NIGHT THROUGH SUNDAY...
MODELS INDICATE A FAIRLY SIGNIFICANT SHRTWV TROUGH MOVING FROM
WESTERN CANADA ON THURSDAY AND ACROSS THE CWA LATE SATURDAY. HAVE
MAINTAINED A CHANCE OF THUNDERSTORMS FOR THE APPROACHING COLD FRONT
FOR FRIDAY NIGHT INTO SATURDAY EVENING...THEN CLEARING SKIES FOR
SUNDAY AS HIGH PRESSURE AND SUBSIDENCE BUILDS IN BEHIND THE SHRTWV
TROUGH. TEMPERATURES THROUGH THE PERIOD WILL ALL DEPEND ON THE
AMOUNT OF CONVECTION THAT OCCURS. IT APPEARS THAT THURSDAY WILL BE
COOL WITH EASTERLY LOW LEVEL WINDS...BUT THEN WARMER CONDITIONS
FRIDAY AND SATURDAY AHEAD OF THE SHRTWV TROUGH (GFS SHOWS 850MB
TEMPS CLIMBING TO 16C). 850MB TEMPS THEN COOL TO 8-10C BEHIND THE
TROUGH...SO SURFACE TEMPERATURES WILL END UP COOLER ON SUNDAY.
&&
.MQT WATCHES/WARNINGS/ADVISORIES...NONE.
&&
$$
AJ
</PRE></TT></td> mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE DETROIT/PONTIAC MI
110 PM EDT SUN AUG 20 2006
.AVIATION...
LINGER CU FIELD HAS MIXED OUT OF FNT AND LIFTED TO VFR AT DTW/DET.
LITTLE ADDITIONAL DEVELOPMENT EXPECTED THIS AFTERNOON GIVEN THE
AMOUNT OF DRY AIR AND LOWERING SUBSIDENCE INVERSION NOTED ON 15Z/16Z
TAMDAR SOUNDINGS. SURFACE GRADIENT IS ALREADY BEGINNING TO SLACKEN
AS HIGH OVER IOWA/WISCONSIN BUILDS TOWARD LOWER MICHIGAN...WITH
STATIONS BEGINNING TO LOSE THEIR GUSTINESS. EXPECT CLEAR SKIES/CALM
WINDS OVERNIGHT. THERE WAS A WIDE RANGE OF FOG REPORTS UNDER THE
SURFACE HIGH UPSTREAM LAST NIGHT...FROM NOTHING OR SHALLOW MIFG TO A
QUARTER MILE. HOWEVER THE AIRMASS HAS ALREADY DRIED OUT QUITE A BIT
ACROSS SOUTHEAST MICHIGAN...WITH DEWPOINTS MIXED DOWN INTO THE LOW
50S AS OF 16Z...WHICH ARE A GOOD 5-10F LOWER THAN THE AREAS UPSTREAM
THAT SAW FOG LAST NIGHT. CANNOT DISCOUNT THE POTENTIAL ALL TOGETHER
AS WE WILL BE ABLE TO RADIATE QUITE WELL...AND EVEN THE GFS HAS
SURFACE CONDENSATION PRESSURE DEFICITS BELOW 20MB. HOWEVER WILL TRIM
BACK THE TIMING BY A FEW HOURS...ONLY CARRYING 5SM BR FROM 10Z TO
13Z.
&&
.PREV DISCUSSION...ISSUED 1037 AM EDT SUN AUG 20 2006
UPDATE...
VIS SATELLITE SHOWS THE EARLY MORNING LOW CLOUDS ARE RAPIDLY
STRIPPING AWAY...WITH THE SAGINAW VALLEY ALREADY SUNNY. CLOUDS ARE
HOLDING LONGER ACROSS THE THUMB WITH SOME HELP WITH THE UNSTABLE
NORTHERLY FLOW OFF LAKE HURON...HOWEVER EVEN THE BACK EDGE OF THE
CLOUDS OUT ACROSS THE OPEN LAKE IS STEADILY DROPPING SOUTHWARD. 12Z
DTX/APX SOUNDINGS SHOW THE STORY...WITH DTX SATURATED BELOW 850MB
WHILE APX BEGINS TO DRY OUT JUST ABOVE THE SURFACE. 12Z RUC/NAM
TEMPERATURE/DEWPOINT PROFILES STILL SUPPORT SOME CU DEVELOPMENT
TODAY...WITH DEWPOINTS IN THE UPPER 50S AND 850MB TEMPERATURES
AROUND 9C. HOWEVER GIVEN THE STRONG SUBSIDENCE AND DRYING BEHIND THE
SHORTWAVE DOWNSTREAM OVER SOUTHWEST ONTARIO...DO NOT EXPECT THESE
CLOUDS TO PERSIST VERY LONG. WILL UPDATE TO ADJUST SKY COVER GIVEN
THE CLEARING THAT HAS ALREADY DEVELOPED. WILL CARRY DRIZZLE OF LIGHT
SPRINKLES FOR A COUPLE MORE HOURS ACROSS THE EASTERN CWA AS
RADAR/SATELLITE STILL INDICATE SOME WEAK ACTIVITY DOWNSTREAM OF LAKE
HURON.
PREV DISCUSSION...ISSUED 456 AM EDT SUN AUG 20 2006
MARINE...
DECIDED TO ADD INNER SAGINAW BAY TO SMALL CRAFT ADVISORY
TODAY...AS LATEST RUNNING OF THE WAVE MODEL BRINGS CRITERIA FOR
WAVES INTO THE INNER PART OF THE BAY AS WINDS TURN TO EAST OF NORTH.
WATCHES/WARNINGS/ADVISORIES SECTION BELOW ALSO UPDATED.
PREV DISCUSSION...ISSUED 354 AM EDT SUN AUG 20 2006
SHORT TERM...TODAY AND TONIGHT
BROAD SURFACE/LOW LEVEL CYCLONIC FLOW LINGERING OVER SOUTHEAST MI
THIS MORNING...GIVING WAY TO HIGH PRESSURE BUILDING IN FROM THE WEST
AND SETTLING OVERHEAD TONIGHT. MEANWHILE AT 500 MB...EASTERN GREAT
LAKES SHORTWAVE TROUGH CONTINUING EAST TODAY WITH SHORTWAVE RIDGING
SETTING UP OVER FORECAST AREA TODAY AND CONTINUING TONIGHT.
MOISTURE IN MID TO UPPER LEVELS VERY SPARSE AS PER MODEL CONSENSUS
AND WATER VAPOR IMAGERY...EXPECTED TO REMAIN SO THROUGH TONIGHT. LOW
LEVEL MOISTURE IS MORE PROBLEMATIC. QUITE OF BIT OF LOW
MOISTURE...SUCH AS AT 925 MB...AROUND THIS MORNING...BUT GFS MUCH
FASTER DIMINISHING THIS MOISTURE THAN IS NAM/LOCAL WRFHEMI/NGM.
MODEL SOUNDINGS ALSO SHOW THIS. GIVEN VEERING FLOW WITH MOIST AIR
TRAJECTORIES OFF OF LAKE HURON...AM LEANING MORE TOWARD THE DELAYED
DEPARTURE OF LOW CLOUDS...AND THUS CLOUDS ONLY GRADUALLY DIMINISHING
THROUGH THE DAY. ALSO...AWIPS NAM CUMULUS RULE PROMISES BROKEN
DIURNAL CLOUD DEVELOPMENT. FAR SOUTHERN COUNTIES SHOULD SEE THE
LEAST CLOUD COVER...AS PER CLOUD ADVECTION/DEVELOPMENT TREND ACROSS
THE AREA SINCE MIDNIGHT.
GENERAL LOW TO MID LEVEL SUBSIDENCE THROUGH TONIGHT AS PER QVECTOR
FIELDS AND DESCENT SEEN ON 300K/305K ISENTROPIC SURFACES.
TEMPERATURES TODAY TENDING TO BE A FEW DEGREES COOLER THAN
YESTERDAY...IN AGREEMENT WITH T1 GUIDANCE TRENDS. ALSO NOTICEABLY
LESS HUMID TODAY THAN YESTERDAY...AS SURFACE DEW POINTS ARE EXPECTED
TO BE ABOUT 10 DEGREES LOWER TODAY.
WITH LIGHT WINDS AND SURFACE HIGH PRESSURE RIGHT OVERHEAD
TONIGHT...WILL RETAIN PATCHY FOG MENTION. SOME PATCHES OF FOG/MIST
CURRENTLY SEEN WITH UPSTREAM HIGH.
LONG TERM...MONDAY THROUGH SATURDAY
JUST WHEN NUMERICAL SUITE WAS BEGINNING TO SHOW SOME SIGNS OF
STABILITY...THIS MORNINGS COMPUTATIONS SHOW OTHERWISE. CULPRITS ARE
INITIALIZATIONS OF WAVES FROM ALASKA DOWN TO 40N BETWEEN 150-140W
AND THE IMPACT OF THESE WAVES WITH CONVECTIVE FEEDBACK SIGNALS FOR
THE MID WEEK PERIOD. THE GFS SEEMS TOO AGGRESSIVE BREAKING DOWN THE
RIDGE ACROSS THE GREAT LAKES WITH STRONG CONVECTIVE DEVELOPMENT OVER
THE PLAINS THEN TRACKING ITS ELEMENTS EAST WHILE THE
ECMWF/UKMET/CANADIAN/WRF-HEMI LOOK MORE REASONABLE BUT THESE TOO
HAVE COMPLICATIONS WITH OVERALL CONVECTIVE TRENDS FOR THE UPCOMING
WEEK.
AS EXPECTED...WESTERLIES WILL BE ACTIVE THIS WEEK WITH LEAD SHORT
WAVE APPROACHING LAKE WINNIPEG THIS MORNING WILL REMAIN WELL NORTH
OF THE LOCAL AREA MONDAY THROUGH TUESDAY. ASSOCIATED COLD FRONT
WILL APPROACH THE LOWER LAKES LATE MONDAY NIGHT INTO TUESDAY WITH
LITTLE IN THE WAY OF MOISTURE OR UPPER SUPPORT.
NEVERTHELESS...TIMING OF THIS FRONT DOES MOVE IT THROUGH DURING THE
PEAK HEATING ON TUESDAY AND THIS PUSHES CAPES TO BETWEEN 1000-1500
J/KG WITH MID LEVEL LAPSE RATES OF 6.5 C/KM. CURRENT FORECAST FOR
CHANCE OF SHOWERS AND SLIGHT CHANCE FOR THUNDER LOOKS GOOD AT THIS
TIME WITH NO CHANGES. WITH FROPA...ALBEIT SLOWER MIGRATION
SOUTHWARD...TUESDAY NIGHT COULD SEE LINGERING CONVECTION BEFORE
DISSIPATING WITH LOSS OF THE SUNSHINE AND WEAKENING SURFACE
CONVERGENCE. THE QUESTION WILL BE JUST HOW MUCH COLD ADVECTION
OCCURS OVER LAKE HURON OVERNIGHT. THE NMM SUGGESTS LAKE EFFECT RAIN
SHOWERS WITH 1000-850MB LAPSE RATES OVER 7.5 C/KM WITH THE OTHER
VARIOUS MODELS NOT ONLY WARMER BUT LESS PRONOUNCED WITH THERMAL
TROUGH OVER LAKE HURON. AS THE NMM RESOLUTION IS HIGHER AND IT MORE
MESOSCALE THAN ITS COUNTERPARTS...PREFER TO INTRODUCE A SLIGHT
CHANCE FOR RAIN SHOWERS OVERNIGHT FOR SOUTH LAKE HURON AND INCLUDE
HURON COUNTY.
SURFACE HIGH SLIDES INTO THE GREAT LAKES FOR WEDNESDAY THEN UPSTREAM
CONVECTIVE TRENDS WILL DICTATE THE REMAINDER OF THE FORECAST. AS
NOTED IN THE SWODY3 AND CURRENT ECMWF...HEIGHT FALLS WILL COMMENCE
WITH THE APPROACH OF VORTEX IN THE GULF OF ALASKA TRACKING JUST
NORTH OF THE U.S. BORDER. LEE SURFACE CYCLOGENESIS WILL NOT ONLY
INCREASE THE LOW LEVEL JET BUT MOISTURE TRANSPORT AND INCREASED
SHEAR FOR SEVERAL COMPLEXES TO DEVELOP. WHILE THE GFS IS LIKELY TOO
OVERDEVELOPED...MID LEVEL WARM FRONT SHOULD LIFT NORTHWARD ACROSS
THE LAKES THURSDAY NIGHT AND THE CHANCE FOR ELEVATED THUNDERSTORMS.
THEN WITH WARM AND INCREASED MOIST/UNSTABLE AIRMASS IN ADVANCE OF A
COUPLE OF FRONTAL SYSTEMS WILL PROVIDE THE CONTINUED CHANCE FOR
CONVECTION THROUGH THE FRIDAY-SATURDAY TIME PERIOD.
&&
.DTX WATCHES/WARNINGS/ADVISORIES...
MI...NONE.
LAKE HURON...SMALL CRAFT ADVISORY...LHZ422...UNTIL 6 PM SUNDAY.
SMALL CRAFT ADVISORY...LHZ421-LHZ441...UNTIL 6 PM SUNDAY.
SMALL CRAFT ADVISORY...LHZ442-LHZ443...UNTIL 9 PM SUNDAY.
LAKE ST CLAIR...NONE.
MI WATERS OF LAKE ERIE...NONE.
&&
$$
AVIATION.....BRAVENDER
UPDATE.......BRAVENDER
MARINE.......DWD
SHORT TERM...DWD
LONG TERM....BGM
YOU CAN OBTAIN YOUR LATEST NATIONAL WEATHER SERVICE FORECASTS ONLINE
AT WWW.WEATHER.GOV/DETROIT (ALL LOWER CASE).
</PRE></TT></td> mi
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE SPRINGFIELD MO
155 PM CDT SUN AUG 20 2006
.DISCUSSION...
LATEST RADAR IMAGES SHOW BULK OF RAIN HAS MOVED NORTHEAST OF OUR
FORECAST AREA THIS AFTERNOON WITH A RATHER INTENSE STORM JUST EAST
OF SHANNON COUNTY. EXTENSIVE CLOUD COVER THUS FAR HAS HELD
TEMPERATURES IN THE LOWER TO MID 80S MOST AREAS. RECENT VISIBLE
SATELLITE IMAGES SHOW STRATUS EVOLVING INTO SCATTERED TO BROKEN
STRATOCUMULUS DECK WITH AFTERNOON MIXING.
IN THE SHORT TERM...MAIN FORECAST CHALLENGE CONTINUES TO BE PRECIP
CHANCES TONIGHT AND MONDAY. THEREAFTER MAIN FOCUS WILL BE ON
TEMPERATURES THROUGH NEXT WEEKEND.
WE ARE NOT SEEING ANY STRONG FEATURES UPSTREAM TO GET ANOTHER ROUND
OF STORMS GOING AND MOST OF THE LOW LEVEL BOUNDARIES HAVE SHIFTED
SOUTH INTO ARKANSAS. LATEST RUC 500 MB HEIGHT FIELD SHOWS A VERY
SUBTLE KINK OVER SOUTH SOUTH CENTRAL KANSAS...AND WITH DECENT
MOISTURE REMAINING OVER THE AREA...EVEN WITH LIMITED HEATING DUE TO
EXTENSIVE CLOUD COVER...WILL LEAVE AT LEAST A SLIGHT CHANCE FOR
SHOWERS AND A FEW STORMS THROUGH TONIGHT. THEREAFTER WILL TRIM
PRECIP CHANCES TO MAINLY OUR SOUTHERN TIER OF COUNTIES ON MONDAY.
THROUGH THE REST OF THE WEEK...OUR AREA WILL CONTINUE TO BE
DOMINATED BY UPPER LEVEL RIDGING...BRINGING AROUND ROUND OF DRY AND
WARM TO HOT TEMPERATURES. STILL LOOKS LIKE OVERALL TEMPERATURES
REMAIN COOLER THAN LAST WEEK AS 850 MB TEMPS REMAIN AT OR BELOW 20
DEG C...HOWEVER EXPECT ABOVE NORMAL TEMPERATURES FROM WED TO FRI.
EXTENDED MODELS ARE TRENDING TOWARD MORE UPPER RIDGING AND LESS
TROUGHING OVER OUR AREA INTO THE WEEKEND...DECREASING OUR CHANCES OF
SEEING FROPA AND RAIN LATE FRIDAY INTO SATURDAY. FOR NOW WILL LEAVE
SLIGHT CHANCES IN GRIDS FOR FRIDAY AND SATURDAY AND MONITOR FORECAST
TRENDS.
TERRY
&&
.AVIATION...
IFR CEILINGS ACROSS THE AREA THIS MORNING HAVE GRADUALLY LIFTED INTO
THE MVFR CATEGORY THIS AFTERNOON AT KJLN AND KSGF. THERE IS AN
OUTSIDE CHANCE OF A SHOWER OR TWO IN THE VICINITIES OF THE TERMINALS
THIS AFTERNOON. HOWEVER...THE BETTER CHANCES OF SCATTERED
THUNDERSTORMS WILL EXIST FURTHER SOUTH ALONG THE ARKANSAS BORDER
WHERE MORE SOLAR INSOLATION HAS OCCURRED TODAY.
WILL NEED TO MONITOR THE EVOLUTION OF CEILINGS THIS AFTERNOON INTO
THE EVENING HOURS. MOS GUIDANCE KEEPS OVERCAST CONDITIONS OVER THE
TERMINALS THROUGH THE NIGHT. HOWEVER...LOOKING AT RH CROSS
SECTIONS...THE SATURATED LAYER BECOME QUITE THIN BY 00Z. AS A FIRST
GUESS...I WENT AHEAD AND DECIDED TO SCATTER OUT CEILINGS TOWARD
EVENING.
NEXT CONCERN WILL BE POSSIBLE VISIBILITY RESTRICTIONS OVERNIGHT...AS
MOS GUIDANCE IS PICKING UP ON MVFR VISIBILITIES DURING THE PREDAWN
HOURS. THE COOL AND MOIST AIRMASS WHICH WAS TO THE NORTH THIS
MORNING WILL LIKELY BE OVER THE FORECAST AREA BY TONIGHT. LOOKING
AT SUNDAY MORNING OBS TO THE NORTH...A NICE SWATH OF 3 TO 5
VISIBILITIES DID DEVELOP ACROSS NORTHERN AND CENTRAL MISSOURI. WITH
THESE FACTORS IN MIND...THE 18Z TAFS WILL HAVE MVFR VISIBILITIES
AFTER MIDNIGHT AT BOTH TERMINAL LOCATIONS.
SAW
&&
.SGF WATCHES/WARNINGS/ADVISORIES...
MO...NONE.
KS...NONE.
$$
WFO SGF
</PRE></TT></td> mo
AREA FORECAST DISCUSSION
NATIONAL WEATHER SERVICE GRAND FORKS ND
314 PM CDT SUN AUG 20 2006
.SHORT TERM...
KIND OF A COMPLICATED NEAR TERM FORECAST TODAY...WITH THE MAIN
CHALLENGE ONCE AGAIN REGARDING CONVECTION TONIGHT. WILL USE A
MODEL BLEND TODAY FOR THE FORECAST.
TONIGHT...AT 19Z...SFC MAP SHOWS A TROUGH JUST WEST OF A KMOT TO
KBIS LINE. HARDLY ANY CLOUDS AT ALL RIGHT ALONG OR BEHIND THE SFC
TROUGH. MODELS HAVE BEEN TRYING TO SAY IT WILL BE A COLD FRONTAL
PASSAGE...BUT AM HARD PRESSED TO FIND A COLD FRONT. VISIBLE
SATELLITE IMAGERY AND CANADIAN RADARS DO SHOW SOME ENHANCED
CONVECTIVE DEVELOPMENT ALONG A LAKE WINNIPEG TO BRANDON (MB) TO
ESTEVAN (SK) LINE...WHERE THE LATEST RUC SHOWS THE BEST 925-
850MB COLD ADVECTION. THEREFORE THIS IS LIKELY THE TAIL END OF THE
COLD FRONT WITH THE TROUGH EXTENDING SOUTH OF THAT AREA. RUC DOING
A DECENT JOB WITH THE SFC FEATURES...AND IT FORECASTS THE
TROUGH/FRONT TO A KDVL TO EAST OF KBIS LINE BY 00Z...AND THEN
QUICKLY INTO THE EASTERN HALF OF OUR FA AFTER 06Z. THE IS PRETTY
QUICK TIMING...WHICH DOES SEEM TO BE THE TREND TODAY. THERE HAS
BEEN SOME ELEVATED CONVECTION ALL DAY OVER CENTRAL AND EASTERN ND.
AT 850 MB...THE RUC SHOWED A SOMEWHAT WEAK JET (AROUND 30 KTS)
WITH WARM ADVECTION AND A THIN RIBBON OF MOISTURE. JUST ENOUGH TO
MAINTAIN SOME WEAK CONVECTION. THRU MIDNIGHT...MAIN QUESTION IS
WHETHER ANY CONVECTION CAN BECOME SFC BASED. THERE IS A THIN
RIBBON OF 60F SFC DEW POINTS THAT EXTEND UP TOWARD KBIS/KJMS. SPC
HOURLY MESOANALYSIS SHOWS THE BEST CRAVEN/BROOKS SIGNIFICANT
SEVERE PARAMETER SOUTH OF KBIS. THIS COULD BE THE AREA TO WATCH
FOR SFC BASED CONVECTION THIS EVENING...AND AN SWOMCD (CONVECTIVE
DISCUSSION) HAS BEEN ISSUED FOR THIS AREA. THINK THE ONGOING WEAK
ELEVATED CONVECTION WILL CONTINUE AHEAD OF THE TROUGH OVER OUR FA
THRU THE EVENING. CONVECTION ALONG THE COLD FRONT IN CANADA SO FAR
LOOKS PRETTY WEAK. AFTER MIDNIGHT...WILL ONLY MAINTAIN A SLIGHT
CHANCE OF RAIN IN THE FAR SOUTHEAST FA.
MON/MON NIGHT...NEXT SFC HIGH BUILDS SOUTH WITH COOL AND DRY
WEATHER EXPECTED.
TUE/WED...TUE LOOKS CONTINUED QUIET AS RETURN FLOW ONCE AGAIN
ESTABLISHES ITSELF. NEXT CHANCE OF RAIN COMES TUE NIGHT INTO
WED...AS ANOTHER ROUND OF ELEVATED CONVECTION. HAVE BEEN WATCHING
THIS EVENT FOR SEVERAL DAYS NOW...ALL DEPENDS WHERE THE SFC
FEATURES SET UP. GFS CONTINUES TO SHOW THE LOW DEVELOPING OVER THE
WESTERN DAKOTAS WITH A WARM FRONT EAST OF IT. CONVECTION COULD GET
GOING TUE NIGHT NORTH OF THIS BOUNDARY. CHANCES THEREFORE WOULD
LOOK A BIT BETTER ACROSS OUR NORTHERN FA. THE SOUTHERN FA COULD BE
DEALING WITH CAPPING ISSUES.
.LONG TERM (THU-SUN)...
LONG RANGE MODELS ARE SIMILAR WITH OVERALL 500MB PATTERN...BUT
STILL DO HAVE SOME TIMING DIFFERENCES. ALL THE MODELS MOVE A
SHORTWAVE THROUGH THE 500MB FLOW IN CONJUNCTION WITH A SURFACE LOW
PRESSURE SYSTEM IN THE THU TO SAT TIME FRAME...BUT DIFFER ON
WHEN...SO KEPT WITH FORECAST CONTINUITY OF THU AND FRI...AND KEPT
SAT DRY AT THIS TIME. AS FAR AS TEMPS... EXPECT TO REMAIN NEAR
NORMAL.
&&
.FGF WATCHES/WARNINGS/ADVISORIES...
ND...NONE.
MN...NONE.
&&
$$
GODON/NG
</PRE></TT></td> nd
| en |
all-txt-docs | 069959 | [Federal Register: August 27, 1999 (Volume 64, Number 166)]
[Rules and Regulations]
[Page 46841-46843]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27au99-9]
[[Page 46841]]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
21 CFR Part 573
[Docket No. 94F-0283]
Food Additives Permitted in the Feed and Drinking Water of
Animals; Menadione Nicotinamide Bisulfite
AGENCY: Food and Drug Administration, HHS.
ACTION: Final rule; republication and opportunity to file objections
or additional information.
-----------------------------------------------------------------------
SUMMARY: The Food and Drug Administration (FDA) is republishing, with
additional information, a final rule that published in the Federal
Register of January 2, 1996 (61 FR 5). The rule amended the food
additive regulations (animal use) to reflect approval of a food
additive petition (FAP) filed by Vanetta (U.S.A.) Inc. Objections to
the final rule were filed. FDA is not acting on the objections in this
document, but is clarifying the basis of approval of the petition and
providing additional information. The agency also is providing a new
30-day period for the submission of objections or of additional
information in support of the objections that were previously filed.
FDA has not stayed the effective date of the final rule, effective
January 2, 1996.
DATES: Objections, additional information in support of the previously
filed objections, or additional written objections and requests for a
hearing, must be submitted by September 27, 1999.
ADDRESSES: Submit written objections and/or additional information in
support of objections previously submitted to the Dockets Management
Branch (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm.
1061, Rockville, MD 20852.
FOR FURTHER INFORMATION CONTACT: Sharon A. Benz, Center for Veterinary
Medicine (HFV-228), Food and Drug Administration, 7500 Standish Pl.,
Rockville, MD 20855, 301-827-6656.
SUPPLEMENTARY INFORMATION:
I. Background
In the Federal Register of January 2, 1996, FDA published a final
rule that amended the food additive regulations (animal use) to reflect
approval of an FAP (FAP 2228) filed by Vanetta (U.S.A.) Inc., 1770 East
Market St., York, PA 17402. The final rule provides for the safe use of
menadione nicotinamide bisulfite (MNB) as a nutritional supplement in
chicken and turkey feeds for the prevention of vitamin K deficiency and
as a source of supplemental niacin when used at a rate not to exceed 2
grams per ton (g/t) of complete feed. Heterochemical Corp., 111 East
Hawthorne Ave., Valley Stream, NY 11580, filed objections to the final
rule in its entirety alleging that the studies upon which the petition
relies failed to conform to good laboratory practices (GLP's) or good
clinical practices (GCP's), and that the regulation promotes deception
of the consumer and misbranding of the product. Heterochemical's
objections are:
1. The record of the studies fails to establish that any of the
nonclinical laboratory studies (including target animal safety) on
which the regulation is based were conducted in accordance with GLP's
as described in part 58 (21 CFR part 58). The record also fails to
provide, alternatively, a reason for noncompliance as required by
Sec. 571.1(k) (21 CFR 571.1(k)). Furthermore, the record does not
provide a basis for identifying the differences between the practices
used and those required by the GLP regulations, so as to permit an
evaluation of the studies' integrity and reliability (i.e., if the
target animal safety studies are flawed, there is no information in
support of the safety of the food additive) (Ref. 1).
2. The record of the studies fails to establish that any of the
clinical studies on which the regulation is based were conducted in
accordance with GCP's as illustrated in FDA's Center for Veterinary
Medicine's (CVM's) guidance document entitled ``Guideline on the
Conduct of Clinical Investigations: Responsibility of Clinical
Investigators and Monitors for Investigational New Animal Drug
Studies,'' October 1992 (the guidelines cited by the objection were
supplanted by a revised document in May 1997) (Ref. 2).
3. Heterochemical objects to the regulation in that it establishes
MNB as a source of supplemental niacin and authorizes labeling the
product as a source of supplemental niacin. Based on a low level of
niacin supplementation, the firm contends that the labeling promotes
deception of the consumer and results in misbranding of food within the
meaning of the Federal Food, Drug, and Cosmetic Act (the act).
The preamble of the January 2, 1996, final rule stated that FDA
evaluated the data presented in the petition and concluded that use of
the product is safe. The final rule stated that the food additive
regulations would be amended as requested in the FAP. FDA is now
republishing the final rule to clarify its basis for approval, and to
provide additional information supporting approval of the petitioned
use, specifically the GLP statement as described in Sec. 571.1(k). FDA
believes this course of action is appropriate to supplement the record.
FDA will also clarify the reasons for approving the FAP, and provide
Heterochemical and any other interested party with an opportunity to
proffer facts that demonstrate FDA's basis for approving FAP 2228 was
incorrect.
FDA is therefore republishing the final rule and providing an
additional 30 days for submission of objections or of additional
information in support of the objections that have already been filed.
In accordance with its discretion under section 409(f) of the act (21
U.S.C. 348(f)), FDA is not staying the final rule. FDA will consider a
stay, however, if one is requested, after having evaluated any
objections or other information filed in response to this document.
II. Administrative Record
A. Question of Adherence to GLP's (Part 58 and Sec. 571.1(k))
In filing an FAP, the petitioner is required to provide data and
information to support the safe use of the product as required by
section 409(c)(1) of the act. The supporting data and information
include full reports of investigations made with respect to the safety
of use of the additive, including information as to the methods and
controls used in conducting the investigations. Part 58 prescribes
GLP's for conducting those nonclinical laboratory studies that are used
to support or are intended for use to support FAP's or marketing
permits for products regulated by FDA. Compliance with GLP's is
intended to ensure the quality and integrity of the safety data filed
to support approval of an FAP. If nonclinical laboratory studies are
involved, an FAP shall include, for each study, a statement that the
study was conducted in compliance with GLP requirements set forth under
part 58, or if the study was not conducted in compliance with the
GLP's, a brief statement with the reason for noncompliance.
In FAP 2228, Vanetta submitted a journal article (Ref. 1)
supporting approval of its petition. The studies reported in the
article were not conducted in accordance with GLP's, and Vanetta did
not submit a statement of the reason for noncompliance. Accordingly,
FDA is reopening the administrative record to include a statement from
Vanetta on the reasons for the studies' noncompliance with GLP's, as
required under Sec. 571.1(k).
[[Page 46842]]
B. Clarification of the Record
The objections Heterochemical filed in response to FDA's approval
of MNB point out that the basis for the agency's decision was not
clear. The administrative record for FAP 2228 included various agency
comments on the studies reported in the journal article by Oduho et al.
The objector interpreted the comments to mean that the studies were
invalid and thus did not support approval of the FAP. Contrary to the
objector's interpretation, the agency's comments on the Oduho studies
did not question their validity, and do not invalidate the agency's
final decision that MNB is safe and achieves its intended technical
effect. However, the objections made it clear that the agency needed to
make additional comments to clarify the record.
1. Target Animal Safety
FAP 2228 included the Oduho article to support safety of MNB. The
Oduho article included what was described as a chronic study (Ref. 1).
The results reported in the article indicated that MNB is a safe and
effective source of vitamin K and niacin activities. Niacin can serve
as a generic name for all pyridine-3-carboxylic acids that exhibit
nicotinamide activity (Ref. 3). Only when doses exceed 1,000 times the
chick's vitamin K requirement did the article's authors report
morbidity or mortality. The data generated by the chronic study, where
up to 6 g of menadione per kilogram (kg) complete feed were fed to
chick's, support the safety of the substance.
Although this chronic study was of relatively short duration (14
days), the agency believes that it is sufficient to support its
conclusion that MNB is safe. The agency evaluated the results of the
study in conjunction with the following and other available information
that further supported its final determination that MNB is safe and
achieves its intended technical effect. MNB hydrolyzes into menadione
and nicotinamide. Menadione is prior sanctioned as a source of vitamin
K activity (Ref. 4), and nicotinamide (niacinamide) is generally
recognized as safe as a nutrient and/or dietary supplement under 21 CFR
582.5535 and section 201(s) of the act (21 U.S.C. 321(s)). Both
components have a long history of safe use in animal diets (Refs. 4 and
5).
2. Utility
Menadione and many of its derivatives have vitamin K activity. This
vitamin has several biological functions, one of the most important
being in blood clot formation (Ref. 6). The Oduho article included a
study demonstrating that inclusion of MNB in chick diets improved blood
clotting when compared to negative controls. The improvements observed
in the study were similar to those seen when another accepted source of
vitamin K activity was added to experimental diets.
The highest level of menadione utilized in this study, 0.4
milligram (mg)/kg diet, approaches that recommended by the National
Research Council, 0.5 mg/kg, for the type of birds used in this
experiment (Ref. 7). The adequacy of 0.4 mg to meet the birds'
nutritional requirement is demonstrated by the fact that the
prothrombin times of 17 and 19 seconds for MNB and menadione
dimethylpyrimidinol bisulfite (MPB), an accepted source of vitamin K
activity (21 CFR 573.620), fall very close to the normal range for
chickens, which has been reported to vary from 20 to 25 seconds (Ref.
8). The Oduho article reported the normal prothrombin range for chicks
to be 12 to 25 seconds. The bioavailability of the vitamin K activity,
supplied by the menadione component of MNB, did not differ
significantly from that of the positive control substance, MPB. Both
MNB and MPB were bioequivalent as an active source of menadione.
The agency noted that the levels of nicotinamide utilized in Oduho
experiment number 2 are below those accepted as nutritionally adequate.
However, this study did demonstrate that the nicotinamide portion of
the MNB molecule was available to the chicks, i.e., that it is
bioavailable to a similar extent as pure nicotinamide, which served as
a control in the study. In addition, the low level of nicotinamide
supplementation is closer to the level of this vitamin supplied by MNB
with the mandated 2 g per ton complete feed restriction. Both the
amount of nicotinamide supplied by MNB and other dietary sources of
this compound will be utilized to formulate a diet which meets the
animal's niacin nutritional requirements.
Vanetta amended its petition and submitted a preliminary report on
clinical studies conducted at the University of Georgia. This report
supported the utility of MNB as a source of vitamin K activity. Because
the bioavailabilities of both the menadione and nicotinamide components
of MNB were established by the Oduho article, and the utility of MNB as
a source of vitamin K activity was confirmed in the University of
Georgia experiments, the utility portion of the amended petition was
acceptable.
3. Conditions of Use and Directions for Use
The approved conditions of use, as specified in the MNB regulation
(21 CFR 573.625(b)), state that MNB can be used as a ``nutritional
supplement in chicken and turkey feeds for both the prevention of
vitamin K deficiency and as a source of supplemental niacin.''
The conditions of use appropriately compare the levels of vitamin K
activity from menadione and nicotinamide by stating that MNB can
prevent a vitamin K deficiency, but is simply a source of niacin. As
noted previously, niacin can serve as a generic name for all pyridine-
3-carboxylic acids that exhibit nicotinamide activity (Ref. 3). By
using the different terms, the conditions of use establish that MNB
provides different levels of vitamin K and niacin activities.
The directions for use on the product label specify the minimum
amount of menadione and niacin in MNB, and do so in units commonly used
in the feed industry (Ref. 9). Animal nutritionists routinely mix feed
ingredients to obtain a complete, balanced animal diet, and the
composition of this diet normally changes with an animal's weight and
age (Ref. 7). Therefore, users of the product will refer to the minimum
amounts specified on the MNB label and mix feed accordingly with MNB
and other sources of niacin to provide all nutritional needs based on
the weight and age of the animals being fed.
Finally, the agency notes that the MNB label follows the
Association of American Feed Control Officials (AAFCO) format, which
the agency concluded was acceptable. AAFCO, primarily composed of State
regulatory officials, has developed a set of model regulations
concerning feed labeling. FDA generally concurs with the AAFCO model
regulations although these model regulations are not binding. Feed
manufacturers routinely follow the model regulations when labeling feed
and are familiar with the AAFCO requirements.
III. Opportunity for Objection
A food additive shall, with respect to any particular use or
intended use of such additive, be deemed to be unsafe, unless it and
its use or intended use conform to the terms of an exemption that is in
effect for investigational use, or there is in effect, and it and its
use or intended use are in conformity with, a regulation issued under
section 409(a) of the act. With respect to any intended use of a food
additive, a person may file a petition with the appropriate center
within FDA proposing the issuance of a regulation prescribing the
conditions under which said additive may be safely used. The petition
shall, in addition to any explanatory or supporting data,
[[Page 46843]]
contain the name of the food additive, its chemical name and
composition, a statement of the conditions of the proposed use of such
additive, together with all directions, recommendations, and
suggestions proposed for the use of such additive with specimens of
proposed labeling. The petition shall also contain relevant data
bearing on the physical or other technical effect the additive is
intended to produce, the quantity of the additive required to produce
the desired effect, a description of practicable methods for
determining the quantity of the additive in or on food and any
substance formed in or on food because of its use, and full reports of
investigations made with respect to the safety of the use of the
additive, including information as to the methods and controls used in
conducting the investigations.
Any party who will be adversely affected by this regulation may at
any time on or before September 27, 1999, file with the Dockets
Management Branch (address above) written objections thereto. Each
objection shall be separately numbered, and each numbered objection
shall specify with particularity the provisions of the regulation to
which objection is made and the grounds for the objection. Each
numbered objection on which a hearing is requested shall specifically
so state. Failure to request a hearing for any particular objection
shall constitute a waiver of the right to a hearing on that objection.
Each numbered objection for which a hearing is requested shall include
a detailed description and analysis of the specific factual information
intended to be presented in support of the objection in the event that
a hearing is held. Failure to include such a description and analysis
for any particular objection shall constitute a waiver of the right to
a hearing on the objection. Three copies of all documents shall be
submitted and shall be identified with the docket number found in
brackets in the heading of this document. Any objections received in
response to the regulation may be seen in the Dockets Management Branch
between 9 a.m. and 4 p.m., Monday through Friday.
IV. References
1. Oduho, G. W., T. K. Chung, and D. H. Baker, ``Menadione
nicotinamide bisulfite is a bioactive source of vitamin K and niacin
activity for chicks,'' Journal of Nutrition, 123: 737-743, 1993.
2. ``Guideline on the Conduct of Clinical Investigations:
Responsibility of Clinical Investigators and Monitors for
Investigational New Animal Drug Studies'' (``Guideline No. 39,''
U.S. Department of Health and Human Services, FDA, CVM, October
1992) (superseded by ``Guidance for Industry No. 58,'' May 1997).
3. National Research Council, Vitamin Tolerance of Animals,
National Academy Press, 1987.
4. ``Food Additive Status of Vitamin K Active Substances in
Animal Food'' (48 FR 16748, April 19, 1983).
5. Title 21 CFR 121.101, ``Substances that are generally
recognized as safe,'' 1974 (21 CFR part 582, 1998).
6. Suttie, J. W., ``Vitamin K,'' Handbook of Vitamins, edited by
L. J. Machlin, Marcel Dekker, Inc., 1991.
7. National Research Council, The Nutritional Requirements of
Poultry, National Academy Press, 1994.
8. Swenson, M. J. ``Physiological properties and cellular and
chemical constituents of blood,'' Duke's Physiology of Domestic
Animals, edited by M. J. Swenson, Cornell University Press, 1977.
9. Official Publication, Association of American Feed Control
Officials, Inc., 1998.
List of Subjects in 21 CFR Part 573
Animal feeds, Food additives.
Therefore, under the Federal Food, Drug, and Cosmetic Act and under
authority delegated to the Commissioner of Food and Drugs, FDA is
republishing in its entirety the text of the final regulation that
appeared in the Federal Register of January 2, 1998. This republication
of the final rule does not amend the regulation in any way.
PART 573--FOOD ADDITIVES PERMITTED IN FEED AND DRINKING WATER OF
ANIMALS
1. The authority citation for 21 CFR part 573 continues to read as
follows:
Authority: 21 U.S.C. 321, 342, 348.
2. Section 573.625 is republished as follows:
Sec. 573.625 Menadione nicotinamide bisulfite.
The food additive may be safely used as follows:
(a) Product. The additive is 1,2,3,4-tetrahydro-2-methyl-1, 4-
dioxo-2-naphthalene sulfonic acid with 3-pyridine carboxylic acid amine
(CAS No. 73581-79-0).
(b) Conditions of use. As a nutritional supplement in chicken and
turkey feeds for both the prevention of vitamin K deficiency and as a
source of supplemental niacin.
(c) Limitations. Not to exceed 2 grams per ton of complete feed. To
assure safe use, the label and labeling shall bear adequate directions
for use.
Dated: August 11, 1999.
Stephen F. Sundlof,
Director, Center for Veterinary Medicine.
[FR Doc. 99-22314 Filed 8-26-99; 8:45 am]
BILLING CODE 4160-01-F
| en |
converted_docs | 775446 | ###### Veterans Benefits Administration M21-1, Part I
# Department of Veterans Affairs Change 54
**Washington, DC 20420 November 14, 2006**
Veterans Benefits Administration Manual M21-1, part I, Appendix B, is
changed as follows:
Page A(2005)-1: Insert this page preceding page A(2004)-1.
Page B(2005)-1: Insert this page preceding page B(2004)-1.
Page I(2005)-1: Insert this page preceding page I(2004)-1.
Page II(2005)-1: Insert this page preceding page II(2004)-1.
> Pages IV(2005)-1, IV(2005)-2, and IV(2005)-3: Insert these pages
> preceding page IV(2004)-1.
Page VI(2005)-1: Insert this page preceding page VI(2004)-1.
Page VII-1: Remove this page and substitute page VII-1 attached.
Page XV-1: Remove this page and substitute page XV-1 attached.
Page XVI-1: Remove this page and substitute page XVI-1 attached.
Page XVII-1: Remove this page and substitute page XVII-1 attached.
By Direction of the Under Secretary for Benefits
Bradley G. Mayes, Acting Director
Compensation and Pension Service
Distribution: RPC: 2068
FD: EX: ASO and AR (included in RPC 2068)
**November 14, 2006 M21-1, Part I**
**Change 54**
**Appendix B**
**IMPROVED DEATH PENSION**
**Entitlement Codes 4.1** % **Cost-of-Living Increase**
**1D, 2D, 3D, 5D, 6D, 7D, and 0D Effective 12/1/05**
**MAXIMUM ANNUAL RATES**
<table style="width:100%;">
<colgroup>
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
</colgroup>
<tbody>
<tr class="odd">
<td>Dep</td>
<td>Codes</td>
<td><p>Surviving</p>
<p>Spouse</p></td>
<td><p>Surviving</p>
<p>Spouse + HB</p></td>
<td>Surviving Spouse + A/A</td>
<td>Dep</td>
<td>Codes</td>
<td></td>
<td>Dep</td>
<td>Codes</td>
<td><p>Child</p>
<p>Only</p></td>
<td>Dep</td>
<td>Codes</td>
</tr>
<tr class="even">
<td>10</td>
<td>SS</td>
<td>$7,094</td>
<td>$8,670</td>
<td>$11,340</td>
<td>10</td>
<td>SS</td>
<td></td>
<td>81</td>
<td>1C</td>
<td>$1,806</td>
<td>81</td>
<td>1C</td>
</tr>
<tr class="odd">
<td>11</td>
<td>SS-1C</td>
<td>$9,287</td>
<td>$10,860</td>
<td>$13,529</td>
<td>11</td>
<td>SS-1C</td>
<td></td>
<td>82</td>
<td>2C</td>
<td>$3,612</td>
<td>82</td>
<td>2C</td>
</tr>
<tr class="even">
<td>12</td>
<td>SS-2C</td>
<td>$11,093</td>
<td>$12,666</td>
<td>$15,335</td>
<td>12</td>
<td>SS-2C</td>
<td></td>
<td>83</td>
<td>3C</td>
<td>$5,418</td>
<td>83</td>
<td>3C</td>
</tr>
<tr class="odd">
<td>13</td>
<td>SS-3C</td>
<td>$12,899</td>
<td>$14,472</td>
<td>$17,141</td>
<td>13</td>
<td>SS-3C</td>
<td></td>
<td>84</td>
<td>4C</td>
<td>$7,224</td>
<td>84</td>
<td>4C</td>
</tr>
<tr class="even">
<td colspan="2"><p>For each additional</p>
<p>child - Add</p></td>
<td>$1,806</td>
<td>$1,806</td>
<td>$1,806</td>
<td colspan="2"><p>For each additional</p>
<p>child - Add</p></td>
<td></td>
<td colspan="2"><p>For each additional</p>
<p>child - Add</p></td>
<td>$1,806</td>
<td></td>
<td></td>
</tr>
</tbody>
</table>
--------------- ------------- -- --------------- -- ------ -- ------------- --------------- --------- ------------- -------- ------------- --------- -------- -- -----------
**SBP/MIW **38 CFR
ANNUITY 3.272(j)(1)
LIMITATION** DEDUCTION
FROM CHILD\'S
EARNED
INCOME**
**Amount** **Effective **Exclusion** **Effective **Exclusion
Date** Date** Effective
Date**
\$7,094 12/1/05 \$6,400 1/1/95 \$7,450 1/1/01
\$6,550 1/1/96 \$7,700 1/1/02
\$6,800 1/1/97 \$7,800 1/1/03
**SURVIVING** **SPOUSE OF **VETERAN\*** \$6,950 1/1/98 \$7,950 1/1/04
SAW**
Dependency Codes A/A Rate \$7,050 1/1/99 \$8,200 1/1/05 []{.mark}
10 SS \$12,072 \$7,200 1/1/00 \$8,450 1/1/06
11 SS-1C \$14,261
12 SS-2C \$16,067
For each child add \$1,806
additional
--------------- ------------- -- --------------- -- ------ -- ------------- --------------- --------- ------------- -------- ------------- --------- -------- -- -----------
**A(2005)-1**
\* PL 105-178 increased A/A rates for surviving spouses of SAW veterans
effective 10/1/98.
**November 14, 2006 M21-1, Part I**
**Change 54**
**Appendix B**
## IMPROVED DISABILITY PENSION
**Entitlement Codes 4.1% Cost-of-Living Increase**
**1L, 2L, 3L, 5L, 6L, 7L, and 0L Effective 12/1/05**
## MAXIMUM ANNUAL RATES
<table>
<colgroup>
<col style="width: 18%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 0%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 0%" />
<col style="width: 8%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="5"></td>
<td colspan="7">TWO VETERANS MARRIED TO ONE ANOTHER</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td>Dependency Codes</td>
<td>Veteran PT</td>
<td>Veteran HB</td>
<td><p>Veteran</p>
<p>A&A</p></td>
<td colspan="2"></td>
<td><p>Both</p>
<p>PT</p></td>
<td><p>One</p>
<p>HB</p></td>
<td><p>Both</p>
<p>HB</p></td>
<td><p>One</p>
<p>A&A</p></td>
<td><p>One A&A</p>
<p>One HB</p></td>
<td colspan="2"><p>Both</p>
<p>A&A</p></td>
<td><p>Dep</p>
<p>Codes</p></td>
</tr>
<tr class="odd">
<td>00 Veteran</td>
<td>$10,579</td>
<td>$12,929</td>
<td>$17,651</td>
<td colspan="2"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td>00</td>
</tr>
<tr class="even">
<td>10/81 V-S or V-1C</td>
<td>$13,855</td>
<td>$16,205</td>
<td>$20,924</td>
<td colspan="2"></td>
<td>$13,855</td>
<td>$16,205</td>
<td>$18,555</td>
<td>$20,924</td>
<td>$23,270</td>
<td colspan="2">$27,261</td>
<td>10</td>
</tr>
<tr class="odd">
<td>11/82 V-S-1C or V-2C</td>
<td>$15,661</td>
<td>$18,011</td>
<td>$22,730</td>
<td colspan="2"></td>
<td>$15,661</td>
<td>$18,011</td>
<td>$20,361</td>
<td>$22,730</td>
<td>$25,076</td>
<td colspan="2">$29,067</td>
<td>11</td>
</tr>
<tr class="even">
<td>12/83 V-S-2C or V-3C</td>
<td>$17,467</td>
<td>$19,817</td>
<td>$24,536</td>
<td colspan="2"></td>
<td>$17,467</td>
<td>$19,817</td>
<td>$22,167</td>
<td>$24,536</td>
<td>$26,882</td>
<td colspan="2">$30,873</td>
<td>12</td>
</tr>
<tr class="odd">
<td><p>For each additional</p>
<p>child - Add</p></td>
<td>$1,806</td>
<td>$1,806</td>
<td>$1,806</td>
<td colspan="2"></td>
<td>$1,806</td>
<td>$1,806</td>
<td>$1,806</td>
<td>$1,806</td>
<td>$1,806</td>
<td colspan="2">$1,806</td>
<td><p>Additional</p>
<p>Child</p></td>
</tr>
<tr class="even">
<td>Veterans of Mexican Border Period or WWI</td>
<td>(1)</td>
<td>(1)</td>
<td>(1)</td>
<td colspan="2"></td>
<td>(1)</td>
<td>(1)</td>
<td>(1)</td>
<td>(1)</td>
<td>(1)</td>
<td colspan="2">(1)</td>
<td></td>
</tr>
</tbody>
</table>
\(1\) Add \$2,400 to applicable rate
**38 CFR 3.272(j)(1) Exclusion from Child\'s Earnings**
----------- ----------- ----------- ----------- ----------- -----------
Exclusion Effective Exclusion Effective
Date Date
\$6,800 1/1/97 \$7,700 1/1/02
\$6,950 1/1/98 \$7,800 1/1/03
\$7,050 1/1/99 \$7,950 1/1/04
\$7,200 1/1/00 \$8,200 1/1/05
\$7,450 1/1/01 \$8,450 1/1/06
----------- ----------- ----------- ----------- ----------- -----------
**B(2005)-1**
**November 14, 2006 M21-1, Part I**
**Change 54**
**Appendix B**
**SECTION 306 DEATH PENSION**
**Entitlement Codes 4.1% Cost-of-Living Increase**
**18, 28, 38, 58, 68, and 78 Effective 12/1/05**
SURVIVING SPOUSE ONLY
The rate entitled to on December 31, 1978, may be continued if the
surviving spouse\'s IVAP for 2005 is \$12,034 or less.
CHILDREN ONLY
The rate entitled to on December 31, 1978, may be continued if the
child\'s IVAP for 2005 is \$9,838 or less.
SURVIVING SPOUSE AND CHILDREN
The rate entitled to on December 31, 1978, may be continued if the
surviving spouse\'s IVAP for 2005 is \$16,176 or less.
SBP/MIW ANNUITY LIMITATION
------------ ------------ ------------ ----------------- ------------ ---
Amount Effective Date
\$7,094 12/1/05
------------ ------------ ------------ ----------------- ------------ ---
**I(2005)-1**
## OLD LAW DEATH PENSION
**(Entitlement Established Prior to 7/1/60)**
**Entitlement Codes**
**16, 26, and 36**
**INCOME LIMITATIONS**
<table style="width:100%;">
<colgroup>
<col style="width: 9%" />
<col style="width: 10%" />
<col style="width: 9%" />
<col style="width: 0%" />
<col style="width: 7%" />
<col style="width: 9%" />
<col style="width: 10%" />
<col style="width: 9%" />
<col style="width: 7%" />
<col style="width: 9%" />
<col style="width: 10%" />
<col style="width: 9%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="3"><strong>Income Limits</strong></td>
<td colspan="2"></td>
<td colspan="3"><strong>Income Limits</strong></td>
<td></td>
<td colspan="3"><strong>Income Limits</strong></td>
</tr>
<tr class="even">
<td><strong>Effective Date</strong></td>
<td><p><strong>Surviving Spouse</strong></p>
<p><strong>Only or Each Child</strong></p>
<p><strong>(No Surviving Spouse)</strong></p></td>
<td colspan="2"><p><strong>Surviving Spouse</strong></p>
<p><strong>(With Child or Children)</strong></p></td>
<td></td>
<td><strong>Effective Date</strong></td>
<td><p><strong>Surviving Spouse</strong></p>
<p><strong>Only or Each Child</strong></p>
<p><strong>(No Surviving Spouse)</strong></p></td>
<td><p><strong>Surviving Spouse</strong></p>
<p><strong>(With Child or Children)</strong></p></td>
<td></td>
<td><strong>Effective Date</strong></td>
<td><p><strong>Surviving Spouse</strong></p>
<p><strong>Only or Each Child</strong></p>
<p><strong>(No Surviving Spouse)</strong></p></td>
<td><p><strong>Surviving Spouse</strong></p>
<p><strong>(With Child or Children)</strong></p></td>
</tr>
<tr class="odd">
<td><p><strong>PL 94-432</strong></p>
<p><strong>1/1/77</strong></p></td>
<td><strong>$3,100</strong></td>
<td colspan="2"><strong>$4,460</strong></td>
<td></td>
<td><p><strong>1.3% COL</strong></p>
<p><strong>12/1/86</strong></p></td>
<td><strong>$5,937</strong></td>
<td><strong>$8,562</strong></td>
<td></td>
<td><p><strong>2.9. % COL</strong></p>
<p><strong>12/1/96</strong></p></td>
<td><strong>$8,450</strong></td>
<td><strong>$12,184</strong></td>
</tr>
<tr class="even">
<td><p><strong>PL 95-204</strong></p>
<p><strong>1/1/78</strong></p></td>
<td><strong>$3,300</strong></td>
<td colspan="2"><strong>$4,760</strong></td>
<td></td>
<td><p><strong>4.2% COL</strong></p>
<p><strong>12/1/87</strong></p></td>
<td><strong>$6,187</strong></td>
<td><strong>$8,922</strong></td>
<td></td>
<td><p><strong>2.1 % COL</strong></p>
<p><strong>12/1/97</strong></p></td>
<td><strong>$8,628</strong></td>
<td><strong>$12,440</strong></td>
</tr>
<tr class="odd">
<td><p><strong>PL 95-588</strong></p>
<p><strong>1/1/79</strong></p></td>
<td><strong>$3,534</strong></td>
<td colspan="2"><strong>$5,098</strong></td>
<td></td>
<td><p><strong>4.0% COL</strong></p>
<p><strong>12/1/88</strong></p></td>
<td><strong>$6,435</strong></td>
<td><strong>$9,279</strong></td>
<td></td>
<td><p><strong>1.3% COL</strong></p>
<p><strong>12/1/98</strong></p></td>
<td><strong>$8,741</strong></td>
<td><strong>$12,602</strong></td>
</tr>
<tr class="even">
<td><p><strong>9.9% COL</strong></p>
<p><strong>6/1/79</strong></p></td>
<td><strong>$3,884</strong></td>
<td colspan="2"><strong>$5,603</strong></td>
<td></td>
<td><p><strong>4.7% COL</strong></p>
<p><strong>12/1/89</strong></p></td>
<td><strong>$6,738</strong></td>
<td><strong>$9,716</strong></td>
<td></td>
<td><p><strong>2.4% COL</strong></p>
<p><strong>12/1/99</strong></p></td>
<td><strong>$8,951</strong></td>
<td><strong>$12,905</strong></td>
</tr>
<tr class="odd">
<td><p><strong>14.3% COL</strong></p>
<p><strong>6/1/80</strong></p></td>
<td><strong>$4,440</strong></td>
<td colspan="2"><strong>$6,405</strong></td>
<td></td>
<td><p><strong>5.4% COL</strong></p>
<p><strong>12/1/90</strong></p></td>
<td><strong>$7,102</strong></td>
<td><strong>$10,241</strong></td>
<td></td>
<td><p><strong>3.5% COL</strong></p>
<p><strong>12/1/00</strong></p></td>
<td><strong>$9,265</strong></td>
<td><strong>$13,357</strong></td>
</tr>
<tr class="even">
<td><p><strong>11.2% COL</strong></p>
<p><strong>6/1/81</strong></p></td>
<td><strong>$4,938</strong></td>
<td colspan="2"><strong>$7,123</strong></td>
<td></td>
<td><p><strong>3.7% COL</strong></p>
<p><strong>12/1/91</strong></p></td>
<td><strong>$7,365</strong></td>
<td><strong>$10,620</strong></td>
<td></td>
<td><p><strong>2.6% COL</strong></p>
<p><strong>12/1/01</strong></p></td>
<td><strong>$9,516</strong></td>
<td><strong>$13,719</strong></td>
</tr>
<tr class="odd">
<td><p><strong>7.4% COL</strong></p>
<p><strong>6/1/82</strong></p></td>
<td><strong>$5,304</strong></td>
<td colspan="2"><strong>$7,651</strong></td>
<td></td>
<td><p><strong>3.0% COL</strong></p>
<p><strong>12/1/92</strong></p></td>
<td><strong>$7,586</strong></td>
<td><strong>$10,939</strong></td>
<td></td>
<td><p><strong>1.4% COL</strong></p>
<p><strong>12/1/02</strong></p></td>
<td><strong>$9,650</strong></td>
<td><strong>$13,912</strong></td>
</tr>
<tr class="even">
<td><p><strong>3.5% COL</strong></p>
<p><strong>12/1/83</strong></p></td>
<td><strong>$5,490</strong></td>
<td colspan="2"><strong>$7,919</strong></td>
<td></td>
<td><p><strong>2.6% COL</strong></p>
<p><strong>12/1/93</strong></p></td>
<td><strong>$7,784</strong></td>
<td><strong>$11,224</strong></td>
<td></td>
<td><p><strong>2.1% COL</strong></p>
<p><strong>12/1/03</strong></p></td>
<td><strong>$9,853</strong></td>
<td><strong>$14,205</strong></td>
</tr>
<tr class="odd">
<td><p><strong>3.5% COL</strong></p>
<p><strong>12/1/84</strong></p></td>
<td><strong>$5,683</strong></td>
<td colspan="2"><strong>$8,197</strong></td>
<td></td>
<td><p><strong>2.8% COL</strong></p>
<p><strong>12/1/94</strong></p></td>
<td><strong>$8,002</strong></td>
<td><strong>$11,539</strong></td>
<td></td>
<td><p><strong>2.7% COL</strong></p>
<p><strong>12/1/04</strong></p></td>
<td><strong>$10,120</strong></td>
<td><strong>$14,589</strong></td>
</tr>
<tr class="even">
<td><p><strong>3.1% COL</strong></p>
<p><strong>12/1/85</strong></p></td>
<td><strong>$5,860</strong></td>
<td colspan="2"><strong>$8,452</strong></td>
<td></td>
<td><p><strong>2.6% COL</strong></p>
<p><strong>12/1/95</strong></p></td>
<td><strong>$8,211</strong></td>
<td><strong>$11,840</strong></td>
<td></td>
<td><p><strong>4.1% COL</strong></p>
<p><strong>12//1/05</strong></p></td>
<td><strong>$10,535</strong></td>
<td><strong>$15,188</strong></td>
</tr>
</tbody>
</table>
SBP/MIW ANNUITY LIMITATION
------------- -------------- -------- ------------- -------------- -------- ------------- --------------
**Amount** **Effective **Amount** **Effective **Amount** **Effective
Date** Date** Date**
**\$3,957** **12/01/86** **\$5,200** **12/01/93** **\$6,026** **12/01/99**
**\$4,125** **12/01/87** **\$5,347** **12/01/94** **\$6,237** **12/01/00**
**\$4,292** **12/01/88** **\$5,488** **12/01/95** **\$6,407** **12/01/01**
**\$4,496** **12/01/89** **\$5,649** **12/01/96** **\$6,497** **12/01/02**
**\$4,741** **12/01/90** **\$5,688** **07/01/97** **\$6,634** **12/01/03**
**\$4,918** **12/01/91** **\$5,808** **12/01/97** **\$6,814** **12/01/04**
**\$5,067** **12/01/92** **\$5,884** **12/01/98** **\$7,094** **12/01/05**
------------- -------------- -------- ------------- -------------- -------- ------------- --------------
-----------------------------------------------------------------------
**See M21-1, Part I, Appendix B, pages II-2 and II-3 for Old Law Death
Pension rates.**
-----------------------------------------------------------------------
#### November 14, 2006 M21-1, Part I
**Change 54**
**Appendix B**
**DEPENDENCY AND INDEMNITY COMPENSATION**
**(38 U.S.C. 1315)**
**PARENT**
**Entitlement Codes 4.1% Cost-of-Living Increase**
**17, 27, 37, 47, 57, 67, Effective 12/1/05**
**77, 87, 97, 07, and 99**
**Sole Surviving Parent**
**Unremarried or Remarried Living with Spouse**
+---------+---------+---------+---------+---------+---------+--------+
| Total | | | | Total | | |
| Dep. | | | | Dep. | | |
| Code | | | | Code | | |
| 50/60 | | | | 50/60 | | |
| | | | | | | |
| This | | | | This | | |
| Dep. | | | | Dep. | | |
| Code | | | | Code | | |
| 50/60 | | | | 50/60 | | |
| or | | | | or | | |
| 52/62 | | | | 52/62 | | |
+---------+---------+---------+---------+---------+---------+--------+
| Income | Monthly | Each | | Income | Monthly | Each |
| | | \$1 | | | | \$1 |
| Not | Rate | | | Not | Rate | |
| Over | | De | | Over | | Dec |
| | | crement | | | | rement |
+---------+---------+---------+---------+---------+---------+--------+
| \$800 | \$507 | None | | 4300 | 227 | .08 |
+---------+---------+---------+---------+---------+---------+--------+
| 900 | 499 | .08 | | 4400 | 219 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1000 | 491 | | | 4500 | 211 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1100 | 483 | | | 4600 | 203 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1200 | 475 | | | 4700 | 195 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1300 | 467 | | | 4800 | 187 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1400 | 459 | | | 4900 | 179 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1500 | 451 | | | 5000 | 171 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1600 | 443 | | | 5100 | 163 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1700 | 435 | | | 5200 | 155 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1800 | 427 | | | 5300 | 147 | |
+---------+---------+---------+---------+---------+---------+--------+
| 1900 | 419 | | | 5400 | 139 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2000 | 411 | | | 5500 | 131 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2100 | 403 | | | 5600 | 123 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2200 | 395 | | | 5700 | 115 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2300 | 387 | | | 5800 | 107 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2400 | 379 | | | 5900 | 99 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2500 | 371 | | | 6000 | 91 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2600 | 363 | | | 6100 | 83 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2700 | 355 | | | 6200 | 75 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2800 | 347 | | | 6300 | 67 | |
+---------+---------+---------+---------+---------+---------+--------+
| 2900 | 339 | | | 6400 | 59 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3000 | 331 | | | 6500 | 51 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3100 | 323 | | | 6600 | 43 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3200 | 315 | | | 6700 | 35 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3300 | 307 | | | 6800 | 27 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3400 | 299 | | | 6900 | 19 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3500 | 291 | | | 7000 | 11 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3600 | 283 | | | 7074 | 5.08 | |
+---------+---------+---------+---------+---------+---------+--------+
| 3700 | 275 | | | | | |
+---------+---------+---------+---------+---------+---------+--------+
| 3800 | 267 | | | 7075 to | 5 | None |
+---------+---------+---------+---------+---------+---------+--------+
| 3900 | 259 | | | \*\* | | |
+---------+---------+---------+---------+---------+---------+--------+
| 4000 | 251 | | | If | spouse | \$ |
| | | | | living | | 16,176 |
| | | | | with | | |
+---------+---------+---------+---------+---------+---------+--------+
| 4100 | 243 | | | If not | with | \$ |
| | | | | living | spouse | 12,034 |
+---------+---------+---------+---------+---------+---------+--------+
| 4200 | 235 | | | If A&A, | 274 | |
| | | | | add | | |
+---------+---------+---------+---------+---------+---------+--------+
> **IV(2005)-1**
**M21-1, Part I November 14, 2006**
**Change 54**
**Appendix B**
## DEPENDENCY AND INDEMNITY COMPENSATION
**(38 U.S.C. 1315)**
**PARENT RATES**
**Entitlement Codes 4.1% Cost-of-Living Increase**
**17, 27, 37, 47, 57, 67, Effective 12/1/05**
**77, 87, 97, 07, and 99**
**One of Two Parents**
# Not Living with Spouse
+---------+---------+---------+---------+---------+---------+---------+
| Total | | | | Total | | |
| Dep. | | | | Dep. | | |
| Code 70 | | | | Code 70 | | |
| | | | | | | |
| This | | | | This | | |
| Dep. | | | | Dep. | | |
| Code | | | | Code | | |
| 50/60 | | | | 50/60 | | |
+---------+---------+---------+---------+---------+---------+---------+
| Income | Monthly | Each | | Income | Monthly | Each |
| | | \$1 | | | | \$1 |
| Not | Rate | | | Not | Rate | |
| Over | | De | | Over | | De |
| | | crement | | | | crement |
+---------+---------+---------+---------+---------+---------+---------+
| \$800 | \$367 | None | | \$3800 | \$ 131 | .08 |
+---------+---------+---------+---------+---------+---------+---------+
| 900 | 361 | .06 | | 3900 | 123 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1000 | 354 | .07 | | 4000 | 115 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1100 | 347 | | | 4100 | 107 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1200 | 339 | .08 | | 4200 | 99 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1300 | 331 | | | 4300 | 91 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1400 | 323 | | | 4400 | 83 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1500 | 315 | | | 4500 | 75 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1600 | 307 | | | 4600 | 67 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1700 | 299 | | | 4700 | 59 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1800 | 291 | | | 4800 | 51 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1900 | 283 | | | 4900 | 43 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2000 | 275 | | | 5000 | 35 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2100 | 267 | | | 5100 | 27 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2200 | 259 | | | 5200 | 19 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2300 | 251 | | | 5300 | 11 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2400 | 243 | | | 5374 | 5.08 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2500 | 235 | | | 5375 | | |
+---------+---------+---------+---------+---------+---------+---------+
| 2600 | 227 | | | to | 5 | None |
+---------+---------+---------+---------+---------+---------+---------+
| 2700 | 219 | | | 12034 | | |
+---------+---------+---------+---------+---------+---------+---------+
| 2800 | 211 | | | If A&A | | |
+---------+---------+---------+---------+---------+---------+---------+
| 2900 | 203 | | | Add | 274 | |
+---------+---------+---------+---------+---------+---------+---------+
| 3000 | 195 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3100 | 187 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3200 | 179 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3300 | 171 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3400 | 163 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3500 | 155 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3600 | 147 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3700 | 139 | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
**IV(2005)-2**
**November 14, 2006 M21-1, Part I**
**Change 54**
**Appendix B**
**DEPENDENCY AND INDEMNITY COMPENSATION**
**(38 U.S.C. 1315)**
**PARENT RATES**
**Entitlement Codes 4.1% Cost-of-Living Increase**
**17, 27, 37, 47, 57, 67 Effective 12/1/05**
**77, 87, 97, 07, and 99**
**One of Two Parents**
## Living with Spouse or Other Parent
+---------+---------+---------+---------+---------+---------+---------+
| Total | | | | Total | | |
| Dep. | | | | Dep. | | |
| Code 70 | | | | Code 70 | | |
| | | | | | | |
| This | | | | This | | |
| Dep. | | | | Dep. | | |
| Code | | | | Code | | |
| | | | | | | |
| With | | | | With | | |
| Other | | | | Other | | |
| Parent: | | | | Parent: | | |
| 51/61 | | | | 51/61 | | |
| | | | | | | |
| Re | | | | Re | | |
| married | | | | married | | |
| With | | | | With | | |
| Spouse: | | | | Spouse: | | |
| 52/62 | | | | 52/62 | | |
+---------+---------+---------+---------+---------+---------+---------+
| Income | Monthly | Each | | Income | Monthly | Each |
| | | \$1 | | | | \$1 |
| Not | Rate | | | Not | Rate | |
| Over | | De | | Over | | De |
| | | crement | | | | crement |
+---------+---------+---------+---------+---------+---------+---------+
| \$1000 | \$344 | None | | \$3800 | \$189 | .08 |
+---------+---------+---------+---------+---------+---------+---------+
| 1100 | 341 | .03 | | 3900 | 181 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1200 | 338 | | | 4000 | 173 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1300 | 335 | | | 4100 | 165 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1400 | 332 | | | 4200 | 157 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1500 | 329 | | | 4300 | 149 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1600 | 325 | .04 | | 4400 | 141 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1700 | 321 | | | 4500 | 133 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1800 | 317 | | | 4600 | 125 | |
+---------+---------+---------+---------+---------+---------+---------+
| 1900 | 313 | | | 4700 | 117 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2000 | 308 | .05 | | 4800 | 109 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2100 | 303 | | | 4900 | 101 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2200 | 298 | | | 5000 | 93 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2300 | 293 | | | 5100 | 85 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2400 | 288 | | | 5200 | 77 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2500 | 282 | .06 | | 5300 | 69 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2600 | 276 | | | 5400 | 61 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2700 | 270 | | | 5500 | 53 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2800 | 264 | | | 5600 | 45 | |
+---------+---------+---------+---------+---------+---------+---------+
| 2900 | 258 | | | 5700 | 37 | |
+---------+---------+---------+---------+---------+---------+---------+
| 3000 | 251 | .07 | | 5800 | 29 | |
+---------+---------+---------+---------+---------+---------+---------+
| 3100 | 244 | | | 5900 | 21 | |
+---------+---------+---------+---------+---------+---------+---------+
| 3200 | 237 | | | 6000 | 13 | |
+---------+---------+---------+---------+---------+---------+---------+
| 3300 | 229 | .08 | | 6100 | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3400 | 221 | | | to | 5 | None |
+---------+---------+---------+---------+---------+---------+---------+
| 3500 | 213 | | | \ | | |
| | | | | $16,176 | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3600 | 205 | | | If A&A | | |
+---------+---------+---------+---------+---------+---------+---------+
| 3700 | 197 | | | Add | 274 | |
+---------+---------+---------+---------+---------+---------+---------+
| | | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| | | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| | | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| | | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
| | | | | | | |
+---------+---------+---------+---------+---------+---------+---------+
IV (2005)-3
###### November 14, 2006 M21-1, Part 1
**Change 54**
**Appendix B**
######## SECTION 306 DISABILITY PENSION
**Entitlement Codes 4.1 % Cost-of-Living Increase**
**14, 24, 34, 64, and 74 Effective 12/1/05**
VETERAN ONLY
The rate entitled to on December 31, 1978, may be continued if the
veteran\'s IVAP for 2005 is \$12,034 or less.
[Special A/A Allowance When Income Exceeds \$12,034]{.underline}. The
rate entitled to on
December 31, 1978, may be continued if the veteran\'s IVAP for 2005 is
\$12,534 or less.
[38 CFR 3.552 Rates (Hospital Reduction) for Special A/A Allowance]{.underline}.
The rate entitled to (see 38 CFR 3.552 Rate Chart on page VI (1978) -1)
on December 31, 1978, will be paid if the veteran is hospitalized on
January 1, 2005, or later and the veteran\'s IVAP for 2005 is \$12,534
or less.
VETERAN WITH DEPENDENTS
The rate entitled to on December 31, 1978, may be continued if the IVAP
for 2005 is \$16,176 or less.
[Special A/A Allowance When Income Exceeds \$16,176]{.underline}. The
rate entitled to on
December 31, 1978, may be continued if the veteran\'s IVAP for 2005 is
\$16,676 or less.
[38 CFR 3.552 Rates (Hospital Reduction) for Special A/A Allowance]{.underline}.
The rate entitled to (see 38 CFR 3.552 Rate Chart on page VI (1978) -2)
on December 31, 1978, will be paid if the veteran is hospitalized on
January 1, 2005, or later and the veteran\'s IVAP for 2005 is \$16,676
or less.
--------------- -------------- ------- ------- -------------- -------------
**SPOUSE INCOME
EXCLUSION UNDER
38 CFR
3.262(b)(2)**
Effective Date Exclusion Effective Date Exclusion
12/1/94 \$2,916 12/1/00 \$3,377
12/1/95 \$2,992 12/1/01 \$3,468
12/1/96 \$3,079 12/1/02 \$3,517
12/1/97 \$3,144 12/1/03 \$3,591
12/1/98 \$3,185 12/1/04 \$3,688
12/1/99 \$3,262 12/1/05 \$3,840
--------------- -------------- ------- ------- -------------- -------------
> **VI(2005)-1**
**OLD LAW DISABILITY PENSION**
**WWI, WWII, KOREAN CONFLICT (38 U.S.C. 1521 - Prior to 7/1/60)**
Entitlement Codes
12, 22, and 32
------- ------------ ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
Total 9.9% 14.3% 11.2% 7.4% 3.5%
Dep. 91-588 92-198 93-527 94-169 94-432 95-204 95-588 COL COL COL COL COL
Code 1/1/71 1/1/72 1/1/75 1/1/76 1/1/77 1/1/78 1/1/79 6/1/79 6/1/80 6/1/81 6/1/82 12/1/83
Income
Limits
00 Unmarried \$1,900 \$2,200 \$2,600 \$2,900 \$3,100 \$3,300 \$3,534 \$3,884 \$4,440 \$4,938 \$5,304 \$5,490
Veterans
10 Veteran and
Spouse or
81 Minor Child \$3,200 \$3,500 \$3,900 \$4,200 \$4,460 \$4,760 \$5,098 \$5,603 \$6,405 \$7,123 \$7,651 \$7,919
(no spouse)
Rates
Payable
Basic Rates \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15
10 Years or \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75
Age 65
If Entitled \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45
to A/A
If Entitled \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00
to HB
------- ------------ ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
------- ------------ ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
Total 3.5% 3.1% 1.3% 4.2% 4.0% 4.7% 5.4% 3.7% 3.0% 2.6% 2.8% 2.6%
Dep. COL COL COL COL COL COL COL COL COL COL COL COL
Code 12/1/84 12/1/85 12/1/86 12/1/87 12/1/88 12/1/89 12/1/90 12/1/91 12/1/92 12/1/93 12/1/94 12/1/95
Income
Limits
00 Unmarried \$5,683 \$5,860 \$5,937 \$6,187 \$6,435 \$6,738 \$7,102 \$7,365 \$7,586 \$7,784 \$8,002 \$8,211
Veterans
10 Veteran and
Spouse or
81 Minor Child \$8,197 \$8,452 \$8,562 \$8,922 \$9,279 \$9,716 \$10,241 \$10,620 \$10,939 \$11,224 \$11,539 \$11,840
(no spouse)
Rates
Payable
Basic Rates \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15
10 Years or \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75
Age 65
If Entitled \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45
to A/A
If Entitled \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00
to HB
------- ------------ ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ----------
------- ----------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- -- ------------
Total 2.9% 2.1% 1.3% 2.4% 3.5% 2.6% 1.4% 2.1% 2.7% 4.1%
Dep. COL COL COL COL COL COL COL COL COL COL
12/1/96 12/1/97 12/1/98 12/1/99 12/1/00 12/1/01 12/1/02 12/1/03 12/1/04 12/1/05 Note: See
M21-1,
Income App. B, page
Limits VII-2
00 Unmarried \$8,450 \$8,628 \$8,741 \$8,951 \$9,265 \$9,516 \$9,650 \$9,853 \$10,120 \$10,535 for Service
Veterans Pension
10 Veteran and rates.
Spouse or
81 Minor Child \$12,184 \$12,440 \$12,602 \$12,905 \$13,357 \$13,719 \$13,912 \$14,205 \$14,589 \$15,188
(no spouse)
Rates \* Initial
Payable A&A grant
Basic Rates \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 \$66.15 by P.L.
149-82
10 Years or \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 \$78.75 effective
Age 65 11/1/51
If Entitled \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45 \$135.45
to A/A
If Entitled \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00 \$100.00
to HB
------- ----------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- ---------- -- ------------
###### November 14, 2006 M21-1, Part I
**Change 54**
**Appendix B**
**BURIAL, PLOT AND HEADSTONE/MARKER BENEFITS**
Historical and Current
------------------ --------- --------- --------- --------- --------- --------- --------- --------- --------- --------- --------- ---------
10/1/80 10/1/81 10/1/82 10/1/83 10/1/84 10/1/85 10/1/86 10/1/87 10/1/88 10/1/89 10/1/90 10/1/91
Headstone/Marker
PL 95-476 \$59 \$63 \$67 \$68 \$70 \$71 \$71 \$76 \$80 \$85 \$85 \$97
10/1/92 10/1/93 10/1/94 10/1/95 10/1/96 10/1/97 10/1/98 10/1/99 10/1/00 10/1/01 10/1/02 10/1/03
Headstone/Marker
PL 95-476 \$96 \$98 \$100 \$101 \$96 \$109 \$96 \$90 \$94 \$109 \$101 \$112
------------------ --------- --------- --------- --------- --------- --------- --------- --------- --------- --------- --------- ---------
------------------ --------- ---------- ----- ----- ----- ----- ----- ----- ----- ----- ----- -----
10/1/04 10/01/05
Headstone/Marker
PL 95-476 \$113 \$128
------------------ --------- ---------- ----- ----- ----- ----- ----- ----- ----- ----- ----- -----
----------- -------- --------- --------- --------- --------- --------- --------- --------- -----------
PL PL 73-2 PL 79-796 PL 79-529 PL 85-674 PL 93-43 PL 95-479 PL PL 107-103
68-242 100-322
6/7/24 3/31/33 10/5/40 7/24/46 8/18/58 6/18/73 10/1/78 4/1/88 12/1/01
SC BURIAL \$100 \$75 \$100 \$150 \$250 \$800 \$1,100 \$1,500 \*\$2,000
NSC BURIAL \$100 \$75 \$100 \$150 \$250 \$250 \$300 \$300 \$300
PLOT \$150 \$150 \$150 \$300
ALLOWANCE
STATE
CEMETERY
PLOT \$150 \$150 \$300
ALLOWANCE
----------- -------- --------- --------- --------- --------- --------- --------- --------- -----------
Note 1: The P.L. 107-103 service-connected burial rate applies in cases
where death occurred on or after 9/11/01.
Note 2: The headstone/marker allowance is payable only if the veteran
died between 10/18/78 and 11/1/90. The rate payable is determined by
when the headstone/marker was purchased For example, the rate payable
would be \$98 if the veteran died on 7/1/85 and the headstone/marker was
purchased on 9/29/94.
> **XV-1**
**November 14, 2006 M21-1, Part I**
**Change 54**
###### Appendix B
**SPINA BIFIDA BENEFITS**
**(38 U.S.C. Chapter 18)**
+-------------+------------------+------------------+------------------+
| ## Eff | **Level I | **Level II | **Level III |
| ective Date | Monthly Rate** | Monthly Rate** | Monthly Rate** |
+-------------+------------------+------------------+------------------+
| 10/01/97 | \$200 | \$700 | \$1,200 |
+-------------+------------------+------------------+------------------+
| 12/01/97 | \$205 | \$715 | \$1,226 |
+-------------+------------------+------------------+------------------+
| 12/01/98 | \$208 | \$725 | \$1,242 |
+-------------+------------------+------------------+------------------+
| 12/01/99 | \$213 | \$743 | \$1,272 |
+-------------+------------------+------------------+------------------+
| 12/01/00 | \$221 | \$770 | \$1,317 |
+-------------+------------------+------------------+------------------+
| 12/01/01 | \$228 | \$792 | \$1,354 |
+-------------+------------------+------------------+------------------+
| 12/01/02 | \$232 | \$804 | \$1,373 |
+-------------+------------------+------------------+------------------+
| 12/01/03 | \$237 | \$821 | \$1,402 |
+-------------+------------------+------------------+------------------+
| 12/01/04 | \$244 | \$844 | \$1,440 |
+-------------+------------------+------------------+------------------+
| 12/01/05 | \$254 | \$879 | \$1,500 |
+-------------+------------------+------------------+------------------+
> **XVI-1**
**November 14, 2006 M21-1, Part I**
###### Change 54
**Appendix B**
**Children of Women Vietnam Veterans Born with Certain Birth Defects**
**(Sec. 401 of Public Law 106-419)**
+-------------+-------------+------------+-------------+-------------+
| ## Eff | **Level I | **Level II | **Level III | **Level IV |
| ective Date | Monthly | Monthly | Monthly | Monthly |
| | Rate** | Rate** | Rate** | Rate** |
+-------------+-------------+------------+-------------+-------------+
| 12/1/01 | \$100 | \$228 | \$792 | \$1,354 |
+-------------+-------------+------------+-------------+-------------+
| 12/1/02 | \$105 | \$232 | \$804 | \$1,373 |
+-------------+-------------+------------+-------------+-------------+
| 12/1/03 | \$108 | \$237 | \$821 | \$1,402 |
+-------------+-------------+------------+-------------+-------------+
| 12/1/04 | \$111 | \$244 | \$844 | \$1,440 |
+-------------+-------------+------------+-------------+-------------+
| 12/1/05 | \$116 | \$254 | \$879 | \$1,500 |
+-------------+-------------+------------+-------------+-------------+
**XVII-1**
| en |
all-txt-docs | 408701 | 1863
1 UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLUMBIA
2
3 ELOUISE PEPION COBELL, : Civil Action 96-1285
et al. :
4 Plaintiffs :
: Washington, D.C.
5 v. : Wednesday, October 24, 2007
:
6 DIRK KEMPTHORNE, Secretary :
of the Interior, et al. :
7 :
Defendants : AFTERNOON SESSION
8
TRANSCRIPT OF EVIDENTIARY HEARING
9 DAY 9
BEFORE THE HONORABLE JAMES ROBERTSON
10 UNITED STATES DISTRICT JUDGE
11 APPEARANCES:
12 For the Plaintiffs: DENNIS GINGOLD, ESQUIRE
LAW OFFICES OF DENNIS GINGOLD
13 607 14th Street, NW
Ninth Floor
14 Washington, DC 20005
(202) 824-1448
15
ELLIOTT H. LEVITAS, ESQUIRE
16 WILLIAM E. DORRIS, ESQUIRE
KILPATRICK STOCKTON, L.L.P.
17 1100 Peachtree Street, Suite 2800
Atlanta, Georgia 30309-4530
18 (404) 815-6450
19 KEITH HARPER, ESQUIRE
JUSTIN GUILDER, ESQUIRE
20 KILPATRICK STOCKTON, L.L.P.
607 14th Street, N.W.
21 Suite 900
Washington, D.C. 20005
22 (202) 585-0053
23 DANIEL R. TAYLOR, JR., ESQUIRE
DAVID C. SMITH, ESQUIRE
24 KILPATRICK STOCKTON, L.L.P.
1001 West Fourth Street
25 Winston-Salem, North Carolina 27101
(336) 607-7392
26
27 Bryan A. Wayne, RPR, CRR
Official Court Reporter
1864
1 For the Defendants: ROBERT E. KIRSCHMAN, JR., ESQUIRE
JOHN WARSHAWSKY, ESQUIRE
2 MICHAEL QUINN, ESQUIRE
J. CHRISTOPHER KOHN, ESQUIRE
3 JOHN KRESSE, ESQUIRE
U.S. Department of Justice
4 1100 L Street, N.W.
Washington, D.C. 20005
5 (202) 307-0010
6 JOHN STEMPLEWICZ, ESQUIRE
Senior Trial Attorney
7 U.S. Department of Justice
Commercial Litigation Branch
8 Civil Division
Ben Franklin Station
9 P.O. Box 975
Washington, D.C. 20044
10 (202) 307-1104
11 Court Reporter: Bryan A. Wayne, RPR, CRR
Official Court Reporter
12 U.S. Courthouse, Room 6714
333 Constitution Avenue, NW
13 Washington, D.C. 20001
(202) 354-3186
14
15
16
17
18
19
20 Proceedings reported by machine shorthand, transcript produced
21 by computer-aided transcription.
22
23
24 Bryan A. Wayne, RPR, CRR
25 Official Court Reporter
1865
1 P R O C E E D I N G S
2 THE COURT: Okay. Mr. Dorris.
3 MR. DORRIS: Thank you, Your Honor.
4 (The witness resumes the stand.)
5 DIRECT EXAMINATION (Continued)
6 BY MR. DORRIS:
7 Q. Mr. Pallais, final area. Defendants' Exhibit 2 is the
8 responsive report from Ms. Caren Dunne, which is on the screen
9 there. Do you see that?
10 A. Yes.
11 Q. Now, have you had an opportunity to review that report?
12 A. Yes, I have.
13 Q. And would you please explain what -- maybe this is your
14 response to her response, but would you focus on what you've
15 identified to be the key difference between -- major difference
16 between where you are and what she talks about in her report.
17 A. The major difference is that Ms. Dunne concludes that the
18 opinions rendered by the various independent accountants, that
19 is Arthur Andersen, Griffin, and KPMG, were not qualified. She
20 seems to believe that they provided assurance that the financial
21 statements were fairly presented, and that the accountants were
22 able to apply tests to the balances that got around their
23 problems with internal control.
24 And as I read the reports, they explicitly say that they
25 cannot give assurance on the financial statements because of the
1866
1 limitations caused by the internal control problems, and they
2 could not apply additional substantive procedures to get around
3 the issue.
4 Q. Okay.
5 MR. DORRIS: Your Honor, I have no further questions,
6 but I would move to admit his report, which is Plaintiffs'
7 Exhibit 4283.
8 THE COURT: 4283 will be received.
9 MR. DORRIS: Thank you, Your Honor.
10 (Plaintiff Exhibit No. 4283
11 received into evidence.)
12 THE COURT: Mr. Siemietkowski.
13 MR. SIEMIETKOWSKI: Good afternoon, Your Honor. And
14 before I begin, sir, I do want to correct on the record
15 something that I said during one of my objections, and that
16 regarded whether the meta-analysis reports reviewed by
17 Mr. Pallais were in the administrative record. They were not.
18 They were provided to plaintiffs but they were not in the
19 administrative record.
20 Also, Your Honor, I would like to introduce two individuals
21 at counsel table. My Justice Department colleague, Mr. Tim
22 Curley, as well as our witness who has provided a responding
23 report to Mr. Pallais's report, and that is Ms. Caren Dunne of
24 Albuquerque.
25 THE COURT: Ms. Dunne.
1867
1 CROSS-EXAMINATION
2 BY MR. SIEMIETKOWSKI:
3 Q. Mr. Pallais, you testified that you have not reviewed any
4 government records underlying the IIM accounts, correct?
5 A. Correct.
6 Q. And you also testified, did you not, that you have not
7 reviewed any government records underlying Interior's historical
8 accounting effort, correct?
9 A. Correct.
10 Q. Now, regarding what you call external corroborating
11 evidence, you wouldn't consider a check to be inherently
12 unreliable, would you?
13 A. No.
14 Q. Likewise, you wouldn't consider information in an oil and
15 gas lease to be inherently unreliable, would you?
16 A. No.
17 Q. How about information in a farming lease? Inherently
18 unreliable?
19 A. Probably not.
20 Q. Likewise, a grazing lease, inherently unreliable?
21 A. Information is a broad concept. Certainly the provisions
22 in it would not be inherently unreliable.
23 Q. Keeping within the context of this external corroborating
24 evidence, would you consider information in a timber contract
25 inherently unreliable?
1868
1 A. Probably not.
2 Q. What about information in a court order? Would you
3 consider that inherently unreliable?
4 A. Again, probably not.
5 Q. You testified, did you not, that reconciliations are not a
6 standard accounting service.
7 A. Yes, I did.
8 Q. Now, your resume reflects no engagements by government
9 agencies; is that correct?
10 A. I'm sorry. I don't understand that question.
11 Q. Your resume indicates that you have not been hired by any
12 government agencies; is that correct?
13 A. You mean I have not been employed by a government agency?
14 Q. No, contracted.
15 A. I have done consulting for a government agency, but my
16 resume doesn't list all of my clients.
17 Q. Your resume does not indicate any testimony on behalf of
18 government clients, does it?
19 A. It doesn't, no. It doesn't mean I haven't done it; it just
20 means it's not on my resume.
21 Q. Now, Mr. Pallais, you recall testifying, do you not, that
22 if this were an audit -- do you remember using those words?
23 A. I don't, but I will trust that I used those words.
24 Q. I'm going to talk to you a little bit about some of the
25 terminology in your report. S-A-S, SAS, what does that stand
1869
1 for again, please?
2 A. Statement on auditing standards.
3 Q. Now, SAS standards apply to audits, correct?
4 A. Correct.
5 Q. And more specifically SAS 31 applies to audits, correct?
6 A. It did apply to audits, yes.
7 Q. And again, what is G-A-A-S, GAAS?
8 A. That's generally accepted auditing standards.
9 Q. And that applies to audits, does it not?
10 A. Primarily, yes.
11 Q. And what is G-A-A-P, GAAP?
12 A. It's generally accepted accounting principles.
13 Q. And that likewise applies to audits, right?
14 A. Generally accepted accounting principles applies to a lot
15 more than audits. Audits may use generally accepted accounting
16 principles, but its application is far broader than audits.
17 Q. Far broader. You did say in your report, though, did you
18 not, that GAAP principles do not apply to the summarization of
19 transactions reported in the HSAs. Correct?
20 A. That's correct. They are intended to be reported under
21 another basis of accounting.
22 Q. Now, an audit is not identical to an attestation
23 engagement, is it?
24 A. No.
25 Q. Likewise, an audit is not identical to a consulting
1870
1 engagement, correct?
2 A. Correct.
3 Q. You testified, Mr. Pallais, that you base your opinions on
4 the assumption that internal documents were unreliable based on
5 the history of independent audits, correct?
6 A. I think that's generally what I said.
7 Q. Now, it's true, isn't it, that one basis for qualified
8 audit opinions is what's called a contingent liability, correct?
9 A. It can be. Typically, we don't qualify for contingent
10 liabilities since SAS 58 came out in the 1980s.
11 Q. Contingent liabilities could include such things as pending
12 litigation. Is that not true?
13 A. Yes. That's true.
14 Q. I want to talk a little bit about your testimony regarding
15 completeness, Mr. Pallais. You believe that reporting on
16 recorded amounts without regard to whether there are other items
17 that should have been included is insufficient, correct?
18 A. Correct.
19 Q. In other words, in your opinion, if a beneficiary's account
20 was mismanaged, you believe that the reporting on the recorded
21 amounts should consider that mismanagement, correct?
22 A. I'm sorry. You lost me with the word "consider."
23 Q. I'm sorry. If a beneficiary's account was mismanaged, you
24 believe that any reporting on that beneficiary's account should
25 take into consideration that mismanagement, correct?
1871
1 A. "Take into consideration" was not a lot better than
2 "consider." I'm not sure whether you're saying the reported
3 amount should consist of what actually happened in the account,
4 what should have happened in the account, or whether the report
5 to the recipient should say your account has been mismanaged.
6 I'm not sure -- or perhaps a fourth alternative. I'm not sure
7 which one you're asking.
8 Q. I think it was your second alternative. You would argue,
9 would you not, Mr. Pallais, that any accounting statement should
10 consider whether the information was -- whether the actual
11 account amount was properly recorded, correct?
12 THE COURT: Can you give the witness a verb different
13 from "consider"?
14 MR. SIEMIETKOWSKI: I'll try, Your Honor.
15 THE COURT: "Report"? "Reflect"?
16 MR. SIEMIETKOWSKI: How about "reflect," Your Honor?
17 THE COURT: All right. How about "reflect"?
18 BY MR. SIEMIETKOWSKI:
19 Q. Mr. Pallais, would you agree that in your opinion if a
20 beneficiary's account was mismanaged, any accounting statement
21 provided to the beneficiary should reflect such mismanagement?
22 MR. DORRIS: Your Honor, I'm going to object. I think
23 this is beyond the scope of direct. I didn't ask him anything
24 about mismanagement of accounts. It's beyond the scope of what
25 this hearing is about.
1872
1 THE COURT: Well, management and mismanagement has
2 become -- or people think it's become kind of a term of art in
3 this court. I'm not sure that it is, and I'll let the witness
4 answer the question if he can. Overruled.
5 BY MR. SIEMIETKOWSKI:
6 Q. Do you believe, Mr. Pallais, that any -- well, let's say an
7 HSA to a particular beneficiary should reflect any mismanagement
8 found by the accountants?
9 A. I haven't spent a lot of time thinking about what should be
10 reflected in the HSA. My focus has been on whether the amounts
11 are supported. So it could be acceptable, I suppose, for an HSA
12 to be misstated and for the accountant to say the HSA is
13 misstated. I'm really having trouble answering the question as
14 you posed it.
15 Q. Well, let me move on to a related portion of your expert
16 report. Do you recall saying that Interior's reconciliation
17 process should include provisions to detect fraudulent financial
18 reporting?
19 A. No. I believe that's what the accounting standards manual
20 said. And what my report says is that it provides no guidance
21 about how the order should do that.
22 Q. Do you remember stating in your report that Interior's
23 reconciliation process should include provisions to detect
24 misappropriations?
25 A. No. I don't recall saying that in my report at all.
1873
1 Q. All right. In the documents you have reviewed,
2 Mr. Pallais, have you seen any direct evidence of fraudulent
3 financial reporting?
4 A. No.
5 Q. Likewise, have you seen any direct evidence of
6 misappropriation?
7 A. No.
8 Q. Now, in assessing the 2007 Plan, Mr. Pallais, one must
9 consider the nature of the procedures called for in the plan,
10 correct?
11 A. Correct.
12 Q. And it's also true, is it not, that in assessing the plan
13 one must consider the government's proposed sampling approach,
14 correct?
15 A. I believe so. That wasn't part of my engagement, but I
16 expect that is a true statement.
17 Q. And in fact, not being part of your engagement, you did not
18 actually analyze the government's sampling approach, correct?
19 A. That's correct.
20 Q. You mentioned the various accounting firms that have worked
21 for Interior on this project. Is it your testimony,
22 Mr. Pallais, that all five of those accounting firms contracted
23 by Interior have not applied sound professional judgment?
24 A. No.
25 Q. Mr. Pallais, you're not familiar with the requirements of
1874
1 the 1994 Trust Reform Act, are you?
2 A. No.
3 Q. You have not read the Court of Appeals decisions addressing
4 those acts' requirements, have you?
5 A. I don't believe so.
6 Q. You have not interviewed those actually doing the
7 accounting work, have you?
8 A. I may have to change the answer to the question I just
9 answered previously. I may have read court opinions on that. I
10 don't recall them, but in the name of fair play, I may have read
11 those.
12 Q. Thank you for that clarification.
13 A. Sorry. Go ahead and ask your other question again.
14 Q. My next question, Mr. Pallais, was you haven't interviewed
15 any Interior accountants working on the project, have you?
16 A. No.
17 Q. You haven't interviewed any Interior contractors working on
18 the project, have you?
19 A. No.
20 Q. You haven't interviewed those with supervisory
21 responsibility for the project, have you?
22 A. No.
23 Q. The only documents you have reviewed are those provided to
24 you by Plaintiffs' counsel, correct?
25 A. Yes.
1875
1 Q. You have not reviewed any congressional appropriations
2 documents, have you?
3 A. No.
4 Q. You have not reviewed any Interior budget requests, have
5 you?
6 A. No.
7 Q. In formulating your opinion, you did not estimate the cost
8 of adopting your approach, did you?
9 A. No.
10 Q. You haven't reviewed Dr. Angel's report on records, have
11 you?
12 A. No.
13 Q. Likewise, you've not had a chance to read a transcript of
14 his testimony, correct?
15 A. I have not read it. I'm not sure whether it's accurate to
16 say I haven't had a chance to read it, but I have not read it.
17 Q. Understood. Yes, sir. You have not been to Lenexa, have
18 you?
19 A. No.
20 Q. You've not been to OHTA, have you?
21 A. No.
22 MR. SIEMIETKOWSKI: No further questions, Your Honor.
23 THE COURT: Mr. Pallais, I think that completes your
24 testimony. You may step down, sir. Thank you.
25 (The witness steps down.)
1876
1 MR. DORRIS: Your Honor, we had two brief matters to
2 raise before we call the next witness, if we might.
3 THE COURT: All right.
4 MR. DORRIS: Yesterday I failed to move in the
5 exhibits for Mr. Homan's report, which was Plaintiffs' 4210, and
6 the Arthur Andersen audit that we reviewed with Mr. Homan
7 yesterday, and it's been referred to again today, which is
8 Plaintiffs' Exhibit 575, and I would move for those to be
9 admitted.
10 THE COURT: 4210 and 575 are received.
11 MR. KIRSCHMAN: Your Honor, may we address that
12 briefly?
13 THE COURT: Yes.
14 MR. KIRSCHMAN: Mr. Homan's report has attached to it
15 both his previous report and I believe his seven days of
16 testimony. Government has no objection to the admission of his
17 2007 report, but we would object to including the seven days of
18 prior testimony and his earlier report.
19 THE COURT: Fair enough.
20 MR. DORRIS: Your Honor, I would suggest on his
21 earlier report, which is attached to it, it is a report he
22 prepared. I don't oppose any motion to not include the prior
23 testimony.
24 THE COURT: He's talking about his testimony.
25 MR. DORRIS: But the prior report is incorporated into
1877
1 and referred to in his present report for sake of brevity at
2 times.
3 THE COURT: All right. Report's in, testimony's out.
4 MR. DORRIS: Thank you, Your Honor.
5 MR. KIRSCHMAN: Thank you, Your Honor.
6 (Plaintiff Exhibit Nos. 4210
7 and 575 received into
8 evidence.)
9 MR. LEVITAS: Your Honor, my name is Elliott Levitas.
10 I'm one of the counsel for the Plaintiffs and I have not
11 appeared before you at this proceeding yet, and I wanted to
12 introduce myself. I have a proffer which was discussed by the
13 Court with Mr. Smith at the pretrial hearing relative to
14 possible testimony of former congressman Klinger, and a motion
15 in limine filed by the Government in connection with that. A
16 copy has been provided to the Government. May I pass this up?
17 THE COURT: Yes, of course. You want to talk about it
18 or just file a proffer?
19 MR. LEVITAS: I just want to pass up the proffer at
20 this point.
21 THE COURT: All right, sir. The proffer will be
22 marked as an exhibit and made part of the record of this case.
23 Thank you, sir.
24 MR. KIRSCHMAN: Your Honor, we'd like to respond to
25 the proffer briefly, if we may? Or would you rather...
1878
1 THE COURT: Well, to what end? The proffer has
2 been -- the proffer is just that. It's a proffer of what the
3 testimony of Representative Klinger would be. I said I won't
4 hear him, so the proffer is really the record that the
5 Plaintiffs are making that I should hear him. What do you want
6 to add to it?
7 MR. KIRSCHMAN: Well, I was not clear -- and that's
8 fine if that's the status of it. I was not clear from our final
9 pretrial conference whether you would then view that in reaching
10 a determination on whether to grant the motion in limine or
11 permit the testimony. If a decision was going to be coming in
12 that vein, then I would like to address it. If it's only a
13 proffer as to what would have been heard, then that's certainly
14 fine, Your Honor.
15 THE COURT: Well, I need to go back and review the
16 bidding. You don't have to respond to it now. We may take it
17 up at a later time.
18 MR. KIRSCHMAN: Okay. Thank you, Your Honor.
19 THE COURT: Mr. Harper.
20 MR. HARPER: Good afternoon, Your Honor.
21 THE COURT: Good afternoon, sir.
22 MR. HARPER: I would like to call as our next witness
23 Mr. Richard Fitzgerald.
24 (The witness takes the stand.)
25 MR. HARPER: Good afternoon, Mr. Fitzgerald. Would
1879
1 you state your full name and spell your last name for the
2 record.
3 THE WITNESS: Yes. It's Richard v. Fitzgerald.
4 F-I-T-Z-G-E-R-A-L-D.
5 MR. HARPER: Your Honor, briefly, the proffer for this
6 witness is that he is an expert witness. We filed an expert
7 report, Plaintiffs' Exhibit 4285. And he's an expert, among
8 other things, on operations of trusts, standards of government
9 trusts and the systems necessary to manage and administer trust
10 assets. He's been previously designated and has been approved
11 as a witness in the trial 1.5 in this proceeding.
12 THE COURT: All right.
13 RICHARD FITZGERALD, WITNESS FOR THE PLAINTIFFS, SWORN
14 DIRECT EXAMINATION
15 BY MR. HARPER:
16 Q. Mr. Fitzgerald, I would like to go over briefly with the
17 Court some of your background. Could you tell me -- you started
18 at the Office of the Comptroller of the Currency at some point.
19 Can you tell me what your first position there was?
20 A. Yes. In 1963, after graduating from law school, I joined
21 the Office of the Comptroller of the Currency as a trust
22 examiner at the entry level, and I was engaged for the next year
23 and a half or so in the examination of the trust departments of
24 various banks, national banks, here, in what was -- here in the
25 Washington, D.C., area, in what was then known as the fifth
1880
1 national bank region.
2 That region was headquartered in Richmond, Virginia, and
3 covered the states from Delaware down to North Carolina,
4 Georgia. I was involved in the on-site exams of those banks.
5 Do you want to know how those exams went at all?
6 Q. Yes.
7 A. They were surprise exams back at that time. We would get
8 orders on a Friday night to be someplace on a Monday morning.
9 We would go to the bank before it opened, introduce ourselves as
10 federal bank examiners. We would go in and seal the records,
11 both the vault and the individual account records in the trust
12 department.
13 We would then, among other things -- many of these things
14 went on simultaneously, particularly in the larger institutions.
15 We would look at the records of the bank and then go into the
16 records of the individual accounts to see that the two records
17 of securities agreed one with another. That included, I
18 remember this distinctly, having to spend many hours in vaults
19 counting securities, bonds, for instance.
20 We then go into the records of the individual accounts. We
21 would review the governing document, whether it was a will or a
22 trust agreement or what have you. We would then go and we would
23 review the administration by that institution of those accounts
24 to see to it that the administration of those accounts agreed
25 with and were consistent with the governing documents and state
1881
1 law, if that was applicable, and certainly the principles that
2 govern trusts in general.
3 A report was then written, and that report was several
4 pages depending on -- and many, many pages in the larger banks
5 like Riggs and First National Bank of Maryland and those sorts
6 of places. That report would have basically a balance sheet on
7 the front, indicating how big the department was. A second page
8 would list any violations of law and any violations of fiduciary
9 principles. The rest of the report would then highlight those
10 problems with reference to the individual accounts, where those
11 problems had been discovered.
12 That report was then forwarded to the regional office. It
13 was signed by the representative in trust, who is the person in
14 charge of the examination. That report would then be filed with
15 the -- forwarded to the Richmond office, where it would be
16 reviewed by more senior and more experienced trust people, and
17 by the people who are in charge of the commercial side of the
18 bank, because the theory was that if there was a major default
19 in a trust account or in a trust department, that the
20 reparations for that would have to come out of the capital of
21 the bank, which would then threaten the solvency of the larger
22 bank. That's why that -- why we did trust exams.
23 And the reason that, back in the Kennedy administration,
24 why lawyers were doing this -- prior to that it was commercial
25 people who were doing it. But the reason that lawyers were
1882
1 doing this was that Comptroller Saxon felt that it was the
2 threat from the violations of the law rather than just the
3 commercial practices that was the real threat.
4 Q. If I can turn your attention to Plaintiffs' Exhibit 4285.
5 Mr. Fitzgerald, do you recognize this document?
6 A. Yes.
7 Q. Or this page, I guess?
8 A. That's the cover of my report.
9 Q. And if I can turn to page 13 of this document, which is the
10 first exhibit, Exhibit 1 to your report. Is this essentially a
11 synopsis of your work history?
12 A. Yes.
13 Q. And as you just described, your first position was with the
14 Office of Comptroller of the Currency. In very brief form, what
15 are the responsibilities of the OCC?
16 A. The OCC, the Office of the Comptroller of the Currency, the
17 Administrator of National Banks, which is its full title,
18 charter national banks and thereafter regulate those banks back
19 at that time through, primarily through on-site examinations.
20 The office was engaged in seeing to it that the banks
21 remained solvent, and when they were deemed to be insolvent they
22 closed the bank and, with the assistance of the FDIC, in most
23 cases were able to sell those insolvent banks to other banks.
24 We were also engaged -- the office itself was engaged -- am
25 I going too far or -- the office itself was engaged --
1883
1 THE COURT: Was that question addressed to me?
2 (Laughter)
3 It is a bit of a narrative. You can kind of bite off your
4 answers and make him ask you another question.
5 THE WITNESS: Thank you, Your Honor.
6 BY MR. HARPER:
7 Q. Mr. Fitzgerald, it mentions here that in 1965 you were
8 commissioned as a representative of trust. And briefly, what is
9 a representative of trust?
10 A. The representative in trust was the -- bank examination is
11 an apprentice process, and there were three levels, and if I
12 remember correctly there was an assistant in trust, which is
13 what I was originally, then an associate, and then a
14 representative. And the representatives were the most senior,
15 most experienced field examiners.
16 I became a representative in trust when I became the
17 principal assistant to the deputy comptroller of the currency
18 for trusts, who oversaw the whole trust examination process.
19 Q. In that position, what were some of your responsibilities?
20 THE COURT: Mr. Harper, I'm not sure we need all of
21 that. I've just reviewed his resume and I see that he was in
22 the Office of Special Trustee from 1996 until 2004.
23 THE WITNESS: That's correct.
24 THE COURT: Although I think the bank examiner part --
25 bank trust examiner part of this is interesting, it's not nearly
1884
1 so close to this case as his more recent experience. So I
2 wonder if you could kind of sneak up on that.
3 MR. HARPER: Fair enough, Your Honor.
4 BY MR. HARPER:
5 Q. If we could turn down to the bottom of this page.
6 Mr. Fitzgerald, this talks about when you joined the Department
7 of Interior, correct?
8 A. That's right.
9 Q. And you were in the Office of Special Trustee, and your
10 first position it says was a trust and policy officer. What
11 were your responsibilities in that office?
12 A. I was called down there to join that office because of my
13 background in trusts, and I reported to the deputy special
14 trustee for policy, and the primary focus of my responsibility,
15 what I was supposed to do, which flow out of the Trust Reform
16 Act, was to see to it and to help the Department to have written
17 and consistent policies, procedures, regulations, for the
18 administration of their trust responsibilities department-wide.
19 In doing that, one of the first things I did was to put
20 together a small group of people -- 10, 12 people, maybe -- from
21 different parts of the Department to review what policies and
22 principles then existed. What we found was, if you're
23 interested in what we found, was that OTFM had pretty good
24 policies and procedures, and they were continuing to develop
25 those. But in many of the other departments, there were few, if
1885
1 any, and many of them were local in nature in that they were not
2 integrated or comprehensive.
3 Q. And then you became in 2004 the director of the Office of
4 Trust Regulations Policies and Procedures?
5 A. Yes. That was several years later, because the review that
6 we were doing was really a failure. I had to write a memo to
7 one of the people there and said we need to do this differently,
8 because it was sort of like pushing a string.
9 But anyway, in '04 I guess it was, I was, apropos of the
10 reorganization that the Department did of the -- of both the BIA
11 and the special trustee's office, I became the director of the
12 Office of Trust Regulations Policies and Procedures, which was a
13 new office but which was an office that was grafted onto an
14 office that had existed for about 10 years.
15 Q. And very quickly, what was your principal duty as head of
16 that office?
17 A. We were supposed to assist and ensure that the various
18 offices within the Department that had anything to do with
19 trusts, with Indian trusts, had, as the act requires, written,
20 consistent, integrated policies and procedures.
21 Q. And when you say "the act," what act are you referring to?
22 A. I'm referring to the '94 act, the American Indian Trust
23 Fund Management Reform Act. I hope I got that right.
24 Q. Have you been qualified as an expert -- to testify as an
25 expert in prior proceedings other than in the Cobell litigation?
1886
1 A. Yes. I've testified in depositions any number of times
2 while I was in private practice, in commercial banking lawsuits,
3 and I then -- which I think is in my resume. I also testified
4 before the legislative -- I think it was the legislative
5 committee of the Rhode Island legislature, about the failure of
6 some small state-chartered depository institutions.
7 MR. HARPER: Your Honor, at this time Plaintiffs would
8 like to move that Mr. Fitzgerald be qualified as an expert on
9 trust standards, policies, procedures, and principles generally,
10 and the Department of the Interior's policies, procedures and
11 principles.
12 MR. STEMPLEWICZ: No objection.
13 THE COURT: All right.
14 BY MR. HARPER:
15 Q. Mr. Fitzgerald, during your tenure at the OCC when you were
16 reviewing bank trust departments, did you have occasion to
17 review accountings?
18 A. Yes.
19 Q. So are you familiar, then, with what is required in an
20 accounting?
21 A. Yes.
22 Q. In very general terms, could you give the Court a sense of
23 what is normally required in a fiduciary accounting?
24 A. What is normally required, expected in a fiduciary
25 accounting is a statement given to the beneficiary which lists
1887
1 and identifies all of the assets that are held in trust for that
2 particular beneficiary. That would include the money that's in
3 the account at that particular time, the securities or other
4 assets that produce those funds, and also any property that is
5 held in trust that doesn't produce income.
6 It was not uncommon, for instance -- it wasn't very common
7 but you often saw a trust would hold a valuable painting, for
8 instance. So you would see -- you would expect to see that that
9 was listed on the accounting that was given to the
10 beneficiaries.
11 The best place I think to look for what I did was the
12 accountings that had to be done for the common trust funds,
13 which were relatively new back then. And those common trust
14 funds by regulation were required to give a report listing all
15 of those things to all of the participants in the common trust
16 fund on a quarterly basis.
17 Q. If we can turn back to your expert report, Plaintiff's
18 Exhibit 4285, page -- second page of that. Near the final line
19 at the bottom -- this section is called "Question One, what is a
20 fiduciary accounting?" Your second exhibit is what you call the
21 internal general guidance. That's the title. Could you tell me
22 what that document, why you prepared that document?
23 A. Yes. In OTP, which is what we called the office that I
24 became the director of, what we were supposed to be doing was
25 reviewing the regulations, policies, procedures, that the
1888
1 program people would put together, and they would then ship it
2 to, send it to OTP. We would then review it for compliance with
3 fiduciary principles, with the statutes that govern this
4 particular, and the regulations that govern this particular
5 trust.
6 And if we found that those things passed muster, we were
7 then able to assure the special trustee that these things that
8 were coming forward were fiduciarily appropriate and that they
9 were to be -- able to work together as the statute required us.
10 And the staff down there, the staff was located in Albuquerque
11 and had been inherited from the prior office, which was
12 OTFM-centered really.
13 There were maybe 12 people on that staff when I got there.
14 I don't think there was anybody on that staff who had tenure
15 with the Department of over a year. So it was those people who
16 came to me and said how are we supposed to review these things?
17 And I said, all right, I will put together the internal general
18 guidelines so that they could refer to those things as they were
19 reviewing the documents that were to come to me. That's how
20 that --
21 Q. And at the time you were the principal policies and
22 procedures person at the Office of Special Trustee, correct?
23 A. I was, at that particular time, I was no longer the trust
24 policy officer. That title and office had been eliminated in
25 the organization. I was now the director of the Office of Trust
1889
1 Regulations, Policies and Procedures, which I think the function
2 was somewhat different.
3 Q. If I could turn to this internal guidance, I just have a
4 brief question about it. That's your Exhibit 2 referred to, and
5 you prepared this document?
6 A. Yes.
7 Q. For the reasons you just stated?
8 A. Yes.
9 Q. And it was -- it was intended to aid in the operation of
10 the Indian trust. Is that fair?
11 A. Yes.
12 Q. If we can turn to the sixth page of this document. And I
13 just have one question about No. 6 here. "Keep the Beneficiary
14 Informed." If you could just read that to yourself. I just
15 have one question on this point in your document.
16 A. Yes. I'm familiar with it.
17 Q. What is meant there by the fact that the records are trust
18 assets?
19 A. It is a standard principle of the operation of any trust
20 that the trustee must keep the beneficiaries informed, and the
21 reason that you keep a beneficiary informed is so that the
22 beneficiary is aware of the management of his property interests
23 that are held in trust, so that he feels or she or it feels that
24 the management is proper. And if you don't feel that it is
25 proper, you can then take whatever action is appropriate to see
1890
1 to it -- to raise the question about whether it is proper or
2 not, and then to allow the beneficiary to take action to see to
3 it it is proper and to prevent a breach of trust.
4 Therefore, the information, the data in the records, is an
5 asset that belongs to the trustee and it is valuable to the
6 trustee. And it seems to me this is sort of a general principle
7 that goes over into all other sorts of walks of life. If you
8 take your automobile, for instance, to be repaired by the
9 mechanic down the road, and he gives you a bill for $300 or
10 whatever it is, you will usually see on that bill, or you will
11 certainly ask, if you're smart enough, to say, okay, what did
12 you do for the $300? What did you fix? What kind of parts did
13 you add? So that if any of these things go wrong, you can go
14 back and see to it that they are fixed without paying for them
15 twice.
16 So in that sense, that information is valuable to the
17 beneficiary, and since it is of value it is an asset and should
18 be kept secure, like all other assets.
19 Q. If I can turn your attention back to your expert report on
20 the second page -- actually the third page. We're still on this
21 first question in your report, what is a fiduciary accounting.
22 And you discussed that briefly. Let me ask you, what is
23 required to be produced to the beneficiary in fiduciary
24 accounting?
25 MR. STEMPLEWICZ: Objection. Calls for a legal
1891
1 conclusion.
2 THE COURT: Calls for a what?
3 MR. STEMPLEWICZ: Legal conclusion.
4 THE COURT: What in his experience? Go ahead.
5 BY MR. HARPER:
6 Q. In your experience, Mr. Fitzgerald.
7 A. Repeat the question.
8 Q. What is required in the fiduciary accounting in your
9 experience?
10 A. To be included in --
11 Q. Precisely.
12 A. -- in the information that is given to the beneficiary. I
13 thought we --
14 THE COURT: So far you've told us about listing and
15 identifying assets held in trust, including money, securities,
16 and property.
17 THE WITNESS: Right.
18 THE COURT: What else?
19 THE WITNESS: The other thing that goes into there are
20 the transactions that the trustee has engaged in and the
21 proceeds, if any, or the losses that have resulted from those
22 transactions. And the amount of time that that accounting
23 should cover is from the date of the last accounting. So it is
24 with respect to the funds, I suppose, it would be the nature and
25 amount of the funds, the status of the funds, which means to me
1892
1 where do those funds come from.
2 And that's why you have to identify the underlying trust
3 asset, the property that's held in trust in which the
4 beneficiary has an equitable interest.
5 BY MR. HARPER:
6 Q. Ordinarily, what kind of records would a trustee have to
7 provide in the accounting?
8 A. The records that they would need -- the record that they
9 would need to provide would be a statement, a written statement,
10 very much like we would get, any of us get from our stock
11 brokers, very much like what the banks are required to produce
12 on a quarterly basis for their common trust funds.
13 That information is based on the data, the information that
14 the trustee keeps internally of the details of the management of
15 those trust assets.
16 Q. Is there any verification process that's generally needed
17 in your experience?
18 A. Verification process?
19 Q. Yes.
20 A. Well, of course the accounting is part of the verification
21 process, the statement that goes out to the beneficiaries. So
22 the beneficiary can say, yeah, that sounds right, or no, it
23 doesn't. So that is part of the verification process. There
24 are internal audits that go on all the time in institutions that
25 are trustees, and there should be audits that go on all the time
1893
1 among lawyers who are trustees, that there is a verification
2 process that the records that are being kept are accurate and
3 up-to-date and complete.
4 Q. In your experience, have you ever seen an accounting where
5 the source of the funds, the trust funds, has not been
6 identified?
7 A. No. I don't think I have.
8 Q. And in your experience where there is a fiduciary
9 accounting, if there is a lack of documentation, what is the
10 result of a lack of documentation?
11 A. The lack of documentation?
12 Q. The lack of documentation to support a particular
13 transaction.
14 A. You know, in my experience in banking, I really never saw
15 that. Running a trust is really not rocket science. It's
16 really a pretty reasonable and obvious type of thing to do as
17 far as the records are concerned.
18 As I understand it, the scholarship says that where there
19 are doubts about what the record -- lack of records or what the
20 records mean, the doubts are resolved in favor of the
21 beneficiary. And the reason for that is that the trustee is
22 expected to know everything about the trust and its operation.
23 They're the only ones who are required to keep records.
24 Q. I'd like to turn to your -- we've been talking about this
25 notion of what is a fiduciary accounting. I'd like to turn to
1894
1 your concluding paragraph on that and just have you read that to
2 yourself. The paragraph beginning "Therefore in my opinion."
3 (Witness reviewing document.)
4 Maybe you can just explain what you mean there.
5 A. Well, I think that's really what we were just talking
6 about. The trustee is the legal owner of the property that is
7 held in trust. He holds that or the trustee holds that for the
8 benefit of the beneficiary. So the beneficiary does not have
9 any responsibility for the maintenance of the property or the
10 maintenance of the records that relate to the property, but it
11 does have the benefit of the use of all of that property.
12 So the -- and the beneficiary is entitled to all the
13 information, complete and accurate information, about the
14 running of the trust. And if he doesn't, or the beneficiary
15 doesn't get that, then whatever he is given is not really a
16 fiduciary accounting.
17 Q. If we can then turn to question two here. And it talks
18 about whether or not the Secretary of Interior follows
19 traditional trust principles. If you can just sort of synopsize
20 your answer to that question.
21 MR. STEMPLEWICZ: Your Honor, I'm going to object to
22 bringing up common law principles, since common law claims in
23 this case have been dismissed by the Court.
24 MR. HARPER: Your Honor, the precedents in this case,
25 common law standards fill out the interstices of the duties
1895
1 applicable --
2 THE COURT: We're going to worry a lot about the law
3 later on, but let me hear the witness's answer to the question.
4 THE WITNESS: Would you restate the question?
5 BY MR. HARPER:
6 Q. Your second question here is about whether or not the
7 Secretary of Interior follows common law and traditional trust
8 principles to account to the individual Indian trust
9 beneficiaries, and I just wanted you to give a synopsis of your
10 answer.
11 A. When I was there at the Interior Department, I had the
12 opportunity to read a whole bunch of Indian trust cases, and all
13 of those cases looked for guidance, let's say, to the
14 restatement and to the other treatises on trust, Bogart and
15 Scott.
16 The Department under Secretary Babbitt put out an order
17 which cited to a letter that the Department had produced when
18 Solicitor Krulitz was there, which cited to a whole lot of those
19 cases, and indeed, that particular solicitor's opinion said, if
20 I remember the verbiage correctly, was this was a trust, this
21 Indian relationship was a trust, and that it was appropriate for
22 the operation of that trust to be guided to some extent by those
23 things -- by those principles that guide private trustees.
24 I found, however, that while there was some implication
25 that the Department does follow those principles, I came to
1896
1 realize that they don't. Indeed, we were told quite
2 specifically by a relatively senior BIA person in reviewing some
3 stuff that we were putting out, that reference to the
4 restatement and to Scott and Bogart was inconsistent with the
5 position that they were presenting in this particular case.
6 Q. And that senior official, could you identify that senior
7 official?
8 A. Nancy Jemison.
9 Q. If I can turn to Exhibit 6 of the expert report. Is this
10 the e-mail you were referring to?
11 A. Yes, it is.
12 Q. And you were a recipient of this e-mail?
13 A. Yes. There under the cc.
14 Q. What was your reaction to this e-mail?
15 A. I wrote a memo to my immediate supervisor, the deputy
16 special trustee for policy, John Miller, and said that I didn't
17 see that that was a particularly good way to go, that the
18 litigation has to do with what had gone on before, and that I
19 think the position is inconsistent with what I understood the
20 case law to be with respect to Indian trusts.
21 Q. Do you believe that --
22 A. However, we did stop making reference to the restatement,
23 but we did continue to reference the general principles as I
24 understood them.
25 Q. Did this position have any implications for decisions
1897
1 regarding the historical accounting and how to perform it?
2 A. I don't know that directly, except that I have now come to
3 understand that the position is -- and I understand this back in
4 '03 when the first historical plan was presented to the Court,
5 that what the Department wished to do was to report essentially
6 on the monies, the funds, if you will, that had actually been
7 posted to the various accounts.
8 That became even more clear to me after Mr. Swimmer became
9 the special trustee, because he said on at least one occasion
10 that the prior judge in this particular case had turned the case
11 from a funds case to an asset case. And we said it always was.
12 At another time in February out in Albuquerque, he restated
13 that and said we only have to report on funds because that's
14 what the statute says and -- meaning the '94 Act -- and we don't
15 have to do anything about non-income-producing assets. Both I
16 and Donna Erwin, who was the head of OTFM, disagreed with him.
17 And if I remember correctly -- yeah, if I remember
18 correctly, Donna Erwin actually asked me back in '03 to review
19 what the Department was going to put together, and I verbally
20 said to her, as acting special trustee, don't sign on to this,
21 because if you do you will be trapped into saying, okay --
22 MR. STEMPLEWICZ: Objection on basis of hearsay,
23 Your Honor.
24 THE COURT: Well, I'm going to sustain the objection
25 not because it's hearsay but because basically what the witness
1898
1 is now recounting is internal disputes and debates within the
2 Department of the Interior which -- I'm more interested in the
3 outcome than I am the arguments that were used back and forth
4 within the Department of the Interior. I don't have any sense
5 that there was anything but good-faith discussion and debate
6 going on. So, people don't make admissions if they make
7 arguments within the hallowed halls of the Department of the
8 Interior.
9 Let's get on to what they did, what they decided, and what
10 this witness believes that it complies with or doesn't comply
11 with. But the hallway conversations, meetings, conferences that
12 led up to this policy, I think are not probative of anything
13 that I'm going to rule on.
14 BY MR. HARPER:
15 Q. Mr. Fitzgerald, have you reviewed the Government's 2007
16 accounting plan?
17 A. Yes.
18 Q. Do you think that, if implemented fully, it would discharge
19 their duty to account?
20 A. No.
21 Q. If we can turn to Question Three on your expert report,
22 page 5 at the bottom, this is in essence what this part of your
23 report evaluates?
24 A. Yes.
25 Q. If we can turn to the next page, page 6. The heading
1899
1 "Exclusions of beneficiaries and accounts." You talk about the
2 accounts that are closed prior to 1994.
3 A. That I think was probably inarticulately put, because going
4 back and looking at that, it wasn't those closed prior to '94,
5 but I think it was the transactions that took place before '94.
6 I think that's what that was.
7 Q. With respect to these accounts, do you think it's
8 appropriate to exclude them from the accounting?
9 A. No, because the Department's fiduciary responsibilities
10 with respect to these beneficiaries and the assets held in trust
11 predates the Reform Act, which I think that that October 25th
12 relates to -- not I think, I know it relates to. The Reform Act
13 didn't create the trust obligations. Those were already there.
14 Q. If we go down further to the next section here, it's called
15 "Direct pay."
16 THE COURT: Before you leave that, Mr. Harper, let's
17 straighten out with the witness and with me whether he meant
18 accounts closed before October 25, 1994, or transactions. I
19 think accounts is what he did mean, and I think that's what I
20 understand it to be.
21 MR. HARPER: That's my understanding, Your Honor, as
22 well.
23 BY MR. HARPER:
24 Q. Is it accounts prior to 1994 or transactions, do you
25 understand?
1900
1 A. Yeah. I guess it is the accounts, right, because -- yeah.
2 THE COURT: Okay. I think we're all on the same page
3 then. Proceed.
4 BY MR. HARPER:
5 Q. If we can turn your attention, Mr. Fitzgerald, to the
6 section entitled "Direct pay." Do you know what direct pay is?
7 A. Yes. I think I do. That is a situation where a lessee or
8 a buyer or purchaser of trust assets has undertaken to pay
9 either the rent or the cost of the asset being acquired directly
10 to the beneficiary.
11 Q. If I can turn your attention to the following page of this
12 section, the two highlighted areas here. See first, "That
13 failure to account for direct pay funds is inconsistent with the
14 Department's trust obligations to complete accounting of all
15 funds."
16 And then second highlighted area, it says "These funds
17 derive the trust character not because they are deposited in a
18 special deposit but because they are proceeds from the
19 trustees" -- excuse me, "a specific account," I misread that --
20 "but because they are proceeds from the trustee's management of
21 Indian trust assets." This second, could you explain a little
22 bit the second highlighted part there?
23 A. Yes. I'd heard when I was over there that some people felt
24 that the funds, because they never came into the hands of the
25 trustee, were therefore not trust funds. But of course, the
1901
1 assets that produce those funds are trust funds, and therefore
2 these proceeds are also trust funds. And I feel that way
3 because the trustee has an obligation to see to it, for
4 instance, that the lease, if that's what's producing the funds,
5 is properly operating.
6 So these to me are trust funds, and I believe the
7 government has usually considered that they were trust funds for
8 which the government was responsible. Therefore, they should be
9 accounted for.
10 Q. In your experience with respect to other trusts, are there
11 times when beneficiaries receive proceeds directly from a source
12 other than the trustee?
13 A. Yes. Oh, yes. It is not, I suspect, uncommon for
14 businesses, for instance, that are run within a trust, to
15 produce funds for the beneficiary. As a matter of fact, I
16 remember one that -- I was over here at Riggs, and a fellow up
17 on Georgia Avenue died. The major business, his family business
18 was a liquor store. And I was over at Riggs and I said well,
19 how do you run that? Do you send one of your vice presidents in
20 there to run the liquor store?
21 He said of course not. We go over there and we see to it
22 that the business is being run properly, that the place is being
23 stocked and that there's no fraud going on and all that sort of
24 stuff. But those funds went directly to the family. It didn't
25 go through Riggs, because it was a family business. But because
1902
1 the business was held in trust, it was up to Riggs as the
2 trustee to see to it that it was run properly and that the
3 proceeds were proper proceeds, reasonable proceeds.
4 Q. So would Riggs still have in that instance an accounting
5 duty to those beneficiaries?
6 A. I believe they would, yes.
7 Q. If we can turn down to the next section. Do you understand
8 whether or not the -- will the government pursuant to their 2007
9 Plan provide an accounting for deceased beneficiaries?
10 A. I understand they do not intend to do that.
11 Q. And do you think that's appropriate in your experience?
12 A. I think that's inappropriate. That's not the way I
13 understand a trustee would act anyplace else.
14 Q. In some circumstances, through the probate process in the
15 private sector, are there accountings provided to the
16 beneficiary?
17 A. Oh, yes. If an estate goes before a probate court or
18 official, and part of the estate consists of a trust, it is
19 usual, normal for the trustee to produce an accounting to the
20 probate official, so that the probate official can review the
21 administration of the trust and so that the heirs, if there are
22 any that have an interest in the property that is coming out of
23 that trust, can also look at that.
24 That again is the function of an accounting, as far as I'm
25 concerned. It's what you would say, a review, calling people to
1903
1 account, a second-guessing if you will.
2 Q. Do you understand in the Indian probate process, do they
3 perform that type of an accounting?
4 MR. STEMPLEWICZ: Objection. Lack of foundation.
5 BY MR. HARPER:
6 Q. Do you have an understanding, Mr. Fitzgerald, of how the
7 Indian probate process works?
8 A. A general understanding, because that was one of the things
9 that we were trying to address in the Office of the Special
10 Trustee.
11 Q. Based on your understanding, is there any accounting
12 provided to the beneficiaries during that process?
13 A. As I understand it, BIA will provide information about the
14 trust to the probate officials. And as I understand it, the
15 probate officials will accept that information without question.
16 It's also interesting to me that both the trustee and the
17 probate people are within the body that is the trustee, so it is
18 one part of the trustee reporting to another part of the
19 trustee. So it's the trustee reporting to itself.
20 Q. Do you understand that there is or is not an accounting
21 provided?
22 A. I would not consider that an accounting, because it does
23 not put any beneficiary in the position to raise questions about
24 the administration of the trust.
25 Q. So that would be a distinction with how probates sometimes
1904
1 work in the private sector when accountings are provided.
2 A. That's right.
3 Q. If we can turn to the next section on the next page.
4 Accounts Opened Prior to 1938.
5 A. Yes.
6 Q. And this deals with the fact that the transactions are not
7 being accounted for?
8 A. Yes. This is what I was getting mixed up with with the
9 other one when I was talking about that, yeah. This is where
10 it's not the account, it's the transactions.
11 Q. So your understanding of the 2007 Plan is that they are not
12 intending to provide an accounting for transactions that predate
13 1938?
14 A. That's right.
15 Q. And do you think --
16 A. And obviously as I wrote this, this is, as I said before,
17 inartfully done, I think, but this goes to the transactions,
18 yes.
19 Q. And what is your view of that?
20 A. Well, again, it is a situation where the beneficiary is
21 getting less information through this accounting, as they call
22 it, than would be usual in any other trust context.
23 Q. Normally, for what period of time is an accounting
24 provided?
25 A. Accounting is provided from the date of the last
1905
1 accounting.
2 Q. And where there's never been an accounting provided, what
3 is the -- when does the accounting begin?
4 A. Usually go back to the date when the trustee had
5 responsibility for the trust property, back to the beginning.
6 Q. If we can go down to the next heading, which is Compacting
7 and Contracting Tribes, will the 2007 Plan as you understand it
8 from your review provide accounting for assets and funds held in
9 trust by the United States but managed through compacts or
10 contracts by tribes?
11 A. As I understand it, there is to be no accounting for those
12 funds.
13 Q. And in your view, in your experience, can you provide a
14 fiduciary accounting without accounting for those assets and
15 funds?
16 A. You can't, it seems to me, because those assets that are
17 being managed or administered, whatever word you want to use, by
18 an agent or a contractor, which these compacting and contracting
19 tribes are, are acting on behalf of the trustee. And the
20 trustee cannot escape its responsibility for the actions of
21 their agents, essentially.
22 And we recite to the Leshy memo in there that -- well, let
23 me see. Yeah. The Leshy memo to Ken Rossman, "The fact that a
24 tribe takes over federal duties by entering into one or more
25 contracts or compacts does not extinguish the federal trust
1906
1 responsibility." I was pleased to see that, because that's my
2 understanding of what general trust practices would require.
3 Q. In the private sector, are there times when there is an
4 agent or a contractor of a trustee that manages the trust
5 assets?
6 A. I wouldn't call it managing the trust assets, but there
7 are -- because the management of the trust assets always
8 remains -- or the responsibility for the management of the trust
9 assets always remains with the trustee.
10 There are innumerable instances, and you see them almost
11 every place in the wider trust world, where a trustee will hire
12 outside people to keep the records, to execute securities
13 transactions, to collect the funds and pay the funds out, all of
14 that sort of thing. But everybody understands that those are
15 still the responsibility of the trustee for which the trustee is
16 responsible and liable if they go wrong.
17 Q. Would it be consistent, then, with general trust principles
18 to exclude the transactions that were administered by compacting
19 and contracting tribes?
20 A. Not in my view, no.
21 Q. If we can turn our attention to the following page, page 9
22 of your expert report. And there's a section called Additional
23 Exclusions, and I think you talked briefly about a number of
24 other parts of the 2007 Plan. One of those, in the top --
25 second sentence, says -- talking about the plan, "It limits its
1907
1 accounting only to monies actually collected and recorded in the
2 individual accounts." Do you see that?
3 A. Yes.
4 Q. Is that your understanding?
5 A. That's my understanding.
6 Q. And is that appropriate if one wants to complete a
7 fiduciary accounting?
8 A. No. Again, where records are kept accurately and
9 completely and up-to-date, you would see very, very few monies
10 that were collected but not recorded. Here that is not the
11 case. When I first got there, there was -- I can't remember how
12 many millions it was, but it was quite large. I understand
13 they're working that number down. But there's still, as I
14 understand it, a large amount of money that the trustee does not
15 really know where that money is to go, and needs to do a great
16 deal of research to see to it that it gets to where it's
17 supposed to go, to the proper account, to the proper
18 beneficiary.
19 So here you've got assets, funds, that have been collected
20 but haven't been attributed to the right account. They should
21 be accounted for, I believe. It'd be interesting to see how you
22 would do that, however. It might be with an asterisk at the
23 bottom of the statement, at the bottom of the beneficiary
24 statement, which says we've got X number of funds, some of which
25 you may be entitled to, but I don't think I've ever seen that
1908
1 anyplace.
2 Q. Generally speaking, would in your experience a trustee have
3 to account for monies owed to beneficiaries?
4 A. Absolutely.
5 Q. And what about monies -- so monies owed but also monies
6 actually collected.
7 A. Oh, yes. Right. Here they just don't know to whom it's
8 owed, and they should.
9 Q. During your review of the systems at the Department of the
10 Interior, do you know if they have an accounts receivable
11 system?
12 A. As I understand it, they do not. I asked that question
13 when I was back there, and there is no accounts receivable.
14 Q. And you were there till 2005; is that correct?
15 A. Yes.
16 Q. And what would be the problem with not having that kind of
17 a system in place?
18 A. As I understand it, there is no general record of the
19 things that are owed to the accounts. There is no accounts
20 receivable. So except going to the individual accounts, you
21 don't know when the money is owed, as I understand it, and
22 you're largely, therefore, dependent on the honor of the lessee,
23 if you will, to pay the money in, and you're also relying on the
24 accuracy of the local records, the individual records.
25 Q. Turning to the next item on there, have you heard of a --
1909
1 do you know what a -- what's commonly referred to as a Youpee
2 interest?
3 A. Yes. I learned about those when I was at Interior. As I
4 understand it, and I don't know the year, but Congress passed a
5 law apropos of I guess the -- correct me here, the Youpee
6 Indians or was Youpee the plaintiff?
7 Q. I believe he was an individual plaintiff, for the record.
8 A. An individual plaintiff. I don't remember the tribe. The
9 upshot of the statute was that there was a large amount of land
10 which was not producing very much money, if any, and Congress
11 said, well, let's escheat that land to the tribe, whatever tribe
12 it was.
13 Youpee said -- the plaintiffs said you've taken my land
14 unconstitutionally. And the Supreme Court agreed with that. So
15 there was then a project, I guess, going on about how do you get
16 that land into its proper hands.
17 Q. Do you understand that the 2007 Plan will or will not
18 account for funds generated from Youpee interests?
19 A. That's as I understand it, yes.
20 Q. Excuse me, what is your understanding?
21 A. That they will not account for those funds.
22 Q. And do you think that's appropriate in light of --
23 A. No.
24 Q. In your experience, is it appropriate -- does a fiduciary
25 accounting, does it require the identification of the assets, of
1910
1 the nonfund assets of the trust?
2 A. The nonfund assets of the trust?
3 Q. The nonmonetary assets of the trust.
4 A. Yes. Again, it is a basic principle that when a trustee
5 receives something in trust, whether it is income-producing or
6 not, that the records identify that asset. I used to talk about
7 if you're holding a valuable painting in trust and it's hanging
8 over at the National Gallery, what the accounting should show
9 each time is that that is an asset of the trust.
10 Why is that? It is easy, particularly in an institutional
11 situation, for the records to become incomplete, which then
12 means that the memory of the trustee becomes incomplete, and the
13 information being sent to the beneficiary becomes incomplete.
14 And that can happen in a trust that goes over many, many
15 generations.
16 So it is important for those assets, the
17 non-income-producing ones, to be listed all the time, to inform
18 the beneficiary that they hold it in trust, and to really remind
19 the trustee that that's what they have in trust. As a banker,
20 we used to say if it doesn't exist in the records, it doesn't
21 exist.
22 Q. Looking at your concluding paragraph to this section, it
23 says -- well, it's up on the screen. I won't read it, but you
24 can see that there. Two questions on this. First, do you
25 believe in light of these exclusions the 2007 Plan, if fully
1911
1 implemented, will constitute a fiduciary accounting?
2 A. No, because it doesn't give all of the information to which
3 the beneficiary is entitled.
4 Q. And second, given your experience at the Department of the
5 Interior and in light of what you know about the state of the
6 policies and procedures and records, do you believe that the
7 Department of the Interior can perform a fiduciary accounting?
8 A. I don't think so. We know that the records are incomplete
9 to some extent. What I understand is that as time has gone on,
10 the records are becoming more complete, but they're still
11 incomplete to some extent. And the fact that the Department has
12 put forward this idea that their only responsibility is for the
13 funds actually collected, suggests to me that what they want to
14 do is what they think they can do, as opposed to what they
15 should do.
16 Q. I'd like to turn your attention for a moment to Exhibit 19
17 of your expert report.
18 A. Oh, yes.
19 Q. Do you recognize this document?
20 A. I do.
21 Q. And who is Mr. Thomas Slonaker?
22 A. He was the special trustee in July of '02.
23 Q. Did Mr. Slonaker ever deliver this testimony?
24 A. I don't think he did.
25 Q. Do you know why not?
1912
1 A. He was advised --
2 MR. STEMPLEWICZ: Objection, Your Honor. Calls for
3 speculation.
4 THE COURT: What's your basis of -- how do you know
5 what he was advised of?
6 THE WITNESS: He told me what he was advised of.
7 THE COURT: And who is -- where is Thomas Slonaker
8 now?
9 MR. HARPER: He was on our witness list, Your Honor,
10 but I think he's in India.
11 THE COURT: I think I'll sustain the hearsay
12 objection.
13 BY MR. HARPER:
14 Q. If we could turn back to the front of your expert report to
15 page 10. And Question Four is "Is it justified and" -- "Is it
16 unjustified and inconsistent with fiduciary principles for the
17 government to bear the costs of the accounting for the IIM
18 trust?" And you say the answer to this question is no. And why
19 do you say that?
20 A. I believe that the government as a trustee, as a fiduciary,
21 owes the beneficiaries a complete and accurate accounting
22 statement.
23 MR. STEMPLEWICZ: Your Honor, I'm going to object on
24 the basis of relevance.
25 THE COURT: Sustained. Sustained.
1913
1 MR. HARPER: Your Honor, I have no further questions
2 for this witness. Thank you, Mr. Fitzgerald, for your
3 testimony.
4 THE COURT: Cross-examine?
5 CROSS-EXAMINATION
6 BY MR. STEMPLEWICZ:
7 Q. Good afternoon, Mr. Fitzgerald.
8 A. Good afternoon. Nice to see you again.
9 Q. Nice to see you too. Deja vu all over again. Just a
10 couple of questions about your period of time at the OCC.
11 A. Yes.
12 Q. You mentioned your concern there was about the
13 administration of a trust through the trust department having
14 the potential to bring down the bank.
15 A. That's right.
16 Q. And why was that an issue?
17 A. Why was it an issue?
18 Q. Right.
19 A. The comptroller was concerned as a policy matter that the
20 office be fully aware of all of the risks that might affect the
21 solvency of a particular institution. Prior to Mr. Saxon being
22 there, the examination of the trust departments was conducted by
23 examiners who were experienced in the commercial side of the
24 bank and really didn't have any knowledge or experience with
25 trusts or trust principles or trust law.
1914
1 Q. Well, that historical perspective is nice, but
2 fundamentally what was the problem with a bank going under?
3 A. If a --
4 Q. The depositors wouldn't get their money, correct?
5 A. Yes --
6 MR. HARPER: Objection, Your Honor. Could he let the
7 witness finish his answer.
8 THE COURT: If he thinks it's a nonresponsive
9 question, he can -- I think he appropriately interrupted. I'll
10 overrule the objection. Ask your question again,
11 Mr. Stemplewicz.
12 BY MR. STEMPLEWICZ:
13 Q. The problem with the bank going under essentially is that
14 the depositors would lose their money, correct?
15 A. The depositors would lose their money. That was the first
16 thing and most important thing, but the failure of banks,
17 particularly large banks, impacts the whole system. And we were
18 concerned about that.
19 Q. If the trustee in the kinds of trusts you were looking at
20 back then were to lose all the money of the beneficiary, where
21 did the beneficiary have to look for recourse?
22 A. To the trustee.
23 Q. The trustee's insolvent.
24 A. Yes, that's exactly true, and they would probably lose all
25 of their money because the FDIC didn't insure any of that.
1915
1 Q. What was the extent of FDIC insurance at that time, do you
2 remember?
3 A. I think it was a hundred thousand dollars per account.
4 Q. In the '80s?
5 A. Savings account.
6 Q. In the '80s?
7 A. What did I say, a hundred thousand dollars?
8 Q. Yes.
9 A. No, I didn't mean a hundred thousand dollars. Thank you
10 for correcting me. A thousand dollars.
11 Q. Now, also, while you were at the OCC, were you an associate
12 of Mr. Homan's, who was here before?
13 A. Mr. Homan, I met Mr. Homan when Mr. Homan came to
14 Washington. I think I preceded him in the Washington office,
15 but whenever he came to Washington, I met him then. But he was
16 on the commercial side rather than the trust side.
17 Q. And also Mr. Miller whom you mentioned is the deputy
18 special trustee --
19 A. That's right. He was in the law department when I was in
20 the law department.
21 Q. And Mr. Gingold was there at the time?
22 A. That's true.
23 Q. You indicated that you had provided some internal guidance
24 to the Department of the Interior regarding doing accountings
25 for Indian trust beneficiaries. Does that refer to current
1916
1 accounting, providing information currently or to the historical
2 accounting?
3 A. As I remember it, there was -- and I can't remember the
4 year, but it was relatively early on. The Department wanted to
5 put out -- and I think it eventually did -- put out a Federal
6 Register notice to basically Indian country, about what do you
7 want in an accounting. And there were meetings about what that
8 accounting should look like.
9 The special trustee, and I was part of that, said that the
10 accounting, to be an accounting that we felt was fiduciarily
11 appropriate, would have to go back to the very beginning, or
12 else an accounting couldn't be done as fiduciary people
13 understand it.
14 Q. Now, obviously, instituting policies and procedures in the
15 1990s could not be retroactively applied to the early part of
16 the century, the middle or any time prior to that, correct?
17 A. I didn't understand the very beginning of your question.
18 Q. Right. If you were trying to develop policies and
19 procedures in 1996 or '97 or that era, obviously they wouldn't
20 pertain to the policies and practices that the BIA followed in
21 administering the IIM accounts in the past.
22 A. I'm not sure I understand that.
23 Q. I mean, they couldn't be retroactively instituted. They
24 did what they did, correct?
25 A. They did what they did, but in order to have a current
1917
1 accounting, you need to have confidence that the starting
2 balance of whatever current accounts are there are appropriate
3 and are accurate, and that relies on the accountings that should
4 have been done, and therefore, if they weren't done, you should
5 do them now.
6 Q. Okay. Over the course of many years, the administration of
7 the individual Indian monies accounts, day to day, year to year,
8 administration of the accounts was conducted at the agency
9 level, correct?
10 A. That's as I understand it, yes.
11 Q. Did you, in forming your opinions or instituting your
12 policies, did you go back to the field agencies and talk with
13 any of the employees about their work?
14 A. I did not personally, no.
15 Q. So you weren't familiar with the kind of knowledge that BIA
16 on-the-ground employees doing this work had with the accounts,
17 with their constituents, the kind of familiarity they had with
18 the problems of the account holders and that sort of thing?
19 A. As I was there, I became more aware of what was going on in
20 the different offices, and what struck me was that there was
21 very little understanding about what a trust really was and what
22 sort of principles would apply to it. I did know that in many
23 cases the people in those regional offices knew the
24 beneficiaries quite well, but that's a different question from
25 about whether they appropriately managed the assets that they
1918
1 were supposed to manage.
2 Q. Did you actually interview BIA employees who were doing
3 this work?
4 A. I did indirectly through the training courses that we had
5 put together. Not indirectly, but I did interview and have
6 interaction with a number of those people in the training course
7 situation.
8 Q. Did you interview IIM account holders about their
9 satisfaction or lack of satisfaction with how their accounts
10 were being administered?
11 A. Many of those people who work at Interior are IIM account
12 holders, and of course as you know, we also had an advisory
13 board, and those people were IIM account holders outside of DOI.
14 So yeah.
15 Q. And Ms. Cobell was on that board?
16 A. Yes, she was.
17 Q. How many account documents, documents used in the
18 administration of the IIM accounts did you review in determining
19 the state of the documentation to do the historical accounting?
20 A. I don't think I personally reviewed any of those. I relied
21 on the information that was coming to us from other sources
22 about the collection of and the -- well, the availability and
23 the collection of and the condition of the records at that
24 particular time.
25 Q. Now, on the subject of trust documents, would
1919
1 correspondence and memos and things like that that go back and
2 forth within the agency, in the administration of the IIM
3 accounts, would they be trust documents?
4 A. If they have to do with trust administration, yes.
5 Q. And you've testified that trust documents are trust assets.
6 A. That's right.
7 Q. Yet many of them are produced from your personal files in
8 this case.
9 A. Yes, but none of those have anything to do with individual
10 accounts.
11 Q. Let's talk about the individual Indian trust. How does
12 that compare with the tribal trust in terms of the beneficiary
13 composition? I mean, individual Indian trust is not an
14 aggregate trust, is it? It's a one-on-one. It's an account
15 holder by account holder trust?
16 A. The individuals -- yes. Right.
17 Q. It's really hundreds of thousands of trusts.
18 A. That's right. Or hundreds of thousands of trust accounts,
19 yes.
20 Q. But also hundreds of thousands of trusts. There's not one
21 unitary individual Indian trust.
22 A. Oh, I see what you're saying. Yes, I would agree with
23 that.
24 Q. So no single IIM beneficiary would necessarily have an
25 interest or a right to demand an accounting of the whole
1920
1 individual Indian trust.
2 A. They have, the individual has -- and I guess I would agree
3 with that. He does have, the individual Indian does have a
4 right to an accounting for his account, or her account as the
5 case may be.
6 Q. And what sort of an accounting is the common law right to
7 an accounting? Where does that come from? How does that
8 accounting get generated? What does it start with? Doesn't it
9 start with a request of the account holder?
10 A. It can, but there is a general obligation to keep the
11 beneficiary informed, and indeed for the trustee to remain
12 informed about the beneficiary so that the trustee can act in
13 the best interest of that particular beneficiary.
14 Q. But in a shorthand way, I think you previously described
15 the accounting under common law as an on-request right.
16 A. It can be on request, but again, I say if the trustee wants
17 to assure that it's doing a good job, it would to me be
18 proactive in producing those accountings.
19 Q. Now, the type of accounting you're referring to under the
20 common law, the common law is the default form of an accounting,
21 correct? In other words, if the trust instrument itself doesn't
22 provide for direction to the trustee as to how to provide the
23 accounting, then the law would look to the common law.
24 A. Yes. Or Scott or Bogart, the scholarship in the area.
25 Yeah.
1921
1 Q. You've testified and your opinion covers the scope of the
2 historical accounting under the 2007 Plan. But I did not see
3 any mention or hear any in your testimony, didn't see in your
4 report or hear in your testimony anything regarding Section
5 102(a) of the 1994 Act, which is what this is about.
6 A. 102 --
7 MR. HARPER: Objection, Your Honor. There's no
8 foundation that that's what this is about. There's a dispute on
9 that specific question here.
10 MR. STEMPLEWICZ: Well, the fact is --
11 THE COURT: Extract the words "that's what this is
12 about" from the question and ask it again.
13 BY MR. STEMPLEWICZ:
14 Q. It is a fact that you did not quote Section 102(a) of the
15 1994 Act in your report?
16 A. Tell me what 102(a) is, if you would.
17 Q. Well, that's the --
18 THE COURT: I think it's probably an answer to his
19 question. If he doesn't know what it is, it's not in his
20 report.
21 THE WITNESS: Well, it's been two years since I've
22 looked at that statute, so if you really want an answer to the
23 question, whether I dealt with it or not without referring to
24 102 --
25 THE COURT: It was a rhetorical question. He knows
1922
1 it's not in your report. Ask the next question,
2 Mr. Stemplewicz.
3 BY MR. STEMPLEWICZ:
4 Q. With regard to the question of statistical sampling, your
5 opinion is that statistical sampling is inappropriate?
6 A. Inappropriate for an accounting, yes.
7 Q. And have you read what the Court of Appeals has written in
8 this case about that subject?
9 A. I am aware of what they said.
10 Q. You disagree with that.
11 A. I would say that I would have approached it differently.
12 Q. Direct pay. To your knowledge, direct pay money does not
13 go through IIM accounts, correct?
14 A. That's as I understand it.
15 Q. Assuming that to account for direct pay, the Department of
16 the Interior would have to institute some sort of administrative
17 controls that would enable them to identify payments and verify
18 them and that sort of thing, and those administrative controls
19 were to slow down the receipt or the payment, the ultimate
20 receipt by the beneficiary, would that be something do you think
21 the beneficiaries might have some concerns about?
22 A. I don't see why it would necessarily slow down anything.
23 Q. I'm just asking you --
24 MR. HARPER: Objection, Your Honor. Calls for
25 speculation. This witness doesn't know --
1923
1 THE COURT: Sustained.
2 BY MR. STEMPLEWICZ:
3 Q. You testified and your report I think indicates that no
4 deceased beneficiaries will receive an accounting. Were you
5 intending to include beneficiaries who died after October 25,
6 1994?
7 A. Yeah. Yes, I suppose so. I haven't really considered that
8 particular question, but yes. Any deceased beneficiary who
9 hasn't had an accounting should have an accounting.
10 Q. If you were to find out that the scope of the historical
11 accounting, the population of accounts from which the accounting
12 is done would include accounts of beneficiaries who died after
13 October 1994, would that affect your opinion any?
14 A. That it would include those?
15 Q. Yes.
16 A. I would conclude that if the Department is giving an
17 accounting to the -- apropos of the beneficiaries who have died,
18 that that would be consistent with fiduciary practice.
19 Q. And would the same hold true if the population of accounts
20 in the 2007 Plan included estate accounts that were open as of
21 October 25, 1994?
22 A. I hope I understand what you're asking me. This would be
23 for accounts for estates?
24 Q. Yeah. A deceased account holder, the funds from the IIM
25 account are now in an estate IIM account, and that account is
1924
1 still open as of October 25, 1994.
2 A. And in probate I take it?
3 Q. Yes.
4 A. And the Department will do an accounting for those?
5 Q. Assume that's the case.
6 A. Assuming that's the case, that is consistent with, as I
7 understand it, fiduciary principles.
8 Q. You indicated that BIA does present trust asset information
9 to the probate official?
10 A. That's as I understand it, yes.
11 Q. But that the information does not constitute in your
12 opinion an accounting.
13 A. As I understand it, yes, because no questions are asked
14 about it; as I understand it, it is accepted by the probate
15 people on its face.
16 Q. Well, what about the beneficiary? Does the beneficiary
17 have an opportunity then to make the common law on-request right
18 for an accounting?
19 A. Perhaps if they know they have that right, but --
20 Q. How does any beneficiary know? If it's an on-request
21 right, how does any beneficiary know they have a right to an
22 accounting or ever get an accounting?
23 A. It would seem to me that that would be something that the
24 trustee should inform the beneficiary of, that he does have the
25 right to an accounting and has a right to raise questions about
1925
1 the accounting. That falls under the rubric of keeping the
2 beneficiary informed.
3 Q. Turning to the issue of compacting and contracting tribes,
4 is it your understanding that these tribes that do the
5 compacting and contracting are considered to be sovereign
6 nations?
7 A. Yes. I assume they are sovereign nations. They are
8 considered to be -- recognized tribes are considered to be
9 sovereign nations.
10 Q. And is it also your understanding that the compacting and
11 contracting is part of the U.S. policy to promote
12 self-governance by the tribes?
13 A. I understand that also. Indeed, I think there's a letter
14 from John Miller to Mr. Sinclair on this very point in my
15 exhibits, and that letter, if I remember correctly, recites to
16 those.
17 Q. In your experience in the private sector, does that
18 situation have any analogue in the private sector, where a
19 trustee delegates to a sovereign nation pursuant to a national
20 policy?
21 A. In the trust area, not that I am aware of. However, in the
22 commercial banking area, there are similar sorts of situations.
23 When I was back at the Comptroller of the Currency, for
24 instance, there was a situation where some foreign nationals who
25 were part of the royal family of some sovereign nation wanted a
1926
1 bank charter, and they wouldn't give us all of the information
2 that we requested, standing behind their sovereign status. And
3 I can't remember whether we got that information or whether the
4 application was withdrawn.
5 But here the trust information is -- are trustee
6 information documents which have been given to a sovereign
7 nation as an agent of the trustee.
8 Q. In regard to missing documents, could you explain again
9 this idea of -- you think the concept applies to the government
10 like it does in the private sector, that if you can't prove the
11 transaction, then the trustee is liable?
12 A. You need to explain that to me a little bit better than
13 that.
14 Q. What was exactly your testimony in regard to the inability
15 to prove up a transaction in the private sector on the part of a
16 trustee due to lack of documentation?
17 A. If there's a lack of documentation, and this again is the
18 general trust principle, and there are any doubts raised about
19 not only the lack of documentation but documentation that is not
20 clear, that any doubts are resolved in favor of the beneficiary.
21 And that's standard trust principles.
22 Q. And the whole discussion of that issue as I understand it
23 is to enlighten the Court about what happens in the private
24 sector, but not necessarily to say that's what would happen
25 here.
1927
1 A. No. I don't agree with that. As I understand it, the
2 government is a trustee. The courts have said the government is
3 a trustee. That the principles that apply to private trustees
4 can be the guidance for the actions of the government as
5 trustee, and I rely to a certain extent on that of what Mitchell
6 said and particularly what the dissenting judges in Mitchell
7 said, which was very, very interesting, it seemed to me.
8 So this is a fiduciary obligation. I believe that the
9 congress knew exactly what it was doing. The government knew
10 exactly what it was doing when these trusts were set up. In
11 prior generations I believe there was a good deal better
12 knowledge about what a trust is and what it involves than today.
13 Q. Well, wouldn't that concept of having to pay if you've lost
14 the documents through negligence be a form of absolute
15 liability?
16 A. It would seem to me that it could be, but what I would
17 rather characterize it as, the admonition to keep good records
18 so that you don't lose them.
19 Q. Right. But in your analysis have you considered the
20 concept of absolute liability as applied to the United States?
21 A. As I understand it, the United States has been held liable
22 for mismanagement of the trust in other cases.
23 Q. On a showing of liability, correct, not on an absolute
24 liability theory?
25 A. On a showing of liability, I suppose. I'm not sure --
1928
1 Q. You haven't currently looked at Supreme Court cases like
2 the Dalehite case that talks about absolute liability?
3 A. No, I have not.
4 Q. Now, you indicated that it's your belief that the
5 Department of Interior cannot produce an accounting to the IIM
6 trust beneficiaries, correct?
7 A. I think my testimony --
8 Q. It's just impossible.
9 A. Excuse me?
10 Q. I'm sorry. It's just impossible in your view?
11 A. I don't know that particularly. What my opinion goes to is
12 that what the Department is now proposing is not an accounting.
13 If they are able to discover all the records that they need to
14 discover, if they actually exist, then yes, I suppose you could
15 do an accounting.
16 Q. One last point. Have you been to Lenexa, to the AIRR, the
17 American Indian Records Repository?
18 A. No. I've seen pictures of it.
19 MR. STEMPLEWICZ: Thank you. No further questions.
20 MR. HARPER: I have a couple questions on redirect.
21 THE COURT: Okay.
22 REDIRECT EXAMINATION
23 BY MR. HARPER:
24 Q. Mr. Fitzgerald, you testified on cross regarding whether or
25 not a beneficiary must request an accounting. Do you recall
1929
1 that --
2 A. That's right.
3 Q. -- those questions? Without a request for an accounting,
4 does the trustee have to provide an accounting at regular
5 intervals?
6 A. I would say that a trustee needs to and is expected to
7 provide an accounting on regular intervals, if that's yearly or
8 whatever. As I understand the scholarship --
9 THE COURT: You've answered the question. What's the
10 next question?
11 BY MR. HARPER:
12 Q. Are the trust assets of individuals Indians, are they
13 commingled?
14 A. I understand some of them are through fractionization.
15 Q. What about the fund assets, are they commingled?
16 A. They are commingled at OTFM. As the money comes in, those
17 things are invested in a commingled fashion.
18 Q. The defense counsel asked you about whether or not a single
19 beneficiary has the right to seek an accounting of the entire
20 IIM trust. Since the funds, as you've just testified, are
21 commingled, how can a beneficiary receive a full accounting
22 without an accounting of the entire trust?
23 A. They can, and that accounting would look very much like
24 what commercial banks do in the -- with common trust funds.
25 Q. Do you recall counsel asking you about compacting and
1930
1 contracting tribes?
2 A. Yes.
3 Q. Have you reviewed the self-determination statute that
4 provides for the ability to compact and contract?
5 A. Yes.
6 Q. Is there anything in that statute regarding whether or not
7 it diminishes trust responsibility?
8 A. Indeed those statutes, as I understand them, go exactly the
9 opposite direction, that compacting and contracting does not
10 diminish the fiduciary responsibility. And that was cited to in
11 Mr. Miller's letter to Mr. Sinclair.
12 MR. HARPER: Your Honor, I'd like to move in
13 Plaintiffs' Exhibit 4285, Mr. Fitzgerald's report. And I have
14 no further questions.
15 THE COURT: 4285 is received. We'll be in recess for
16 15 minutes max. When we get back I want to talk a little bit
17 about where we're going from here. I want to set up a schedule
18 for talking about this proffer. And maybe it's time we should
19 talk a little bit about Lenexa.
20 (Plaintiff Exhibit No. 4285
21 received into evidence.)
22 (Recess from 3:35 p.m. to 3:51 p.m.)
23 MR. DORRIS: Your Honor, we expect to have three more
24 witnesses. This afternoon Mr. Jeff Zippin from OST, OTFM, and
25 then tomorrow we expect to have Sally Willett, who has been an
1931
1 administrative law judge in probate for the Department. And
2 then completing with Joe Christie, who, we think both witnesses
3 we should be able to complete first thing in the morning.
4 I will go ahead and tell the Court both of those witnesses,
5 whom we don't have control over, live in the West and both are
6 traveling to Washington, D.C. today. So they will be available
7 first thing in the morning. But upon the completion of those
8 three witnesses, we plan to rest our case.
9 THE COURT: All right. Then there will be some
10 rebuttal witnesses from the government, right?
11 MR. KIRSCHMAN: Yes, Your Honor. Caren Dunne will be
12 available to testify tomorrow. And as necessary, Dr. Hinkins
13 from NORC will also be available. At this point, it appears
14 that Plaintiffs will not be presenting Robert Vaughn, correct?
15 MR. DORRIS: We do not plan to present Mr. Vaughn.
16 MR. KIRSCHMAN: Because of that, Your Honor, we
17 propose -- we had previously designated the prior testimony of
18 Professor Langbein. He wrote a subsequent report in 2007 to
19 address Mr. Vaughn's. We proposed that his designated testimony
20 be offered to the Court because it is relevant to the testimony
21 you just heard from Mr. Fitzgerald, but there's no reason to
22 bring him in to add anything new regarding Mr. Vaughn obviously,
23 who's now not being presented, which is one reason we suggested
24 he be treated as a responsive witness, so that we won't have to
25 take the time to present testimony before Mr. Vaughn actually
1932
1 appeared.
2 So, again, we will be presenting Ms. Dunne and Dr. Hinkins,
3 and we have designated previously Professor Langbein's 2003
4 testimony. We request that that be admitted.
5 THE COURT: Mr. Harper.
6 MR. HARPER: Your Honor, if I can just speak to the
7 point of the designation of Professor Langbein's testimony. As
8 I understand it, that's principally regarding the consideration
9 of the cost of the accounting. When we were exploring that area
10 with Mr. Fitzgerald, Defendants' counsel objected, and as I
11 understood it, the Court sustained that objection. So I don't
12 see how that could possibly rebut testimony that we didn't get
13 into with Mr. Fitzgerald.
14 MR. KIRSCHMAN: Your Honor, Professor Langbein's prior
15 testimony addressed the trust standards, similar to what
16 Mr. Fitzgerald just discussed. He might address cost, but it's
17 related to the applicable trust standards that are justified in
18 this case. Certainly his -- well, his report and subsequently
19 his testimony do not relate solely to cost.
20 MR. HARPER: Your Honor, our objection it to the cost
21 issues. So if the Defendants want to state which aspects of the
22 designated testimony, we can review that and then make the
23 determination at that point.
24 THE COURT: All right.
25 MR. KIRSCHMAN: We would submit his testimony as a
1933
1 whole.
2 THE COURT: In the ordinary course of things, we don't
3 receive expert testimony just designated in written form, but if
4 there's no objection to it, I guess I'll let it be part of the
5 record as long as it doesn't cover the cost issue. I guess
6 that's where we are on that.
7 Let's proceed with the witness you have yet this afternoon.
8 MR. DORRIS: Thank you, Your Honor. The Plaintiffs
9 call Mr. Jeff Zippin.
10 (The witness takes the stand.)
11 MR. DORRIS: Your Honor, if you would state your name
12 and spell your last name, please.
13 THE COURT: Robertson. James Robertson. R-O-B --
14 (Laughter)
15 MR. DORRIS: Sorry, Your Honor.
16 THE WITNESS: My name is Jeffrey Zippin. Z-I-P-P-I-N.
17 MR. DORRIS: And Your Honor, to tell you the areas we
18 plan to cover, I cannot tell you what Mr. Zippin is going to
19 say. I've never met him, and he obviously works for the
20 government. But want to go through with his involvement in the
21 2003 and 2007 Plan, including especially the assembly of the
22 administrative record here, and some of the documents there that
23 are in that record; in addition want to then address with him
24 questions regarding how the government is treating the
25 calculation of interest with respect to the 2007 Plan.
1934
1 THE COURT: All right, sir.
2 JEFFREY ZIPPIN, WITNESS FOR THE PLAINTIFFS, SWORN
3 DIRECT EXAMINATION
4 BY MR. DORRIS:
5 Q. Mr. Zippin, I'm Bill Dorris, one of the attorneys for the
6 Plaintiffs. And we've never met, but I do have a number of
7 questions for you today.
8 A. Okay.
9 Q. What is your present position?
10 A. I'm the deputy director of the Office of Historical Trust
11 Accounting.
12 Q. And how long have you been with OHTA?
13 A. Since the inception of the office in 2001.
14 Q. And prior to 2001, what was your position?
15 A. I was with the Office of Special Trustee starting in April
16 2001, until the creation of OHTA.
17 Q. Prior to April of 2001, were you with the Department of
18 Interior in any capacity?
19 A. Yes, I was.
20 Q. And what were you doing then?
21 A. Prior to that, I was the GPRA program manager for the
22 Department, sort of like the strategic planner for the
23 Department.
24 Q. As part of that, did you have any involvement in the
25 individual Indian trust issues?
1935
1 A. Only to the extent that those issues were reported on as
2 part of accountability reports that the government filed.
3 Q. Was that a significant part of the work you did prior to
4 going to the OST's office?
5 A. No, sir.
6 Q. Now, did your responsibilities and role change when you
7 moved from the OST's office to OHTA?
8 A. Not terribly. A little bit.
9 Q. Okay. Would you tell us what your present responsibilities
10 have been since you became deputy director of the Office of
11 Historical Trust Accounting?
12 A. Well, our office began with just two people, executive
13 director Bert Edwards and myself, and we had a summer intern.
14 So the first step was to build an office. By design, the office
15 has a small number of federal employees but a large number of
16 expert contractors who work for us.
17 And so part of the task that I undertook was engaging
18 experts and contractors to do this work. I would just generally
19 state that my duties now are to carry out the mission program of
20 the office and oversee that work.
21 Q. And when you say oversee that work, what work are you
22 talking about, sir?
23 A. The historical accounting for IIM trust, special deposit
24 cleanup, as we refer to it, and tribal trust accounting.
25 Q. And when you say your responsibility is to oversee that
1936
1 work, is that work that's being performed primarily by outside
2 contractors to the Office of Historical Trust Accounting?
3 A. That's a fair statement.
4 Q. How many employees of the Office of Historical Accounting
5 are there that are involved with this process?
6 A. It varies, obviously, but about 35 employees and about 400
7 contractors.
8 Q. Okay. The employees, do they report directly to you?
9 A. We've moved to a bureaucratic hierarchy, so we have
10 division chiefs now below me, who are now the direct report --
11 most of that, a lot of the staff are direct reports of those
12 people, but then they report through me.
13 Q. And with whom else in terms of in other offices are your
14 primary contacts or that you have the most interface with with
15 respect to the effort to provide an accounting to the individual
16 Indian beneficiaries?
17 A. Primarily with the Office of the Special Trustee and the
18 Bureau of Indian Affairs.
19 Q. And the Office of Special Trustee, who from the Office of
20 Special Trustee do you primarily deal with?
21 A. Quite a number of people. The special -- Ross Swimmer, the
22 special trustee, some of his Washington staff, particularly with
23 respect to budget office items or congressional items. We also
24 deal with the staff in Albuquerque, principally with Ms. Donna
25 Erwin and her deputies and her staff.
1937
1 Q. And what about at the Bureau of Indian Affairs, is there a
2 specific contact that is your primary contact there?
3 A. Well, we were working with a fellow -- we work with a
4 number of people, but one of the principal ones was Arch Wells,
5 who recently retired. We now work with Ms. Vicki Forrest. But
6 we work through all the people that we need to deal with. Mike
7 Jones is a person we deal with who deals with realty issues. We
8 just deal with a variety of people as the need arises.
9 We also deal directly with the regional offices and any of
10 their suboffices as -- the agency offices, as we need to, to get
11 information.
12 Q. Are you the primary person that the various contractors
13 that are hired by OHTA report to?
14 A. No. We have, our staff are the contracting officer's
15 representatives. They oversee the contract work and make sure
16 the contractors are doing the work that we've assigned. Our
17 office works in many ways, rather than a typical contractor
18 relationship, we view these people sort of as -- we use them
19 almost as staff in effect, and so the day-to-day reporting
20 relationships are varied.
21 Q. Who from the office of the Secretary do you deal with, if
22 anyone?
23 A. Principally, two people. Dr. Abe Haspel and Jim Cason.
24 Q. Okay. Now, who was the person -- we will look at it in a
25 minute, that you signed, I think it's called a certification
1938
1 regarding the administrative record. Who was primarily
2 responsible for putting together the administrative record
3 that's being referred to in this hearing?
4 A. There was a process that we undertook. We had some
5 meetings with our solicitor's office and also with
6 representatives of the Department of Justice to talk about what
7 the scope of that needed to be. We then tasked people within
8 Office of Historical Trust Accounting. We have a records
9 manager who is responsible for maintaining our records and
10 files. We also have a chief of staff who was tasked with
11 working on this.
12 At various times I became involved as necessary. And
13 ultimately the administrative record was compiled. There were
14 memos that were sent out from -- I'm not sure if it was a memo
15 or an e-mail, from the deputy solicitor's office, requesting
16 that people provide to us any documents they have which would
17 reflect decisions being made in the administrative record, and
18 also directing our employees to provide information as well.
19 Q. That e-mail or memo that you're talking about, was that
20 sent to people outside of the Office of Historical Trust
21 Accounting?
22 A. It went to other levels in the Department. I don't recall
23 the full extent of that, sir.
24 Q. Okay. Now, it sounds like you were involved to some extent
25 with the assembly of the administrative record. Is that fair to
1939
1 say?
2 A. Yes, sir.
3 Q. And were you the one principally responsible for ensuring
4 that the administrative record was complete?
5 A. I guess that's a fair statement.
6 Q. And did you review the administrative record when it was
7 assembled?
8 A. I reviewed a lot of the index of it and talked about it
9 with our staff who were working on it, to -- asking about where
10 they looked, what they went through of my records, did they get
11 things from other people, just making sure that the documents
12 that we considered were included therein.
13 Q. Okay. Other than the one memo that you mentioned that I
14 think you said came from the solicitor's office, what steps were
15 implemented to ensure that all the documents that were
16 considered in making the 2003 and 2007 Plans were included in
17 the administrative record?
18 A. Looking it over and doing a review of that index, there
19 were a number of documents that I knew to be important,
20 certainly the NORC reports, which were provided in their
21 entirety. We had accounting conferences that helped formulate
22 our approach. Those conferences took place in 2002 and 2003.
23 We wanted to make sure those were in there.
24 So I looked for particular kinds of documents that I knew
25 were important, as well as going through my own notes. And I
1940
1 also know that our executive director, Bert Edwards, went
2 through his notes and any relevant material -- well, not notes,
3 but I should say e-mails and relevant materials as well.
4 Q. We've seen a few examples when Mr. Cason -- were you here
5 when Mr. Cason testified?
6 A. Yes, I was.
7 Q. We've seen some examples when he was testifying of typed
8 notes that indicated they were transcriptions of your notes.
9 Did you have your notes then typed and included in the
10 administrative record?
11 A. Some of the notes were typed by one of the people in the
12 office, and I reviewed them then to make corrections. And then
13 there was another group of my notes that I typed myself.
14 Q. Okay. And were those all of your notes that you had taken
15 in connection with the development of the 2003 and 2007 Plans?
16 A. Yes, sir.
17 Q. And were all of the notes of Mr. Edwards that he had also
18 included in the administrative record?
19 A. I don't think Mr. Edwards is a note-taker, sir.
20 Q. So I take that to the extent that you're saying we don't
21 see notes from Mr. Edwards in the administrative record, you
22 think that's because he did not have notes. Is that fair?
23 A. That's correct.
24 Q. Now, in the administrative record, we've looked at during
25 the course of this hearing and there are others, documents that
1941
1 are stamped draft in the administrative record. You're aware of
2 that, right?
3 A. Yes, sir.
4 Q. Some of those are documents that it's hard to tell who
5 prepared them. Others it indicates, for example, some of the
6 Morgan Angel reports, are stamped draft. Or do you recall that?
7 A. Not with any specificity, but I believe that that's
8 correct.
9 Q. But all of the documents that were included were documents
10 that were maintained by and in the custody of the Department of
11 the Interior. Is that right?
12 A. Correct.
13 Q. So that if it's a draft report from Morgan Angel, it is a
14 report that Morgan Angel had actually furnished to the
15 Department if it's included in the administrative record.
16 A. That would be correct.
17 Q. And the other documents that do not show who prepared them,
18 is there any way to determine who the preparer of the document
19 was?
20 A. Some of them I might be able to recall or recollect who
21 did, but I wouldn't say that that's true for all of them.
22 Q. Okay. Now, we'll look at some of those. Was there an
23 administrative record coordinator appointed for purposes of this
24 administrative record assembly?
25 A. Yes.
1942
1 Q. And who was that?
2 A. That was our chief of staff, Steve Alcorn.
3 Q. And can you spell his last name, please?
4 A. A-L-C-O-R-N.
5 Q. Okay. And does he report to you?
6 A. Yes, he does.
7 Q. And did you and Mr. Alcorn attempt to follow the
8 Departmental manuals and directives for the assembly of the
9 administrative record?
10 A. We actually talked through with our solicitor's office, we
11 had a copy of those requirements. We reviewed them with them
12 and in discussions, and were using that as a guide, yes, sir.
13 Q. When you say you're using that as a guide, did you follow
14 that guide in each instance?
15 A. I believe we did, sir.
16 Q. Now, let's look if we can at Plaintiffs' Exhibit 4504.
17 That should come up on your screen there. If you'll blow up the
18 middle. This is then where there's a notice of filing by the
19 Interior defendants of a certification of administrative record,
20 and if you would scroll down I think it'll show us the date of
21 September 19, 2007. And if you would look, would be the fourth
22 page of this exhibit, please. And this is a declaration. And
23 if we can look at the next page and confirm that this is the
24 document you signed.
25 A. Yes, sir, it is.
1943
1 Q. Okay. Now, let's go back to the prior page and look at
2 your certification. In your certification, you indicate that,
3 this is the first bullet, that "The attached index reflects the
4 documents constituting the administrative record supporting the
5 plan for completing the historical accounting of individual
6 Indian money accounts of May 31, 2007," and then you also refer
7 to the January 2003 plan. Do you see that?
8 A. Yes, sir.
9 Q. So this is the administrative record for both plans; is
10 that correct?
11 A. Yes, sir.
12 Q. And where you indicate here that this is the documents
13 supporting the plan, those two plans, did you include documents
14 in the administrative record that did not support the plans?
15 A. Included in the administrative record were documents we
16 considered in developing both plans.
17 Q. Okay. Were there documents that were maintained by the
18 Department of Interior that were not included in the
19 administrative record and that would show recommendations or
20 suggestions that something other than what was being proposed in
21 the 2003 and 2007 plans should be undertaken?
22 A. I believe there may be some documents in the administrative
23 record that do that. I believe you've used those as exhibits in
24 this trial.
25 Q. Mr. Zippin, what I'm trying to find out is, you say in this
1944
1 declaration we included the documents that supported these
2 plans. And I'm trying to find out if there were documents that
3 the Department of Interior has that don't support the plans, in
4 other words, would impeach the plans or be contrary to them,
5 that were not included in the administrative record.
6 A. Sir, my understanding of the term "supportive" is in a
7 general way. I believe it should be documents that we
8 considered, and I do believe there are documents in the record
9 that present alternative approaches to what we're doing and
10 alternative thoughts on the matter, including some of the
11 limitations that have been discussed here.
12 Q. I follow that. I understand that answer. My question's a
13 little different. Are there documents that you're aware of that
14 the Department maintains or any office of the Department
15 maintains that have not been included in the administrative
16 record that do not support these plans?
17 A. I have no way of knowing what other offices in the
18 Department of Interior may have to that regard.
19 Q. Does the Office of Historical Trust Accounting maintain any
20 documents that would be contrary to or not supportive of these
21 plans that have not been included in the administrative record?
22 A. Sir, I believe that my answer is that we included documents
23 of that nature in the administrative record.
24 THE COURT: The question is whether you included all
25 of them.
1945
1 THE WITNESS: I believe we included all of them,
2 Your Honor.
3 MR. DORRIS: Okay.
4 BY MR. DORRIS:
5 Q. Good. But there may be some in other offices that you
6 don't know of whether they were included or not. Let me
7 restate. You look puzzled so I better ask that one again. You
8 do not know if other offices in the Department of Interior
9 maintain documents that do not support these plans that have not
10 been included in the administrative record?
11 MR. QUINN: Objection, Your Honor. Asked and
12 answered.
13 THE COURT: I'm not sure it's been answered.
14 THE WITNESS: I don't know of other documents that
15 other offices may have.
16 BY MR. DORRIS:
17 Q. Can you state in court here today and to Judge Robertson
18 that a thorough effort was undertaken to locate all such
19 documents at other offices of the Department of Interior and
20 include them in the administrative record or not?
21 MR. QUINN: Objection. Vague, Your Honor.
22 THE COURT: Well, may I see counsel at the bench on
23 this one.
24 (Bench conference off the record.)
25 BY MR. DORRIS:
1946
1 Q. Looking at the screen, at the last bullet that is there,
2 that indicates that "The documents reflected by the index are
3 those considered by the Department of the Interior in
4 formulating the plans identified above," do you see that?
5 A. Yes, sir, I do.
6 Q. It goes on, it says, "As well as documents that demonstrate
7 implementation of the plans or provide explanatory or background
8 material." Do you see that?
9 A. Yes, sir.
10 Q. So all of the documents that were considered by the
11 Department of Interior in formulating the plans have been
12 included?
13 A. To the best of my knowledge, that's correct.
14 Q. And some of the documents that are in the administrative
15 record were not those considered by the Department but were
16 included to demonstrate implementation of the plans or to
17 provide background material?
18 A. Yes, sir.
19 Q. Now, let me ask you, we did not see in the administrative
20 record a document that -- Mr. Cason is the one that signed the
21 2007 Plan, correct?
22 A. Yes. It's on the front page of that document, sir.
23 Q. Correct. And we did not see any decisional documents that
24 he executed leading up to that plan. Are you aware of any in
25 the administrative record?
1947
1 A. No. I don't believe there are any in the administrative
2 record, except for a document that I submitted that reflected
3 issues that were being considered for the 2007 Plan, and I
4 believe I had an accompanying note that stated that these were
5 the last documents that Mr. Cason had seen in making the
6 decisions that were made. And that is included.
7 Q. Okay. Let's look at the administrative record, Bates
8 document 63-2-1, and see if that is the note that you are
9 referring to.
10 A. That is correct.
11 Q. So that the other documents that are part -- the other
12 pages that are part of this document that's Bates numbered 63-2
13 are the last documents that Mr. Cason reviewed prior to the 2007
14 Plan; is that correct?
15 A. That's correct.
16 Q. Now, let's just look, for example, over at Bates page 5 of
17 63-2. You see there are a number of options there. We're not
18 going to go through those. None of these, if you'll look at the
19 bottom of the page, the decision, none of these are then signed,
20 is that correct?
21 A. That's correct.
22 Q. But you maintained these and included them in the
23 administrative record as reflecting what?
24 A. These reflect the discussions that we were having and the
25 options that OHTA presented to Mr. Cason and to Dr. Haspel as
1948
1 well for the 2007 Plan.
2 Q. Now, I want to look at -- we may come back to this document
3 on a couple items. I want to look at some of your notes to get
4 you -- I tried to ask Mr. Cason about some and they weren't his
5 notes. I want to ask you about a few things in your notes,
6 okay?
7 A. Yes, sir.
8 Q. Let's look at administrative record document 63-10,
9 beginning at page 10. And we'll look at the top. You recognize
10 this document as being one of the documents that was typed of
11 notes that you took at a meeting, correct?
12 A. Yes, sir.
13 Q. And did you take handwritten notes and then they were typed
14 or did you actually type them on this form?
15 A. I take handwritten notes in a series of notebooks that date
16 back to the inception of the office, and then these were typed
17 for the administrative record.
18 Q. But these are accurate as to what notes you took while you
19 were sitting in the meeting?
20 A. Yes, sir.
21 Q. Okay. Good. This indicates the attendees, it appears to
22 be the Secretary; is that correct?
23 A. Yes.
24 Q. Mr. Griles, Mr. Cason, Mr. Bernhardt, and Mr. Jensen; is
25 that right?
1949
1 A. That's correct.
2 Q. And I take it you would also have been at that meeting,
3 inasmuch as you were taking notes?
4 A. Yes, sir.
5 Q. We're going to look at the next page. And this is a
6 meeting in November 20, 2002. Right before, you see where it
7 says SID? There's a, right above that line, it says "How do we
8 deal with missing data?" And then the last two lines of these
9 notes talk about missing data and errors versus unsupported, and
10 it says T-R-A-N-S, I take it that would be transactions?
11 A. That would be my recollection.
12 Q. Do you recall what the discussion was at this point in
13 dealing with missing data and the question of errors versus
14 unsupported transactions?
15 A. I don't have a distinct recollection in particular of this
16 meeting, but ultimately as the decisions have evolved, we agreed
17 that in doing our transaction-by-transaction reconciliation, if
18 we could not find data to support reconciliation of the
19 transaction, it was treated as an error in the statistical
20 analysis.
21 Q. So that you're not saying that decision was made at this
22 particular meeting, but what you recall, that issue was being
23 discussed at this meeting?
24 MR. QUINN: Excuse me, Your Honor. I hate to
25 interrupt. The record reflects this is a telephone conference
1950
1 call. He keeps referring to it as a meeting. But just so the
2 record is clear.
3 THE WITNESS: I'm sorry, could you repeat the
4 question.
5 BY MR. DORRIS:
6 Q. Yes. I'm just trying to find out, was that decision made
7 at this meeting, or was this meeting one of the meetings where
8 that was being discussed?
9 A. My recollection would be that, given this was 2002, it was
10 a discussion topic as opposed to a decision topic.
11 Q. Okay. Now, let's look over at, in the same document, Bates
12 page 12. And this would then be -- let's make sure it's a
13 meeting. Yes, it's a meeting with Mr. Cason and Mr. Haspel on
14 December 6, 2002. Do you see that?
15 A. Yes, sir.
16 Q. And if we look down toward the bottom of the page, it says
17 "As a national program sample size below less than 1,000 to get
18 a 99 percent conf with 2 percent, to get to level where each
19 region or agency can stand on its own." Do you see that?
20 A. Yes, sir.
21 Q. What was the effort being undertaken here to have each
22 region or agency stand on its own?
23 A. When the 2003 Plan was being formulated, my understanding
24 and recollection is that the sample size was based on including
25 a certain number of samples from each agency.
1951
1 Q. And why was that?
2 A. Initially we wanted to provide coverage for a statistical
3 analysis, and thought that at that time that was an approach to
4 looking at it, to include some things so there would be
5 something from each agency, and that's why we had such a large
6 sample size in the 2003 Plan.
7 Q. And the thought underlying that was because there was, at
8 least at that time, there was a thought or concern that each
9 region and each agency may be different from another one. Is
10 that right?
11 A. That was a possibility to consider.
12 Q. In other words, that was part of what was driving what
13 became the decision to make sure that there were samples coming
14 from each agency, correct?
15 A. At the time.
16 Q. All right. Has that now changed?
17 A. It has changed in the 2007 Plan.
18 Q. And was there at some point a study or determination made
19 that in fact there were not differences between the agencies
20 that would necessitate having each agency stand on its own?
21 A. In fact, what we relied on, the study was in fact the
22 litigation support accounting, which was undertaken initially as
23 a separate component apart from what we had had in the 2003 Plan
24 which, if you recall, was rejected by the Court, and we were in
25 limbo in 2004 because Congress had barred us from pursuing any
1952
1 of what the judge had ordered, and so the litigation support
2 accounting was, as it states, it was intended to provide
3 information that could support settlement discussions that were
4 being undertaken under the auspices of Congress.
5 Q. Okay. In light of what you've just said, is it correct
6 that the decision to move from making sure that each agency
7 could stand on its own and ensuring a certain number of samples
8 came from each agency, to what we now see in the 2007 Plan, was
9 the result of the LSA or information gained from the LSA?
10 A. That's a fair statement.
11 Q. But the LSA -- was the LSA -- were there samples in the LSA
12 from every agency?
13 A. I don't know to the extent that coverage ended up including
14 every agency. However, every account and every agency was
15 subject to sampling.
16 Q. Okay. But you do not know whether -- you do know, don't
17 you, that there were some agencies where there were no samples
18 taken, correct?
19 A. The only one I know of for sure is the Horton Agency, sir.
20 Q. And we know of that because that's where the
21 land-to-dollars test was done, and that was one of the reasons
22 they went to the Horton Agency, was because they figured they
23 weren't tired of providing information at that point, right?
24 A. That was one of the criteria for selecting Horton Agency.
25 Q. Now, let me ask you to look at the same document -- no,
1953
1 excuse me. It would be document 63-11-5. And if we come to the
2 top of this, this is then a meeting with Mr. Cason on November
3 10, 2003 that Mr. Cason, Mr. Haspel, Bert -- that would be Bert
4 Edwards?
5 A. Yes, sir.
6 Q. Yourself and Alyce. Who was Alyce?
7 A. Alyce Schiess. Alyce Schiess is an employee in the office.
8 S-C-H-I-E-S-S.
9 Q. Look down about halfway down the page where it talks about
10 third-party records. Let me give you a moment to review that.
11 A. Could you go back to the top again, sir?
12 Q. Yes, sir.
13 A. Okay.
14 Q. Can you read it at that size?
15 A. Starting with "for third-party records"?
16 Q. Yes.
17 (Witness reviewing document.)
18 A. Okay.
19 Q. What's your recollection of what was being discussed here?
20 A. My recollection was one of the breaches that had been --
21 that the Court had noted in an earlier ruling dealing with
22 third-party records, and this was a discussion of third-party
23 records.
24 Q. And what ended up being decided regarding obtaining
25 third-party records?
1954
1 A. Well, I don't know specifically coming out of this. The
2 Department has a departmental manual release; our office
3 actually undertook to go out and survey some third-party records
4 and ultimately in the historical accounting, under LSA we use
5 third-party records to reconcile transactions.
6 Q. And what third-party records were used to reconcile
7 transactions in the LSA?
8 A. I'm aware of two. One involved a right-of-way payment in
9 Arizona. We couldn't verify the payment amount without going to
10 an attorney who represented an allottee in negotiations with the
11 state of Arizona. And the second one we couldn't verify an
12 electronic funds disbursement in Alaska, and we ended up calling
13 the bank which had succeeded the previous bank, and they were
14 able to look in their records and confirm that the payment was
15 made.
16 Q. But those are the only two instances in the LSA
17 reconciliation project that you're aware of where third-party
18 records were obtained in order to try to support one of the
19 reconciliations?
20 A. Those are the ones that I readily recall. I think there
21 may have been some others.
22 Q. But you don't recall them here. Now, look at this same
23 document, Bates page 8, which appears to be a meeting on
24 December 15, 2003, and you see the people that were in
25 attendance there. So this is document No. 63-11-8 that we're
1955
1 looking at. You see where it says "Dollars in and dollars out,
2 preferred reporting, 13 billion in"? Do you see that?
3 A. Yes, sir.
4 Q. And what was the discussion as to why it was preferred to
5 report that amount?
6 A. What we refer to as the blue document, the report to
7 Congress, that first surfaced and had a table referencing the 13
8 billion -- actually referred to that as throughput. Throughput
9 in the parlance that we use means you're counting the money as
10 it comes in and you're counting it again as it goes out.
11 Whereas what I think has been referred to in this case,
12 Your Honor, as collections is just the money coming in, and so
13 it's -- the preferred reporting should have been and going
14 forward should be 13 billion in collections, using the data that
15 we had at that time.
16 Q. Okay. So that was what, the best you recall as to why
17 that's preferred reporting, is to make it clear that that's the
18 money coming in, at least as far as the Department saw.
19 A. Yes, sir.
20 Q. Let me ask you to look -- let's start in this same
21 document, Bates page 10. And look up at the date of the
22 meeting, and it appears to be a meeting from June 17, 2004, that
23 you had with Mr. Cason. Do you see that?
24 A. Yes, sir.
25 Q. And could you just scroll down the page so he can get the
1956
1 context of this meeting. And then if we'll look at the next
2 page, if we may.
3 A. Okay.
4 Q. And so we're now at document Bates page 63-11-11. Do you
5 see where this is a continuation of that same meeting, correct?
6 A. I believe so.
7 Q. Okay. And you see where it's talking about example
8 statements 3 to 4? Would you look at that?
9 A. Yes, sir.
10 Q. It says "sample of a statement from paper record with
11 opening balance we cannot verify." Do you see that?
12 A. Yes, sir.
13 Q. Was a statement, a draft statement of historical accounting
14 such as that ever prepared?
15 A. I don't think at this date we had produced any statements.
16 I know later on when we were beginning to talk about historical
17 statements of account we pulled together just an example of all
18 the transactions that might exist in an account. But at this
19 time we did not have anything like that, I believe.
20 Q. Okay. The 2007 Plan talks about there being statements of
21 historical accounts sent out to a variety of different
22 beneficiaries, some of whom have land-based accounts, correct?
23 And my question just goes to the land-based accounts. Have you
24 seen draft statements of historical accounts for land-based
25 beneficiaries?
1957
1 A. Yes, sir, I have.
2 Q. And are any of those included in the administrative record?
3 A. My understanding, they were presented as an exhibit.
4 Q. Okay. But were they prepared after the administrative
5 record?
6 A. Yes, sir.
7 Q. But none were prepared as of the time you put together this
8 administrative record?
9 A. I don't believe they were, sir.
10 Q. Other than those that had been presented as an exhibit, are
11 you aware of any draft historical statements of account for
12 land-based account holders?
13 A. No.
14 Q. All right. And are you aware of even the ones that were
15 presented as an exhibit that contained a statement from the
16 paper record with an opening balance that cannot be verified?
17 A. I don't recall what that refers to.
18 Q. The note here in this meeting, you don't recall what that's
19 referring to?
20 A. No, sir.
21 Q. Is it expected that there will be land-based accounts that
22 go back into the paper record era where the Department will not
23 be able to verify the opening balance?
24 A. I believe that if we have an account that goes back to
25 1938, and if we follow what the courts have said about using the
1958
1 act of June 24, 1938, as the limit of the accounting, then
2 that's as far back as we would go.
3 Q. Okay. Now, let's look over at the next page. And this is
4 a meeting of July 2, 2004, where there's a briefing for
5 Mr. Cason on LSA results, and you see the attendees at that
6 meeting, and I assume you were also there, correct?
7 A. Yes. It says so.
8 Q. And would you -- let's look -- do you see where it says
9 "draft by July 9" toward the bottom of the page?
10 A. Yes.
11 Q. Do you see just above there where it says "we assume no
12 connotation on missing information"?
13 A. I see that.
14 Q. Do you know what that's referring to?
15 A. In light of what we ended up producing, no, sir, I don't,
16 because we ended up -- if we couldn't reconcile the transaction
17 because of missing information, we assumed it was an error.
18 Q. Okay. So to the extent that this is an indication that the
19 LSA results had made no connotation on missing information, that
20 ultimately did not end up being the decision as to how the
21 reconciliation would be done?
22 A. At this time, this part of the LSA was only partially
23 completed in 2004, and I believe we included an interim report
24 by NORC about it. So this is while it was ongoing. And
25 ultimately it's the final report on LSA that contains the
1959
1 conclusions that were made and describes the process.
2 Q. So this was at some point while LSA had not yet been
3 completed; is that correct?
4 A. Yes, sir.
5 Q. Now, let me ask you to look at one -- it'll be the last
6 note that we'll look at -- is going to be Bates page from the
7 administrative record 63-13-2. And this is a July 21, 2006,
8 document that indicates it's a contemporaneous note of yours,
9 and the subject is "Paper era accounts." And it appears that it
10 was a meeting just between you and Mr. Cason. Do you see that?
11 A. Mm-hmm.
12 Q. It says under "Notes," "Paper era accounts needed. If 200
13 yields 75, is that enough?" What was being discussed, if you
14 recall?
15 A. My recollection of this is that we did not at this time
16 have a good number for how many of the accounts in the
17 historical accounting population went back into the paper
18 records era. I think that's been referred to both as a paper
19 records tail and a paper records antecedent.
20 Q. I don't think they said antecedent the way you said --
21 A. I think they said antisedent. That was new to me too.
22 But I think at this time what we were looking at was if we
23 were to draw a certain sample, how many would likely be in the
24 population. And we didn't do it at that time because we didn't
25 have enough information.
1960
1 Q. Okay. So the 200, would that be -- if 200,000 accounts
2 ends up there being 75,000 accounts that have a paper record
3 tail?
4 A. Actually, I think it might have just been 200 and 75. I
5 don't know -- I don't recall more than that.
6 Q. That's fair. Look at the first subparagraph there. It
7 says find best of remaining accounts and do minimis. What do
8 you remember was being discussed about doing minimis?
9 A. I don't recall how that applies.
10 Q. But this is a note that you made in a meeting between you
11 and Mr. Cason in July of 2006, correct?
12 A. That's correct.
13 Q. Let me ask you to look at Bates document 57-30-1. And if
14 we'll blow up the top there. This is one of those documents
15 that did not clearly indicate to us who had prepared it. Do you
16 know where this document came from?
17 A. Is there anything further down below, sir?
18 Q. Yes. We can --
19 A. I think -- my guess is this would probably be from one of
20 the accounting conferences.
21 Q. Okay. We don't really work with guesses here very well.
22 A. In that case I don't who the author is.
23 Q. Okay. But you do know this was a document that was
24 maintained by the Department of Interior and was considered in
25 connection with the development of the plans.
1961
1 A. Yes. And I do believe, although I don't have a specific
2 recollection of who prepared this, I do believe this came from
3 one of our accounting conferences.
4 Q. So you do not even know if this document was prepared by
5 somebody within the Department of Interior or a contractor. Is
6 that right?
7 A. I think it would have been by a contractor, but I can't be
8 certain.
9 Q. And likewise, in light of what you said, you wouldn't know
10 which contractor prepared it.
11 A. No, sir.
12 Q. And you do not know when it was prepared, do you?
13 A. Short of going back and looking through the accounting
14 conference books and seeing if that copy exists in there, no, I
15 would not.
16 Q. And did you make the decision to include this document in
17 the administrative record?
18 A. I made the decision that we should include all of our
19 accounting conference binders, because of material like this
20 that was presented at those meetings, which -- recall that these
21 were mostly held prior to even the first plan being developed.
22 This is part of what I would call the formative information that
23 we considered in developing the plans.
24 Q. Okay. Let me ask you, in the administrative record there
25 were a number of exhibits where there were, on the front it
1962
1 would make it clear it was from an accounting conference. Okay?
2 And this, as you will see, is page 1 of this particular
3 document.
4 A. I'm sorry. This is page 1 of...
5 Q. If we look at the Bates number down at the bottom, and if
6 you can blow that up at all, or at least where we can read it.
7 You know how the administrative record is numbered and Bates
8 numbered?
9 A. I know those numbers, but I couldn't tell you what that is.
10 Q. Okay. But do you see that this is page 1 of the particular
11 document?
12 A. Yes, sir.
13 Q. Okay. Now, there's one particular statement I want to show
14 you in here to see if that refreshes you as to who wrote this,
15 or if you can give us a time frame that it came from, okay?
16 Look on Bates page 3, the paragraph just above the heading about
17 two-thirds of the way down the page. And we'll look at the
18 highlighted language. Let me let you read the entire paragraph
19 and then I'll ask you.
20 A. Well, could I see the entire page first before focusing on
21 this?
22 Q. Yes, sir.
23 (Witness reviewing document.)
24 Are you able to see that, Mr. Zippin?
25 A. With glasses I can.
1963
1 (Witness reviewing document.)
2 Okay.
3 Q. The highlighted part says -- this is after talking about
4 there being a small error rate on the disbursement side, it says
5 "although there were problems in locating all the support
6 documents," I want you to focus on this sentence that says "this
7 warns us that we need to have a strategy that resolves the
8 missing record problem for disbursements in a way that does not
9 treat the failure to find the supporting documentation as an
10 error in the account." Do you see that?
11 A. I do.
12 Q. Does that refresh your recollection as to the origin of
13 this document or the timing that this document was prepared?
14 A. I don't know exactly when it was prepared, but given what
15 it's talking about, it was obviously one of the things we
16 considered, because someone was presenting it to us as what you
17 could learn from the tribal reconciliation.
18 Q. Okay. But you can't tie down who prepared this document?
19 A. No.
20 Q. Okay. Now, Mr. Zippin, have you been involved with the
21 issue of how interest is going to be handled in the 2007 Plan?
22 A. Yes.
23 Q. And can you describe for the Court how interest is going to
24 be handled in the 2007 Plan?
25 A. Yes. All of the interest postings in an account that are
1964
1 part of our population are going to be recalculated using the
2 interest factor that was applied either by the Bureau of Indian
3 Affairs or Office of Trust Funds Management, OST, to a
4 particular transaction.
5 Q. Why is that going to be done? What's the thinking behind
6 it?
7 A. We had concerns about whether in fact interest may have
8 been calculated properly, and wanted to do a recomputation of
9 that to report to people as part of the historical accounting.
10 Q. And why did you have concerns as to whether or not interest
11 had been posted correctly to the accounts?
12 A. I think largely anecdotal, the kinds of things that had
13 been raised from a variety of sources.
14 Q. And it was not based on any study that was undertaken to
15 determine whether interest and earnings had been posted
16 correctly to the accounts?
17 A. No. Other than the results that -- we began doing this
18 with judgment and per capita accounts as a matter of course, and
19 noted that sometimes there were interest differences calculated.
20 So we decided to apply this to all historical statements of
21 account that we would be sending out.
22 Q. Would it be fair to say, even though it was based on
23 anecdotal evidence, that there was sufficient concern by the
24 Department of Interior that the interest had not been correctly
25 calculated and posted to the accounts, that it thought it
1965
1 necessary to undertake a recalculation of the interest for each
2 and every account?
3 A. I wouldn't characterize it as such a -- the way you have.
4 I think it was just something as part of our due diligence in
5 presenting account holders with as complete a historical
6 statement of account as practicable, that we could do this.
7 Q. You said that you were going to use the stated interest
8 factors, or words to that effect. Did I get it right?
9 A. Yes.
10 Q. What interest factors, who states them, and what are those
11 that are being used?
12 A. My understanding is that whenever there is an interest
13 period, interest is moved into a special deposit account,
14 interest that's been earned by the pooled funds, and that
15 divided by the dollars that are being in the accounts to which
16 this interest is applicable, generates a decimal fraction.
17 That's the factor that is then applied to calculating interest
18 in all accounts that are eligible to receive interest.
19 Q. And who is making that calculation?
20 A. That's the -- it's in the Office of the Special Trustee.
21 And prior to that it would have been the Bureau of Indian
22 Affairs.
23 Q. So that's a historical calculation that's been done?
24 A. Yes, sir.
25 Q. So there has been a calculation done over the course of
1966
1 time as to what -- an effort to determine what interest was
2 actually being earned on the pooled investments; is that
3 correct?
4 A. Well, it's not a report of the interest. The factor used
5 is what is actually applied to the dollars that are in an
6 account, in accordance with what the applicable interest payment
7 rules were at the time.
8 Q. Okay. I got totally lost on that last part.
9 A. I apologize.
10 Q. No, I don't know that it's you. I don't understand what
11 you just told me. Can you explain how -- what these interest
12 factors are?
13 A. And I want to draw the distinction these are not interest
14 factors. These are factors that were used -- the factor itself
15 is not about interest earned; it's about the total amount that
16 was available to be paid from the interest, and the factor is
17 what they use to apply to the money in accounts.
18 Q. Okay. Let's try to do this quickly, but we need to break
19 it down fairly simple for me if we can. Funds are in a pooled
20 account; is that correct?
21 A. Yes. The IIM funds are pooled.
22 Q. And they are pooled and invested in some type of security
23 or bond that pays a dividend or interest, correct?
24 A. Yes.
25 Q. And so you have a pooled amount that has a certain amount
1967
1 of dollars in it, correct? And then there's a certain amount
2 earned on that pool of funds, correct?
3 A. On those investments of the pool, yes.
4 Q. Now, how then is the interest -- well, you're not calling
5 it interest factor. How is the factor, the stated factor then
6 determined based on that?
7 A. My understanding is that the interest earned during the
8 period, the applicable period, is in an interest account, it's
9 referred to as, and then the sum that is available there is
10 divided by all the dollars that are represented in the
11 individual accounts that are entitled to earn interest, and that
12 division yields a factor then that is applied to the dollars in
13 each account.
14 Q. Okay. And that calculation assumes, doesn't it, that the
15 pooled funds that were invested reflects accurately the total of
16 all of the individual IIM accounts, correct?
17 A. I'll have to say that that would be my understanding. I
18 don't have direct knowledge of that.
19 Q. Okay. Now, what's the basis for your understanding?
20 A. The discussions that we've had about recalculating
21 interest.
22 Q. Okay. And do you know whether or not the amount of the
23 pooled investments always reflected the same total as the sum of
24 all of the individual accounts?
25 A. Well, the investments vary because there's a cash need
1968
1 every day, there's a liquidity amount that has to be available,
2 and those are invested in an overnighter. So what is actually
3 invested in longer-term instruments I don't know. It's managed
4 by another office.
5 Q. But can you state that the factor that's going to be used
6 to calculate interest for particular times reflects the interest
7 rate or the earnings or dividend rate that the funds were
8 actually earning during that time?
9 A. I don't understand the question, really.
10 Q. Okay. You have seen in some of the documents where there's
11 indications that the amount of funds that are being pooled for
12 investment are not as large as the total of the sum of the
13 amounts in the individual accounts, correct?
14 A. Yes.
15 Q. Okay. So, if that occurred, and you only use the amount of
16 money, the interest that was available that was earned at that
17 time to spread among all of the accounts, each of the
18 beneficiaries is then getting less than what it should have
19 actually earned on its particular account, correct?
20 A. I believe that's correct.
21 Q. All right. And how is what the Department is doing today
22 going to solve that problem?
23 A. I don't know that it's going to cure the problem. It's one
24 of the things that we intend -- that we would report on as part
25 of the historical statement of account.
1969
1 Q. And when are you going to report on that?
2 A. There is, in the information accompanying the historical
3 statement of account, there would be information about any
4 limitations about what is included.
5 Q. And have you ever seen that written up?
6 A. We've been working on drafts as we move towards doing that,
7 but nothing has been put into final form.
8 Q. Okay. Now, the interest that was applied to the individual
9 postings, that was done at the agency level for most of these
10 periods of time, correct?
11 A. I'm not sure exactly where it was done. I just don't know.
12 Q. And you have seen indications that it was not consistently
13 done between the various regions or agencies that did it,
14 correct?
15 A. I don't think I'm aware of that. I just, from the results
16 that we've seen, we see that there are rounding errors, there
17 are just some mathematical errors that have taken place. I'm
18 not aware of any major differences that have been recalculated.
19 Q. But to make sure we're clear, the method by which interest
20 is going to be recalculated here does not necessarily reflect
21 the amount of interest that was actually earned on any
22 individual particular account?
23 MR. QUINN: Objection. Asked and answered,
24 Your Honor.
25 THE COURT: Overruled.
1970
1 THE WITNESS: Could you restate the question again?
2 I'm sorry.
3 BY MR. DORRIS:
4 Q. I'll try. The method that is being used in the 2007 Plan
5 for, quote, recalculating interest, does not end up reflecting
6 then on the historical statement of account the actual amount of
7 interest that was earned by the dollars in a particular
8 individual's account. Is that correct?
9 A. I think it does.
10 Q. Okay. You're saying it reflects the dollars that were
11 earned off the investment pool, where the funds were pooled
12 together, correct?
13 A. If that's what you're asking, yes.
14 Q. And it does not reflect what interest for a particular
15 individual's account was earned for that account?
16 A. Again, I'm confused by where you're going. I'm sorry.
17 Q. Okay. I think we've already gotten there. Thank you,
18 Mr. Zippin. I have no further questions.
19 MR. DORRIS: Well, can I have one moment, Your Honor?
20 (Plaintiff counsel conferring.)
21 MR. DORRIS: I have nothing further, Your Honor.
22 THE COURT: Thank you. Mr. Stemplewicz?
23 MR. QUINN: Michael Quinn for the government.
24 THE COURT: Sorry, Mr. Quinn.
25 MR. QUINN: That's all right. We have no questions.
1971
1 No cross, Your Honor.
2 THE COURT: Perfect timing. It's 5:00. You may step
3 down, Mr. Zippin.
4 (The witness steps down.)
5 Unless the game goes into extra innings, in which case --
6 we'll see you all here at 9:30 tomorrow morning.
7 (Proceedings adjourned at 4:59 p.m.)
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
1972
1 INDEX
2 WITNESS: PAGE:
3
Donald Pallais Direct Examination Cont'.......... 1865
4 Cross-Examination................. 1867
Richard Fitzgerald Direct Examination................ 1879
5 Cross-Examination................. 1913
Redirect Examination.............. 1928
6 Jeffrey Zippin Direct Examination................ 1934
7 *****
8 EXHIBITS RECEIVED
9 Plaintiff Exhibit No. 4283............................. 1866
10 Plaintiff Exhibit Nos. 4210 and 575 ................... 1877
Plaintiff Exhibit No. 4285............................. 1930
11
12 *****
13
14
15
16
17
18
19
20
21
22
23
24
25
| en |
markdown | 493984 | # Presentation: 493984
## Maternal SSRI-Use During Pregnancy and Neonatal Neurobehavioral Outcome Philip Sanford Zeskind, Ph.D. Director, Neurodevelopmental Research Department of Pediatrics Carolinas Medical Center - Charlotte and University of North Carolina – Chapel Hill
## Background Issues
- High rates of maternal depression and SSRI-use among women of child-bearing age
- Serotonin levels, affected by maternal SSRI-use, has fundamental role in cell development and brain function
*Determining whether this neurotransmitter has adverse effects on development has been based on studies mostly using measures of birthweight, preterm birth and physical anomalies*
## Methodological Issues
- All infants full birthweight, in term nursery
- a. no abnormal signs on routine physical and neurological examinations
- 17 SSRI-exposed and 17 non-exposed
- matched on maternal age, cigarette-use and SES
- no differences in demographic characteristics
- Studied via direct, blinded observation and measurement
- a. not based on medical record review
## Neurobehavioral Outcomes SSRI-exposed infants:
- Greater *tremulousness*
- Increased *startles* (arousals)
- Greater generalized *motor activity*
- Disrupted *Sleep-State* Architecture
- a. Increased *REM Sleep*
- b. More *rigid state* organization
- c. Depressed *range of states*
- Disrupted *autonomic organization* (HRV)
***All measures previously used***
*** ******to detect effects of prenatal drug exposure***
***and/or to differentiate high risk infants***
## Neurodevelopmental Effects SSRI-exposed Infants:
- Lower gestational age by 1 week
- Within a full birthweight sample in term nursery
- Similar to previous findings
- A symptom of other developmental problems affecting maturation rate and maternal-fetus interactions
- Often interpreted as *the* problem or complication
- Associated with development of autonomic regulation (HRV and startles)
## Effects on Further Development
- Developmental and drug-toxicology literatures have clearly shown these neurobehaviors to be related to subsequent development
- Emphasis on measures of autonomic and behavioral regulation
- Less emphasis on standardized tests (e.g., IQ, language)
- Unsolicited letters and email describing observable motor effects still evident at 2 years
- Supports the one long-term effect documented on motor development from 6-24 month year-olds
## Withdrawal Syndrome?
- Withdrawal Syndrome
- Neurobehaviors may reflect effects of sudden withdrawal from medication
- Some suggest providing additional SSRIs in neonatal period to help adaptation
- Serotonin Syndrome
- Fetus bathed in serotonin during development of nervous system
- Direct neurotoxic effects
- Effects on synaptic development, adaptation and function
- Provision of additional SSRIs to ease withdrawal may be contraindicated
## Conclusions
- Maternal use of SSRIs during pregnancy may disrupt neurobehavioral development of newborn infant.
- Birthweight, preterm birth and physical anomalies are insufficient measures of effects of prenatal SSRI-exposure.
- Neurobehavioral effects may be evidence of direct neurotoxic effects on development of nervous system, as well as a withdrawal syndrome.
- Effects of exposure *during* nervous system development different than withdrawal *after* nervous system developed in adults.
## A Question of Balance
- A careful cost-benefit analysis should be discussed by physician and patient when considering to use SSRIs during pregnancy to treat maternal depression. | en |
markdown | 207869 | # Presentation: 207869
## NIH Management Initiatives
- Ms. Colleen Barros
- Deputy Director for Management
- Acquisition Symposium
- November 10, 2004
## Overview
- Overview of total NIH restructuring effort
- Principles and Management/Governance Framework
- Status report
## Overview – NIH Change Initiatives
- _Government-wide_
- _DHHS-wide_
- _NIH-ARAC_
- E-Gov
- 25 known initiatives
- Largest impact is e-Travel.
- GSA announced requirement to begin installing of new system.
- DHHS has selected Gelco-based system thru Northrup Grumman.
- DHHS calling for NIH implementation in FY 2005.
- A-76
- Successful NIH bids for Grants and Real Property.
- 12 studies underway/completed for FY 2004.
- Preplanning for 9 studies in FY05
- Accounting Initiatives
- System - all Agencies run accounting operations on single software configuration maintained by DHHS.
- Operations – Workgroups, studies exploring use of Shared Services.
- Procurement Initiatives
- DHHS-wide workgroups standardizing elements of the procurement systems;
- Decisions to date include use of standard software.
- Budget – Continue decentralized services; centralize limited functions.
- Finance – Continue centralized services but within the context of a new financial system and DHHS centralization efforts.
- HR – Centralize all operations.
- Facilities – Restructure centralized functions.
- Acquisitions – Continue decentralized model but with fewer decentralized acquisitions offices.
- EEO – Centralize all operations.
- IT – Centralize selected functions
- Grants Management – Service Centers for non-IC-specific functions.
- Undertake administrative change that enhances the NIH research mission.
- Assume ARAC report represents policy direction; implementation groups have flexibility in defining optimal approach.
- Achieve efficient use of FTE’s w/o diminution of service.
- Actively involve community, including customers, in implementation planning.
- Create customer service advisory boards for services to be centralized.
- Undertake comprehensive change management including communication and training.
- Promote “best practices” through benchmarking and performance standards, and sequence efforts with IT initiatives to assure that reengineered business processes are incorporated into system development.
- Achieve standard business processes.
- Assure governance through Working Groups and Steering Committee.
- Principles to Guide Program of Change
- Coordinate, as appropriate with DHHS to maximize efficiencies.
## ARAC Implementation - NIH Management Framework
- DDM
- Overall responsibility for the management of the program of change on behalf of NIH Director.
- Assures presentation of policy issues through the NIH Governance structure
- Assures that individual initiatives are coordinated with other NIH initiatives.
- Functional Managers
- Overall responsibility for managing the development and implementation of an individual change initiative.
- Responsible for assuring that the change initiative is managed consistent with NIH/DHHS policy and the principles established by the NIH Steering Committee.
- Raise cross-cutting issues to DDM if cannot be resolved.
- ARAC Implementation Groups
- Assist the Functional Manager in developing and executing the implementation plan.
- Provide advice on procedural and policy issues that emerge.
- National Academy of Public Administration – Contracted by NIH to assist in the implementation of ARAC initiatives.
## Management/Governance Framework
- NIH Working Groups
- Approve implementation plans or modifications to plans for initiatives within its purview.
- Resolve policy issues that fall exclusively within its purview.
- Make recommendations to the Steering Committee on cross-cutting or policy issues that have NIH-wide corporate consequences.
- Keep abreast of overall progress in formulating and executing the initiative and that it is consistent with NIH/DHHS policies and the principles approved by the NIH Steering Committee.
- NIH Steering Committee
- Approves principles that guide NIH change initiatives.
- Provides overall oversight for the development and execution of the total program of change.
- Resolves cross-cutting or policy issues that have NIH-wide corporate consequences.
## NIH Governance Structure
**Dr. Elias Zerhouni, Chair**
**Steering Committee**
**Ten IC Directors**
**Facilities**
** ****Working Group**
**Management**
**&**
**Budget **
**Working Group**
**Information Technology**
**Working Group**
**Intramural Activities**
**Working Group**
**Extramural Activities**
**Working Group**
## Working Groups and ARAC Initiatives
| Management & Budget | Information Technology | Facilities | Intramural Activities | Extramural Activities |
| --- | --- | --- | --- | --- |
| Acquisitions | IT | Facilities | | Grants |
| Finance | | | | |
| Budget | | | | |
| HR | | | | |
| EEO | | | | |
## ARAC Status Report - NIH Governance
- All Managers must present Implementation Plan to their Working Group and to the Steering Committee
- Purpose is to assure:
- NIH leadership agreement with Implementation Plan;
- Consistency with the principles approved by Steering Committee
- Reasonableness of proposed timelines.
- All initiatives have been presented to their respective Working Group – Acquisitions presented to the Management and Budget Working Group.
- Presentations to the Steering Committee are in progress – Acquisitions to be presented to the Steering Committee shortly.
## ARAC Status Report – NAPA Panel
- All ARAC initiatives have been presented to a Panel convened by the National Academy of Public Administration
- Distinguished executives who oversee the NAPA staff effort.
- Primary emphasis of Panel has been to assure benchmarking, performance indicators, customer input and change management.
- Acquisitions initiative presented to NAPA Panel on November 5.
## Status of Initiatives
- EEO
- NIH-wide implementation of EEO consolidation planned for October 2004.
- Organizational structure and function definitions established.
- FTE and dollar transfers occurred Oct 3, 2004.
- Implementation plan approved and one-year transition period has begun.
- Benchmarking and best practices development underway.
## Status of Initiatives
- IT
- FY2003 Accomplishments: have completed consolidation of 25 Help Desks to 1; 14 e-mail systems to the NIH Central System; and 21 wireless networks.
- FY2004 Initiatives completed by October 31, include:
- Establishing a single active directory to manage user identities in lieu of 18 domains--have completed 7 migrations.
- Consolidating network monitoring and problem detection/notification; remote access to the NIH Network; and network construction and management in new/renovated buildings. Network monitoring transition schedule for ICs has been developed and reconfigurations began in July.
- Restructuring videoconferencing between CIT and ORS. Consolidation objectives will be achieved with completion of Medical Visual Arts competitive sourcing.
- Restructuring lines of authority--IC CIOs to be accountable to NIH CIO for IT infrastructure. Proposed approach presented to ITWG and EOs.
## Status of Initiatives
**Grants Management**
- Consolidate training of grants management staff with coordination by the Office of Extramural Research. Two modules have been developed and approved by GMAC – will be initiated in FY 2005.
- Consolidate non-IC specific grants management functions.
- Two activities -- grants close out and NRSA appointments and terminations -- will be consolidated with the establishment of the Division of Extramural Activities Support.
- Receipt and imaging of non-competing applications centralized October 2004.
- Develop uniform core business practices to assure consistency of procedures across ICs. A set of standard award terms have been developed and will be approved by GMAC for mandatory use.
- Pilot benchmarks for determining appropriate staffing levels. Metrics for grants weight factors have been prepared, refined, and approved by GMAC. They will be applied across all ICs for comparison, and then used to formulate recommendations for next steps to take in 2005.
## Status of Initiatives
**Human Resources**
- Have undertaken a comprehensive assessment by HR customers of service needs.
- Based on assessment, have developed an HR Strategic Business Plan with 15 initiatives that focus on customers, stakeholders, internal practices, and competency development.
- Business plan was presented to MBWG in July.
- Have established a HR Strategic Advisory Committee – first meeting occurred in September.
**Budget**
- Workgroup has been established to:
- Identify common functions that could be consolidated centrally, and
- Strengthen the linkage between the central budget office and IC budget offices.
- An implementation plan has been developed.
- Staffing data has been collected and approaches to formalize the sharing of best practices among the budget community are being examined.
## Facilities
Functions from regional facilities at NIEHS, RML, Phoenix, and Baltimore centralized October 1, 2004.
NIH has competed successfully as the Most Efficient Organization for real property functions but the final outcome is awaiting an independent review to identify any needed adjustments to the government’s bid.
A plan for consolidating conference room management for rooms with capacity greater than 50 is being developed.
Finance
An implementation group has been formed and activities currently focus on addressing issues related to the merger of the NBS and UFMS.
NAPA is performing an organizational and business process review for determining the best organizational option for the future.
- Functions from regional facilities at NIEHS, RML, Phoenix, and Baltimore centralized October 1, 2004.
- NIH has competed successfully as the Most Efficient Organization for real property functions but the final outcome is awaiting an independent review to identify any needed adjustments to the government’s bid.
- A plan for consolidating conference room management for rooms with capacity greater than 50 is being developed.
- Finance
- An implementation group has been formed and activities currently focus on addressing issues related to the merger of the NBS and UFMS.
- NAPA is performing an organizational and business process review for determining the best organizational option for the future.
- Status of Initiatives
## Status of Initiatives
- Acquisitions –
- Consolidation of NIH Acquisitions, including R&D Contracting, into 6 Service Centers.
- Project schedule drafted and being aligned with NBS deployment schedule for acquisitions.
- Alternative organizational configurations being assessed.
- Methodology being developed to determine optimal workload and staffing allocation.
- NAPA undertaking benchmarking with non-NIH Federal and University organizations.
## For the Future
- Continue to balance all change initiatives
- Emphasis on appropriate synchronization
- Must maintain continuity in supporting the mission
- Continuously evaluate
- Strengthen data analysis and oversight capability
- Customer Service Boards
- Create risk assessment capability | en |
converted_docs | 196416 | **Time Allocation for Discrepancy Correction**
FSTD Guidance Bulletin 01-04
The initial time period allotted for correction of a discrepancy that
affects the operation of the FSD discovered during any NSP-conducted FSD
evaluation may not exceed 30 days. The initial time allotted for
correction of a discrepancy not affecting the operation of the FSD may
not exceed 60 days. However, we recognize the possibility of some
discrepancies requiring longer time periods to effect an appropriate
correction. To acquire periods longer than 30 days (or 60 days, if
appropriate) for correction of the relevant discrepancy, the FSD sponsor
must make written request to the NSPM --facsimiles are acceptable. The
request must include the following information:
1. the FAA ID number for the FSD;
2. the test number involved, QTG reference if appropriate, and either a
copy of the discrepancy or the text of the write-up;
3. the date the discrepancy was found;
4. a description of the discrepancy;
5. the due date for correction of the discrepancy;
6. an indication of the necessity for an extension beyond the 30 days
(or 60 days, if appropriate);
7. a description of what actions have been taken toward correction
since the discovery; and
8. an estimated date by which the correction is to be completed.
This request must be received by a date that will provide the NSP staff
sufficient time to conduct a proper review of the request prior to the
established correction date. The decision to grant an extension
(including the length of the extension) will be made after coordination
with the POI/TCPM, where appropriate, and will be based on the following
factors:
1. sponsor-supplied information,
2. the actions that have been taken up to the time of the request, and
3. how/if the FSD operation is affected by the discrepancy in question.
All restrictions to the use of the FSD as a result of the discrepancy in
question will remain in force until that discrepancy is corrected.
If a sponsor does not agree with the decision or the time involved, a
formal letter requesting reconsideration should be made to the National
Simulator Program Manager as far in advance of the due date as possible.
We will review the request and inform you of our decision.
| en |
markdown | 469650 | # Presentation: 469650
## Person Name Prefix Abbreviation Text Final Recommendations
**Person Name Prefix Abbreviation Text****Final Recommendations**
**VCDE Small Group**
**Mary Cooper, Kristel Dobratz, Rakesh Nagarajan, Linda Schmandt, Grace Stafford and Lynne Wilkens**
**10/18/2007**
## Issues for Consideration
_**Focus**_
- Harmonize existing value domains
- Abbreviations for prefix social titles used with a person’s name
_**Specificity**_
- Speaking (ex., Dr. Smith)
- Written Address (ex., Mr. Smith)
- Uniformed Services Prefixes
_**Applicable Standards/References**__ _
- HL7 v2.x and 3 Ballot, CDISC, DICOM, ANSI HISPP MSDS, EPA, HR-XML
_**Out of Scope**_
- Abbreviations used as suffixes, such as academic degrees
- Position Honorifics (HRH, His Holiness, President)
- Royalty or Lineage Titles (Duke, Earl, Prince)
## Use Case Analysis
**Purpose of Standard:**
- Capture of formal titles as an abbreviated prefix to a person’s name
**Uses/Applications:**
- Lung Cancer Biomarker Chemoprevention Consortium
- CCR
- CDISC
- DICOM
- Firebird
- HL7 v2.x, v3 Ballot
## Proposed Components for Standardization
- New data element concept - Person Name Prefix
- Reuse DCP value domain with modifications to create new from existing - Name Prefix Abbreviation Text
**New data element – Person Name Prefix Abbreviation Text**
- New data element concept –
- Person US Military Rank Name Prefix
- New non-enumerated value domain with referenced list of values from Department of Defense
**New data element – **
** ****Person US Military Rank Name Prefix Abbreviation Text**
## caBIGTM Review Comments/Responses
**Comments were received during caBIG****TM**** review period:**
- Value meaning description/definition
- Proposed templates
- Variety of names given by study participants
- Coordination of representation terms with Suffix CDE recommendations
**Changes made in response to comments:**
- Submitted new definition to EVS
- Removed template CDEs
- Referred comments to CDE Leadership small group
- Created new value domains
## Recommendation Details Person Name Prefix Abbreviation Text
_**Person Name Prefix**_
- New VD 2663163v1.0
- Object = Person (C25190)
- Property = Name (C42614)
- Prop. Qualifier = Prefix (C54066)
- Definition: An affix occurring before the beginning of word or group of words indicating the identity of a person.
_**Name Prefix Abbreviation Text**_
- New VD = Public ID 2689307v1.0
- Representation Term: Text (C25704)
- Definition: The abbreviation that represents an affix occurring at or before the beginning of an individual's name.
- Data Type = Character
- Max length = 20
_**Person Name Prefix Abbreviation Text**_
**New CDE 2663165v1.0**
- Definition: The abbreviation that represents an affix occurring at or before the beginning of an individual's name.
**Data Element Concept**
**Value Domain**
**Data Element**
## Recommendation Details Name Prefix Abbreviation Text - Permissible Values
| Permissible Value | Value Meaning | Concept Code | Value Meaning Description (proposed) |
| --- | --- | --- | --- |
| Bish. | Bishop | C69162 | A courtesy title for a person who supervises a number of local churches or a diocese, being in the Greek, Roman Catholic, Anglican, and other churches a member of the highest order of the ministry. |
| Br. | Brother | C48648 | A courtesy title for a member of a religious order, fraternity, movement, or other group. |
| Ch. | Chaplain | C69163 | A courtesy title for an ecclesiastic attached to the chapel of a royal court, college, etc., or to a military unit. |
| Dr. | Doctor | C69164 | A courtesy title for a person who has received a doctoral degree or practices medicine. |
| Fr. | Father | C69165 | A courtesy title of reverence, as for church dignitaries, officers of monasteries, monks, confessors, and especially priests. |
| Mr. | Mister | C69166 | A courtesy title of respect for a man. |
| Miss | Miss | C69167 | A courtesy title of respect for an unmarried woman. |
| Mrs. | Mrs | C69168 | A courtesy title of respect prefixed to the name of a married woman. |
| Ms. | Ms | C69169 | A courtesy title used before the name of a woman without making a distinction between married or unmarried status. |
| Prof. | Professor | C69170 | A courtesy title for a teacher of the highest academic rank in a college or university. |
| R. | Rabbi | C69171 | A courtesy title of respect for a Jewish scholar or teacher. |
| Rev. | Reverend | C69172 | A courtesy title of respect applied or prefixed to the name of a member of the clergy or a religious order. |
| Sr. | Sister | C48649 | A courtesy title for a member of a religious order, fraternity, movement, the nursing profession, or other group. |
## Recommendation Details Person US Military Rank Name Prefix Abbreviation Text
_**Person United States Military Rank Name Prefix**_
- New DEC 2665349v1.0
- Object = Person (C25190)
- Prop. Qualifier 1 = United States (C17234)
- Prop. Qualifier 2 = Military (C68638)
- Prop. Qualifier 3 = Rank (C48904)
- Prop. Qualifier 4 = Name (C42614)
- Property = Prefix (C54066)
- Definition: An affix occurring before the beginning of a word or group of words indicating the rank of an individual serving in the United States uniformed services. [Explanatory comment: Includes all U.S. armed services and Public Health Commissioned Corps.]
_**Person United States Military Rank Name Prefix Abbreviation Text**_
**New CDE 2665353v1.0**
- Definition: The abbreviation that represent the rank for personnel in the United States uniformed services as an affix occurring at or before the beginning of an individual's name. [Explanatory comment: Includes all U.S. armed services and Public Health Service Commissioned Corps.]
_**United States Military Rank Name Prefix Abbreviation Text**_
- New VD Public ID 2665351v1.0
- Representation Term: Text (C25704)
- Definition: The abbreviation that represents the rank for personnel in the United States uniformed services as an affix occurring at or before the beginning of an individual's name.
- Data Type = Character (15)
- Permissible Values - **accessible by reference**
## Recommendation Details References for US Military Ranks
**Non-enumerated VD with list of values by reference**
- Department of Defense Source - _[http://www.defenselink.mil/specials/insignias/officers.html](http://www.defenselink.mil/specials/insignias/officers.html)_
- _[http://www.defenselink.mil/specials/insignias/enlisted.html ](http://www.defenselink.mil/specials/insignias/enlisted.html)_
- US Public Health Commissioned Corps Source:
- _[http://commcorps.shs.net/aboutus/uniforms.aspx](http://commcorps.shs.net/aboutus/uniforms.aspx)__ _
## Suggested UML Guidance
- Goal is to provide reusable/searchable metadata for manual and automated curation methods
- Standardize CDEs from existing caDSR content
- Highly recommended: UML model to fit proposed standard CDEs
## UML Model Guidance (Highly Recommended)
**Person Name Prefix Code - 2663165 **** **
**Person United States Military Rank Name Prefix Code - 2665353**
**Map attributes to Standard CDEs**
**UML Model**
## Next Steps
**Questions/comments?**
**VCDE WS vote to adopt ** | en |
converted_docs | 679729 | The Binational Migrant Education Teacher Exchange Program:
A Guide for Supporting "Education Without Borders"
*ESCORT, formerly the Eastern Stream Center on Resources and Training,
located at the*
*State University of New York at Oneonta, is a national resource center
dedicated to improving the educational opportunities for migrant
children. Based on funding from a variety of sources, ESCORT conducts
professional and program development activities for SEAs, LEAs, and
schools to improve services to migrant children and English Language
Learners. Under contract with the U.S. Department of Education, ESCORT
also maintains the National Migrant Education Hotline and provides
technical and logistic support to the U.S. Office of Migrant Education
on a wide variety of interstate coordination activities.*
ESCORT
Bob Levy, Director
306 Bugbee Hall
State University of New York at Oneonta
Oneonta, NY 13820
800-451-8058
607-436-3606 (fax)
[www.escort.org](http://www.escort.org/)
The principal author and collaborator was Bridget McGilvra, Education
Specialist
at ESCORT. Conversion of the files in preparation for WWW posting was
done by Bob Thomas, Director of Information Services at ESCORT.
The staff at SERVE was responsible for the major editing and graphic
design for the
publication. Thanks to Dr. Donna Nalley, SERVE Director of Publications,
and Tracy
Hamilton, SERVE Senior Graphic Designer/Art Director.
SERVE
John R. Sanders, Executive Director
P.O. Box 5367
Greensboro, NC 27435
800-755-3277
336-315-7457 (fax)
[www.serve.org](http://www.serve.org/)
*The contents of this publication do not necessarily reflect the views
of the U.S. Department of Education, Office of Migrant Education, nor
does mention of trade names, commercial products, or organizations imply
endorsement by the U.S. Government. This document was produced with
funding from the Office of Migrant Education, U.S. Department of
Education, under contract number SM9600900.*
**Acknowledgments**
The development of this guide was made possible through the effort and
contributions of many friends of the Binational Migrant Education
Program.
The following people receive our thanks and gratitude for helping to
create a
resource that will assist educators working on behalf of binational
children and
their families. Thanks to the following individuals for sharing their
time,
experiences, and expertise:
**Pilar Aceves**, Mexican Consulate, Georgia
**Betty Alfred**, Migrant State Director, Nebraska
**Kristina Barber**, Former Education Program Specialist, Office of
Migrant
Education, U.S. Department of Education, Washington, D.C.
**Michael Bassett**, Binational Teacher Exchange Program, Alabama
**Angela Branz-Spall**, Migrant State Director, Montana
**Edda M. Caraballo**, Bilingual Education Consultant, California
Department
of Education, Migrant Education International Office, California
**Beatriz Ceja**, Education Program Specialist, Office of Migrant
Education,
U.S. Department of Education, Washington, D.C.
**María Chávez**, Director of Migrant Education---Region IX, California
**Frank Contreras**, Director, Center for Migrant Education, Texas
**Frances Mannino Corse**, Project Area Manager, Pennsylvania
**Diane Courtney**, Former Migrant State Director, Alabama
**Susan Durón**, Director, META Associates, Colorado
**Margarita Elorriaga**, Migrant Education Even Start Coordinator,
Pennsylvania
**Marcela Estevez**, Mexican Consulate, Orlando, Florida
**Bob Levy**, Director, ESCORT, New York
**Práxedes Martinez**, Former Migrant State Director, Colorado
**Ray Melecio**, Senior Education Specialist, ESCORT, Florida
**Cecilia Navarrete**, Independent Consultant, Research Coordinator, New
Mexico Highlands University, New Mexico
**Linda Osborne**, Program Specialist, Putnam County Migrant Program,
Florida
**Mary Rodríguez Padilla**, Grant Coordinator, Center for Migrant
Education, Texas
**Marta Okubo Peña**, Director, Migrant Education Program, Region 19,
Texas
**Manuel Recio**, Migrant State Director, Pennsylvania
**Ernesto Ruiz**, Director of Migrant Education---Region II, California
**Andrea B. Vázquez**, Assistant Director, Center for Migrant Education,
Texas
**Photo Credits**
Many of the photographs used throughout this *Guide* were provided by
the
Montana Migrant Education Program.
Sources for the remainder of the photographs include Comstock KlipsTM,
EyeWireTM Images, and PhotoDisc®.
**CONTENTS**
**SECTION I:**
# Introduction 6
**SECTION II:**
**Getting Started 8**
Planning Timeline for a Teacher Exchange Program 8
The Application Process 10
**SECTION III:**
**Teacher Selection 12**
Teacher Participation Requirements 12
Selection Considerations 12
Selection Procedures 12
**SECTION IV:**
**Program Logistics 14**
Budgeting 14
Binational Travel: Arrival & Departures 15
Local Transportation 17
Meals and Lodging 19
Teacher Stipends 22
Required Documentation---Visas 23
Medical Care 24
**SECTION V:**
**Staff Development 25**
Orientation and Training in Mexico 25
Receiving Site Pre-Service Training 25
On-Site Orientation and Joint Planning 26
Professional Exchange 26
English Proficiency 27
**SECTION VI:**
**Promoting Cultural Awareness 30**
Parent and Community Outreach Efforts 32
**SECTION VII:**
**Conclusion 35**
**CONTENTS**
**SECTION VIII:**
**Appendices 35**
Appendix A: Convocatoria/Invitation 36
Appendix B: Binational Teacher Exchange 41
Program Application
Appendix C: Title I Migrant State Directors 45
Appendix D: List of Mexican Consulates andMexican Cultural Institutes 52
Appendix E: Visiting Teacher Survey (English) 55
Appendix F: Visiting Teacher Survey (Spanish) 57
Appendix G: Activities Checklist and Timeline 59
**SECTION ONE**
**Introduction**
As the number of Mexican nationals maintaining households in both Mexico
and the United States continues to increase, creative efforts are being
sought to promote continuity of education for the children and to foster
cultural understanding. Educational transfer documents are being
utilized, schools and communities are hosting cultural appreciation
days, and the formation of collaborative partnerships among diverse
groups is on the rise.
The Binational Migrant Education Program (BMEP) is one such creative
effort. The primary goal of BMEP is to improve the education of migrant
children who travel between the U.S. and Mexico. One of the principal
program components designed to improve educational continuity for
binational students is the Binational Teacher Exchange Program.
The effort to better serve migrant children traveling between the U.S.
and Mexico began in 1976. Educators in California initially met with
their Mexican counterparts to discuss issues related to educating this
highly mobile student population. Soon thereafter, other border states
joined the effort, giving birth to the Binational Migrant Education
Program. The program consists of semi-independent activities that are
negotiated and sponsored by
individual states in the U.S. and Mexico.
To promote and support such efforts, the U.S. Department of Education
and the Ministry of Education in Mexico signed a Memorandum of
Understanding in 1990. The memorandum of Understanding outlines the
following objectives:
- To reinforce knowledge about the history, culture, values, and
national traditions of Mexican-origin students who live in the U.S.,
strengthening their identity and improving their education.
- To encourage ongoing communication between U.S. and Mexican teachers
in order to share educational experiences that promote continuity of
educational practices.
- To improve the educational services offered to the Mexican and
Mexican-descent school population living in the U.S. through the
Binational Teacher Exchange Program.
As national efforts to articulate academic standards among states
continue, similar efforts to enhance continuity of education for
students moving between nations are increasing as well. One effective
way of minimizing educational disruption for students attending schools
in more than one country is through teacher exchange programs. Rather
than merely addressing the educational needs of one child through
telephone consultation or sending textbooks and assignments, teacher
exchange programs enhance overall understanding of educational
practices, requirements, and expectations among participating nations'
educators and policymakers.
Through exchange programs, teachers have opportunities to learn
first-hand
about different countries':
- Standards and benchmarks
- Testing requirements
- Curriculum, instruction, and assessment practices
- General and special program offerings
- Class size and structure
- Successful teaching strategies
- Effective discipline methods
- Expectations for parent involvement
The purpose of this guide is to:
- Describe key components of a Binational Teacher Exchange Program
- Explain the steps necessary to consider when planning and
implementing a Binational Teacher Exchange Program
- Present examples of successful strategies used in implementing a
Binational Teacher Exchange Program
This publication is not intended to be the definitive authority on
teacher exchange. Rather, it presents recommendations pertaining to
timelines, procedures, and issues to consider based on the experience of
states in the U.S. that have implemented binational teacher exchanges
with Mexico. Story boxes throughout the text highlight lessons learned
in past years of program implementation, and a list of contacts for the
Binational Teacher
Exchange Program can be found in the Appendix.
**SECTION TWO**
**Getting Started**
**A. Planning Timeline for a Teacher Exchange Program**
The planning process for the exchange program begins well before
teachers arrive at their intended destinations. Applications must be
submitted, both by interested program administrators and potential
exchange teachers. Areas of program need and teacher expertise must be
matched. Housing, transportation, and meal plans must be arranged.
Adherence to the recommended activities timeline on the following page
will help migrant project administrators manage the many details
required in planning and implementing a successful teacher exchange
program.
**Table 1: Binational Teacher Exchange Activities Timeline**
**November -** Mexico's Secretariats of Foreign Affairs and Public
Education send the
Convocatoria (invitation) to Mexican Consulates and State Education
Agencies in the U.S.
Teacher Exchange Program Visa Process is initiated. (See page 24)
**December** - Mexican Consulates in the U.S. send Teacher Exchange
Program applications to state MEP administration.
**January -** Individual Mexican states inform the Secretariat of
Foreign Affairs (SRE) of
the number of teachers they will sponsor to participate in the program.
School districts and local education authorities submit to their U.S.--
Mexican Consulate the number of Mexican teachers they wish to receive.
**February** - The Secretariats of Education of each participating
Mexican state submit a
list of teachers selected for the exchange, along with their resumes, to
the
SRE to be assigned to sites.
**March -** March 1, MEP administrators submit completed applications to
their U.S.--
Mexican Consulate.
**April -** The SRE, along with participating Mexican states, finalize
assignments
for exchange teachers to migrant program sites, based on the information
submitted by MEP administrators on the program application.
Initiated by the Mexican Consulates in the U.S., direct lines of
communication are established between the Mexican Consulates, MEP
administrators, Mexican state-level binational contacts, and exchange
teachers to discuss programmatic and logistical information. The
required teacher information is provided for the required visa
documentation.
Through combined efforts of MEP administrators, the Mexican Consulate in
the U.S., exchange teachers, and the American Embassy in Mexico,
requirements for visas are met at least one month prior to teachers'
arrival.
Many exchange teachers attend an orientation meeting hosted by Mexico in
Patzcuaro, Michoacan.
**May -** Mexican Consulates and MEP administrators finalize
arrangements for lodging, food, local transportation, visas, and stipend
with Mexican sending state binational contacts and exchange teachers at
least one month prior to teachers' arrival.
**Mid-May** -The SRE, along with participating Mexican states, informs
Mexican
Consulates and receiving MEP administrators of arrival information and
finalizes local transportation to program site.
**July--August** - Data-gathering materials regarding the implementation
of all components
of the BMEP sent to MEP state directors by the Center for Migrant
Education.
**August -- September** - Data-gathering surveys and reports submitted
by state directors to the
Center for Migrant Education.
**B. The Application Process**
While some MEP administrators who have participated in the Binational
Teacher Exchange Program have dealt directly with individual Mexican
states when making arrangements, others have established partnerships
with their local Mexican Consulates to facilitate the Teacher Exchange
Program. Representatives from the Office of the Mexican Consulate
throughout the U.S. have been instrumental in facilitating the many
requirements and details associated with the program in the following
ways:
- Distributing program applications to MEP administrators
- Establishing and maintaining communication with national and
state-level Mexican binational program administrators
- Assisting MEP administrators in securing the teachers best suited to
meet their programmatic needs
- Helping facilitate the visa and immigration requirements for
selected teachers
- Working with Mexican sending states to arrange for travel to and
from the U.S.
- Working with local MEP staff to arrange for meeting the teachers at
their point of arrival in the U.S. and transporting them to their
local destination and back to the airport at time of departure
- Visiting program sites and participating in program activities
- Providing MEP staff and exchange teachers with guidance and support
in areas of need
(*Note: A list of the Offices of the Mexican Consulates in the U.S. can
be found in the Appendix*.)
As indicated on the activities timeline, in December, the Mexican
Consulates in the U.S. send program applications to representatives of
the MEP. Generally, the completed program application is due back to the
Consulate's Office March 1. While the exact status of migrant summer
program allocations and programming needs may not be
finalized at this early date, MEP administrators should use their best
judgment of past trends and needs of migrant populations in their area
to complete the application(s).
Any changes in summer program plans that occur after the application is
submitted should be communicated directly both to the Mexican Consulate
and the binational contact person in the state(s) from which teachers
are coming.
While some of the following items are not listed on the Teacher Exchange
Application, providing this additional information will assist with
teacher selection and site assignment decisions.
**Checklist for Program Design and Components and Targeted Student
Population**
**Please mark all of the following statements that describe the students
to be served and the program(s) in which exchange teachers will be
assisting:**
\_\_ Site-Based Program
\_\_ Outreach Program
\_\_ Daytime Schedule
\_\_ Evening Schedule
\_\_ Weekend Activities
\_\_ Staff Development Training
\_\_ School-District-Funded Summer School
\_\_ Migrant-Only Summer Program
\_\_ Adult Classes (ESL, GED, etc.)
\_\_ Other Summer Programs (4-H, Parks and Recreation, Church Programs,
etc.)
**Answer questions in the spaces provided:**
Number of students expected to attend, by ethnic group:
\_\_\_ Hispanic \_\_\_ Asian
\_\_\_ African \_\_\_ American Caribbean
\_\_\_ Caucasian \_\_\_ Other
Total number of migrant students expected to attend: \_\_\_
Number of students attending for academic promotion, earning credit,
etc.: \_\_\_
Number of students attending for enrichment: \_\_\_
Exchange Teacher mainly responsible to teach:
\_\_\_ Academic Subjects
\_\_\_ Mexican Culture, History, Dance, Art, etc.
Amount of stipend to be provided:
\$\_\_\_\_\_\_ per \_\_\_\_\_\_
(*Note: The Teacher Exchange Program application is available in the
Appendix*.)
**SECTION THREE**
**Teacher Selection**
**A. Teacher Participation Requirements**
In the "Invitation to Participate," Mexican binational administrators
state that, to ensure a positive and successful experience, they select
only teachers that meet the following requirements:
- Bachelor's degree in the area of pedagogy or certificate-diploma
from the Normal School or Upper Normal School (equivalent to BA or
BS in Education)
- Minimum of three years' experience as a classroom teacher
- Mastery of verbal communication in English
- Willingness to participate in community or extracurricular
activities
- Knowledge of the educational issues of the Mexican rural environment
- General knowledge of the Mexican school system
- Knowledge of Mexico's history, traditions, and culture
- Experience in designing educational programs and materials
- Ability to integrate Mexican art, music, and dance into lesson plans
# B. Selection Considerations
Some MEP directors select their own teachers. In addition to the above
criteria, MEP directors may also want to consider some of the following
attributes when selecting teachers:
- Background experience and area(s) of certification
- Mexican home-base states of their binational students
- Language proficiency---may require higher proficiency if U.S staff
is not bilingual, working in secondary content courses, etc.
- Previous BMEP experience
- Outreach experience
- Special talents
**C. Selection Procedures**
To promote consistency and equal access to the selection process, it is
recommended that MEP administrators adhere to the timeline in Section II
to facilitate the timely selection, placement, and preparation of
participating teachers. The application process for interested Mexican
teachers requires several months. Teachers are interviewed for possible
participation in the program between February and March. Prior to this,
positions are advertised and interested teachers submit their resumes to
the binational
contact in their state.
Below are some ways MEP directors have been involved in teacher
selection:
- Directors located close to the border travel to Mexico to
participate in the interview and selection of teachers for their
sites.
- States that are further away or unable to travel to Mexico ask
directors that are going to Mexico to interview enough teachers for
their sites as well.
- Directors interview prospective teachers over the telephone.[^1]
To participate in the interview and selection process, directors should
contact the U.S. Mexican Consulate assigned to their area or the
binational contacts in the Mexican states from which the teachers are
being requested.
**SECTION FOUR**
**Program Logistics**
Planning for daily logistics is one of the greatest challenges in
implementing a successful teacher exchange program. The meeting of daily
needs (food, shelter, transportation, socialization, etc.) will affect
teachers' health, happiness, and ability to perform at their best. This
section contains information to consider when planning for the provision
and cost of lodging, meals, transportation, and stipends. Additionally,
issues such as documentation required for entrance into the U.S.,
handling medical problems, and making the teachers' stay productive and
comfortable are covered.
**A. Costs to Consider When Allocating a Budget for the Binational
Teacher Exchange Program**
Expenses for preparing exchange teachers to participate in the
Binational Teacher Exchange Program prior to their arrival in the U.S.
are covered by the Mexican government. This includes the application,
selection, and placement process, as well as intensive orientation and
training in Mexico for selected teachers. Mexico also covers the cost of
round-trip transportation to the airport closest to the receiving MEP
site.
Sites hosting exchange teachers are responsible for the remainder of
costs associated with the program listed below:
- Ground transportation once teachers arrive in the U.S. (airport to
program site, daily transportation to and from work site and all
social and cultural activities, car or van rental, staff driver,
gas, maintenance, insurance, etc.)
```{=html}
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- Lodging (apartment rent, hotel bills, dormitory costs, stipends to
host families, etc.)
- Meals (money for groceries, eating in restaurants, meal plans at
universities, lunches at work sites, stipends to host families, food
purchases for parties, staff-hosted activities, etc.)
- Stipends in lieu of a salary (this is in addition to monies for
lodging, meals, and transportation and may be saved by teachers,
sent home, or used for leisure activities)
- Materials and supplies needed for classroom and community projects
and activities beyond what teachers bring (art supplies, specialty
books, ingredients for ethnic meals, musical scores, video tapes,
etc.)
- Cultural activities and entertainment (teachers may be asked to
cover or contribute toward the entrance fee or cost of some
activities)
- Insurance requirements beyond what teachers have in their personal
policies (automobile, health, life, etc.) Information regarding
required insurance documents should be specified in advance.
- Emergency medical procedures (medical procedures on pre-existing
conditions would not be covered)
- Miscellaneous items such as phone calling cards, Internet access,
stamps, etc., as determined by MEP administrators
**B. Binational Travel: Arrival and Departures Helping Teachers Feel
Welcome**
MEP directors should receive a list of selected teachers from the
Mexican binational program between March and April. No later than one
month prior to the teacher's arrival, the migrant program site director
should ensure that details on the following issues are clearly
understood on both sides of the border:
- When and where teacher(s) will arrive in the U.S.
- Person assigned to meet and transport them to lodging or program
site(s)
- Arrangements for housing and meals
- Location of teachers' work site(s)
- Expected work schedule and duties
- Provision of daily transportation
- Date and location of teachers' departure from the U.S.
As suggested in item 22 of the Program Application, there may be more
than one possible arrival location and/or manner of transportation to
the program site. Some sites may fall between two airports, and
convenience of receiving sites as well as cost and connection
availability may factor into the ultimate decision. Some mode of ground
transportation other than a personal car may also be appropriate, such
as a bus or shuttle service.
However, it is the responsibility of receiving sites to arrange for
meeting the teachers at their initial arrival location and transporting
them either to the program site or their place of residence.
These details should be communicated to the Mexican Consulate and the
binational contact in the teacher's Mexican state so that flights can be
arranged. Due to considerations of cost, payment, ground transportation,
and distance to airports, flight arrangements will be made in Mexico.
Since round-trip arrangements should be made prior to the teacher's
departure from Mexico, ending dates for summer programs are an important
factor.
**A Proper Farewell**
The return travel for exchange teachers presents much less opportunity
for confusion than arrival, as arrangements are made and communicated to
all parties usually at least one month in advance of departure. U.S.
receiving sites are responsible for providing ground transportation to
the point of departure and accompanying teachers to the specific
departure area (airline gate, bus terminal, etc.). Representatives from
the Mexican Consulate may be available to assist with these activities.
Arrival schedules and ground transportation in Mexico are the
responsibility of the Mexican binational contact.
As travel arrangements are made before teachers arrive in the U.S.,
there are a few issues that should be considered:
- Will teachers leave the last day of the summer program?
- Will they need to participate in post-program activities?
- If the summer program is of short duration, will the teachers' stay
exceed the structured program?
- Will teachers work in other capacities with the MEP or community
programs serving migrant youth?
- Are teachers planning to extend their stay in the U.S. beyond the
end of the program for leisure purposes? If so, has this been
arranged with the Mexican binational contact?
- Are there any implications or responsibilities for U.S. binational
or MEP administrators for teachers that extend their stay
(expiration of visas, transportation, insurance, accidents, contact
persons, etc.)?
- If a change in return date is requested, is it possible to change
return transportation arrangements? Who will be responsible for
doing this? If there is a change fee, who is responsible to pay it,
and how will it be paid?
- What is the role/responsibility of the Mexican Consulate in the U.S.
in situations mentioned above?
**C. Local Transportation**
**Daily Ground Transportation**
Scheduling transportation for teachers over a four-to-eight-week period
can present numerous challenges. When planning for daily transportation,
teachers' work schedules should be considered along with leisure time
and personal needs. A variety of approaches have been utilized to
address transportation, based on the number of teachers, locations of
program sites, availability of program transportation, staff schedules,
and program budgets.
**Table II: Considerations for Various Types of Ground**
+-------------+------------------+------------------+----------------+
| **Trans | **Advantages** | * | **Cost** |
| portation** | | *Disadvantages** | |
+-------------+------------------+------------------+----------------+
| **School | -Available for | -Early day | -No |
| Bus with** | brief | | additional |
| | | -Long day/ride | staff |
| * | home | | |
| *Students** | visits/outreach | -Extra bus | cost---teacher |
| | | monitor duty | would |
| | -Supervision of | | |
| | | -Not available | not be paid |
| | students | for | extra to |
| | | | |
| | -Educational | leisure use/time | ride bus to |
| | activities--- | | and from |
| | | | |
| | use as extended | | home |
| | day | | |
+-------------+------------------+------------------+----------------+
| **Program | -Transport | -Long Day/Ride | -May require |
| Van** | several | | rental |
| | | -Scheduling | |
| | teachers plus | (when | -Route |
| | materials | | scheduling |
| | | there are | |
| | -Time for | several | -Gas |
| | planning, | | |
| | | teachers | -Maintenance |
| | learning about | transported | |
| | area, | | -Driver's |
| | | to multiple | salary |
| | bonding | sites in one | |
| | | | -Insurance |
| | -Possibly | vehicle) | |
| | available for | | |
| | | | |
| | leisure | | |
| | activities | | |
+-------------+------------------+------------------+----------------+
| **Host | -Efficient | -Scheduling | -Payment for |
| Family | | | use |
| Car** | -Comfortable | -Reliability | |
| | | | -Mileage |
| | -Personal | -Extra | |
| | | responsibility | -Insurance |
| | -Available for | | |
| | some | -Legal | |
| | | requirements | |
| | leisure | | |
| | | | |
| | - | | |
| | Bonding/learning | | |
| | time | | |
+-------------+------------------+------------------+----------------+
| **Staff | -Efficient | -Scheduling | -Extra staff |
| Cars** | | | hours |
| | -Comfortable | -More staff | |
| (staff | | | -Mileage |
| t | -Personal | responsibility | |
| ransporting | | | -Insurance |
| | -May be | | |
| teachers to | available for | | |
| and | | | |
| | home | | |
| from work) | visits/outreach | | |
| | | | |
| | -May be | | |
| | available for | | |
| | | | |
| | leisure | | |
| | | | |
| | -Transport | | |
| | educational | | |
| | | | |
| | materials | | |
+-------------+------------------+------------------+----------------+
| **Rental | -Efficient | -License | -Gas |
| Car** | | required | |
| | - | | -Insurance |
| | Self-sufficiency | -Insurance | |
| | | required | -Maintenance |
| | -Available for | | |
| | leisure | -A | |
| | | ccidents/tickets | |
| | -Transport | | |
| | materials | -Unknown | |
| | | geography | |
| | | | |
| | | -Unfamiliarity | |
| | | with | |
| | | | |
| | | American laws | |
| | | | |
| | | -Reliability | |
+-------------+------------------+------------------+----------------+
| **Bicycle** | -May be | -Unknown | -Minimal |
| | efficient | geography | |
| ( | | | |
| recommended | -Cost-effective | -Safety | |
| as | | | |
| | - | -Reliability | |
| Kansas | Self-sufficiency | | |
| teachers' | | -Comfort | |
| | -Available for | | |
| favorite | leisure | -Weather | |
| mode | | | |
| | | -Distance | |
| of ground | | | |
| | | | |
| tran | | | |
| sportation) | | | |
+-------------+------------------+------------------+----------------+
| **Public** | -May be | -Unknown | -Purchase of |
| | efficient | geography | entrance |
| **Trans | | | |
| portation** | -Cost-effective | -Proximity to | or transfer |
| | | departure | cards |
| | -S | | |
| | elf--sufficiency | or destination | |
| | | site | |
| | -Comfortable | | |
| | | -Weather | |
| | -Available for | | |
| | leisure | -Distance | |
| | | | |
| | | -Reliability | |
+-------------+------------------+------------------+----------------+
**D. Meals and Lodging**
**Personal Use of Automobile**
Visitors from other countries are authorized to drive in the U.S. using
the
driver's license issued to them by their native country. They are
insured to the
extent of their personal automobile insurance coverage while driving in
another country.
If an exchange teacher is authorized by the MEP to drive a rental car,
the director may
want to review any particular requirements or restrictions noted in the
contract or insurance documents that may be relevant, such as procedures
for an accident, purchasing gas, or mileage restrictions. Teachers may
have difficulties renting cars in the U.S. because the signature and
identification of a local resident may be required for long-term
leasing. The program director may be asked to co-sign when a teacher
leases a vehicle.
One of the most important arrangements to be made for exchange teachers
is housing. Imagine yourself living in Mexico for four to six weeks. You
are in a new country with a different culture, language, and cuisine.
You are away from friends, family, and all things familiar. You work
hard every day teaching, and at the end of the day, you look forward
to some comfort, quiet, maybe even some companionship or leisure
activity. Imagining yourself in this position will help you select
appropriate housing for your teachers.
Below are some examples of housing arrangements that have been provided.
**Host Families**
Since exchange programs for students and teachers are not a new concept,
finding volunteer families willing to provide housing for teachers is
not an insurmountable task. Some school systems or communities may
already have a host family network in place through the Rotary Club or
other existing exchange programs that will place binational exchange
teachers with host families.
Lacking such a network, some possible options for host families include:
- Migrant Education staff
- Local summer school teachers
- Church members
- Community agency employees
- Retired educators
On the following page is a list of issues regarding daily living
arrangements that should be understood and agreed upon by host families
and exchange teachers prior to the teacher's arrival. MEP administrators
that personally visit potential host families are able to ensure the
appropriateness of the facilities and that all participants clearly
understand the responsibilities and expectations involved in hosting an
exchange teacher. General information regarding lodging, meals, and
other personal considerations are discussed
with teachers during the orientation in Mexico. The maintenance of
regular contact with both teacher and family by MEP staff throughout the
duration of the program will help alleviate potential problems. Program
directors may want teachers and host families to complete an evaluation
of their experience at the program's end.
Host families are generally compensated for providing lodging to
exchange teachers. The amount of compensation, schedule of payment,
documentation required for payment, and any limits on allowable
expenditures are determined at each program site. Exchange teachers
should be made aware that host families receive funds to cover the
lodging and food expenses generated by the teacher(s) so that they do
not feel obligated to contribute
financially to household costs.
Criteria to consider or clarify when selecting host families:
- Bicultural experience
- Size of family and home
- Marital status, age, and sex of children
- Family's ability to communicate with teacher
- Sleeping and bathroom accommodations (Will the teacher be afforded
some privacy?)
- Access to telephone, television, general living space
- Geographic relation to work site
- Eating arrangements
**Meal Planning**
Host families will want to consider the following factors when planning
meals:
- Teacher's native cuisine
- Dietary restrictions
- Inviting input into meals and shopping
- Amount and procedure for reimbursing host family
- Expectations for sharing meal-related duties
- Money for eating out
**Leisure Time**
- Will the teacher be considered a guest, part of the family, or a
boarder who merely eats and sleeps there?
- Will provisions be made to address the teacher's needs outside of
work---shopping, medical, post office, banking, and social
activities?
- Will opportunities be provided for the teacher(s) to visit local
attractions and areas of interest to increase cultural awareness?
**Hotels & Apartments**
Hotel rooms with kitchenettes provide comfortable living accommodations.
If unavailable, hotels within walking distance of shopping centers,
grocery stores, and restaurants are suitable unless teachers have access
to cars or other transportation. The provision of a small refrigerator
or cooler, a toaster oven, and some kitchen utensils is recommended, as
well.
Teachers residing in apartments or hotels generally receive a stipend
for living expenses in addition to the stipend for their work. As with
the host family, food allowance, requirements for documentation, and
payment procedures must be established at the onset. To avoid
complication, payment for lodging may be arranged by program directors
without directly involving teachers.
Transportation and assistance with translation for grocery shopping may
need
to be provided.
Occasionally, some programs provide meals for teachers at different
staff members' homes on a rotating basis, or they host parties for a
group of teachers. Others provide cultural experiences for teachers by
taking them to restaurants typical of the area and use program funds to
cover costs.
**College or University Dormitories**
Several states have provided room and board for teachers on college
campuses. Binational Exchange Teachers lived in dormitories along with
migrant secondary students and residential staff for six weeks at the
Migrant Summer Institute held at the University of South Florida in
Tampa. Teachers residing at their work site simplified requirements for
room, board, and transportation. They also participated in field trips
and cultural activities along with the students.
In Alabama, Binational Exchange Teachers were provided room and board on
a college campus that was centrally located between approximately seven
summer program sites throughout the state. Each day, small groups of
teachers were transported to summer school sites, migrant
pre-kindergarten programs, and community sites hosting after-school
programs. Although some teachers spent several hours being transported
between the college and their work sites, they used the time in transit
to learn from each other, plan activities, and become more familiar with
their surroundings and the needs
of the students they served. The exchange teachers were very pleased
with these housing arrangements because of the camaraderie living
together provided. Several of the teachers that had participated in the
Binational Exchange Program previously had lived alone in apartments or
hotels, or even with host families, and felt isolated or intrusive. They
were willing to spend several hours each day in transit to their school
sites in exchange for the opportunity to build relationships and engage
in professional and cultural exchange that living in the dormitories
provided.
Binational Teachers in Texas resided in dormitories on the campus of the
University of Texas at El Paso. The exchange teachers worked with
migrant students attending the High School Equivalency Program (HEP) as
well as migrant secondary students that attended a one-week residential
leadership academy at the university. As was the case with the program
in Florida, having the teachers reside with the students not only
simplified logistical arrangements, but also provided much more time for
quality interaction between the students and exchange teachers. In
addition, including the exchange teachers in field trips and cultural
activities with the students provided an opportunity for students to get
to know teachers outside of the classroom setting.
**E. Teacher Stipends**
The teachers selected for the program often hold advanced degrees in
education, as well as offer extensive classroom and administrative
experience. Many are principals and educational leaders in their
communities. U.S. educators who have worked with exchange teachers
describe their counterparts as well prepared, versatile, flexible,
creative, and dedicated.
Exchange teachers, as a whole, state that they come to work in Migrant
Education Programs primarily for professional growth and to contribute
to the education of students of Mexican origin---not for the monetary
compensation provided. However, to meet their personal financial
responsibilities, stipends offered through the program are important.
Teachers should not be required to use their stipends to pay for
lodging, meals, transportation, and other items to be supplied by the
local MEP. Stipends are for the teacher's personal use--- to save, send
home, or spend on leisure activities.
Each program site must work within the confines of its state and
district policies, pay scales, union regulations, and other
requirements. However, general consistency in the amount of the stipends
provided will make all program sites equally attractive.
In 2000, binational program literature suggested a weekly stipend
ranging from \$100 to \$200. Some sites have increased this to \$250.
These figures represent suggested minimums. As the cost of living
increases, compensation provided through stipends will need to be
increased as well. Following are some issues to consider regarding
teacher stipends.
**Frequency of Payment**
Both the salaries for educators and the cost of living differ greatly
between Mexico and the U.S. Therefore, some teachers might arrive
without adequate funds to cover personal needs for even the first week
of the program. While site directors generally prefer issuing checks of
equal amounts at the end of each week, sometimes two or three weeks'
compensation must be provided at the onset of the program for teachers
that arrive unprepared.
Some programs that were four weeks in duration issued only two checks:
one in the middle of the program and one at the end. However, the
majority of directors felt it was important to issue weekly checks to
provide teachers with timely expense money.
**Bank Services**
Although teachers generally do not open savings or checking accounts
during their brief stays, they may wish to cash their stipend checks
unless paid in cash. Site directors may make arrangements with their own
financial institutions or use the school system's credit unions to cash
checks for exchange teachers.
**F. Required Documentation ---Visas**
*Disclaimer: The information below is current as of November 2001.
Please contact the U.S. Department of State, Bureau of Education and
Cultural Affairs, mentioned at the end of this section for further
information.*
After researching the policies and procedures that enable Binational
Exchange Teachers to enter the U.S. legally and without incident, work
in schools and migrant education programs for a predetermined length of
time, and receive a financial stipend for their contributions, the "J-1"
visa is considered to be appropriate for use in program sites
implementing the Binational Teacher Exchange Program.
The "J" visa is a non-immigrant visa category established by the Office
of Exchange Coordination and Designation and the Immigration and
Nationality Act enabling persons to participate in visitor-exchange
programs in the U.S. The "J" visa is for educational and cultural
exchange programs designated by the U.S. Department of State. The "J"
exchange visitor program is designed to promote the interchange of
persons, knowledge,
and skills in the fields of education, arts, and sciences. Participants
include students at all academic levels; trainees obtaining on-the-job
training with firms, institutions, and agencies; teachers of primary,
secondary, and specialized schools; professors coming to teach or do
research at institutions of higher learning; research scholars;
physicians in the medical and allied health fields; and international
visitors coming for the purpose of travel, observation, consultation,
research, training, sharing, demonstrating specialized knowledge or
skills, or participating in organized people-to people programs on a
full-time basis. The international visitors category is for the
restrictive use of the U.S. Department of State.
Since "J" exchange visitors are coming to the U.S. to teach, conduct
research, provide consultation, training, or other forms of specialized
knowledge or skills, applicants must have sufficient scholastic
preparation to participate in the designated program, including
knowledge of the English language.*(Note: A working knowledge of English
is one of the selection criteria for teachers applying to the Binational
Teacher Exchange Program.)*
Participants in programs such as the Binational Teacher Exchange Program
that provide for on-the-job training, teaching, research, or other
activities may accept paid employment in these programs. Traditionally,
exchange teachers have received monetary stipends for their work in U.S.
schools, which is allowed with a "J-1" visa. Participants in the "J-1"
exchange visitor program must have sufficient funds to cover all of
their expenses during the exchange period, or the sponsoring program
must provide for these costs, as school districts and migrant programs
do by providing room, board, and transportation for Binational Exchange
Teachers. Teachers also must have health insurance that meets the
requirement of the Exchange Visitor Program (22 CFR Part 62.14)
Binational Exchange Teachers applying for exchange visitor visas should
apply at the U.S. Embassy or Consulate with jurisdiction over their
place of permanent residence. The organization or institution in the
U.S. sponsoring the teacher is responsible for sending a Form IAP-66
(soon to be revised and reissued as the DS2019) to teachers
approximately two months prior to the teacher's arrival. Teachers
applying for the "J-1" visa must present this form to the U.S. Embassy
or Consulate with the appropriate jurisdiction
over their place of permanent residence. A variety of U.S. public
institutions, such as colleges, universities, state departments of
education, and school districts may be eligible to collaborate with the
Mexican government in issuing these documents and facilitating the "J-1"
visa process. The form IAP-66 must only be issued for the duration of
the program in which the visitor is participating.
For information regarding institutions authorized to facilitate the
"J-1" visa process, procedures, and requirements, contact:
The Office of Exchange Coordination and Designation
Bureau of Education and Cultural Affairs
Phone: (202) 401-9810
Fax: (202) 401-9808
Program regulations can be viewed on the web at
*http://exchanges.state.gov*
**G. Medical Care**
The United States Department of State (DOS), which establishes
guidelines for programs such as the Binational Teacher Exchange Program,
has had concerns for a number of years regarding access to adequate
health care for exchange visitors. To this end, in 1994, the DOS
(formerly USIA) made health insurance a requirement for participation in
a visitor-exchange program.
Migrant program administrators will want to ensure that teachers and
their dependents coming to work in migrant programs are covered by their
own personal medical insurance to ensure that it meets the requirements
outlined in 22CFR Part 62.14. It is recommended that copies of insurance
policies, emergency medical contact information, release forms, existing
medical conditions, and other related materials be available. To
supplement the exchange teacher's own medical insurance, some migrant
programs provide additional coverage.
**SECTION FIVE**
**Staff Development**
**A. Orientation and Training in Mexico**
Through collaboration between the United States and Mexico, extensive
orientation and training is provided for selected exchange teachers in
Mexico prior to their departure for the U.S. Some of the topics covered
include:
- History, goals, and objectives of the BMEP
- Overview of U.S. educational system, curriculum, standards, and
assessments
- Operation of a typical migrant summer program
- Job description and daily schedule for exchange teachers
- Overview of culture and life in the U.S.
- Specific information regarding travel, stipends, contacts, necessary
documents, medical needs, etc.
Although attendance at this training is strongly encouraged, not all
exchange teachers attend due to factors such as distance, illness, lack
of information, or other unexpected situations. While the binational
contact of each Mexican state is responsible for preparing teachers,
site directors may want to ask teachers if they had the opportunity to
attend the training and should be prepared to provide more assistance
for those that did not.
Despite the thoroughness of the training provided, no training can
adequately prepare the teachers for their first experience in the
program. A few of the areas where teachers felt they could have used
more information include:
- Differences between Mexican and American culture, from privacy
issues to gift giving, to displaying friendship or respect
- Hierarchy, roles, and responsibilities of U.S. educators
- Difference in communication styles (verbal and non-verbal)
- The uncertainties and daily changes that may result in a program for
a mobile population, such as migrant farm workers, and the
subsequent flexibility required of staff
- Specific roles, duties, and expectations of the teachers in Migrant
Education Programs
- Lifestyle of Mexican nationals working as migrants in the U.S.,
particularly economic status and housing conditions
**B. Receiving Site Pre-Service Training**
Equally important is the preparation of U.S. staff to work with the
exchange teachers. Pre-service training addressing program logistics,
curriculum, materials and resources, staffing, duties, and special
events are integral to the program's success. Sites incorporating
exchange teachers in the operation of their summer programs need to
orient staff to this valuable resource in their pre-service training.
The goals of the BMEP and priorities for the exchange teachers that must
be clearly communicated include:
- Instructing students about the history, culture, arts, dances, and
traditions of Mexico
- Having adequate time for meaningful contact with as many binational
migrant students as time and scheduling allow
- Conducting outreach activities with parents, including training on
the use of the Binational Transfer Document
- Providing U.S. educators with information regarding Mexico's
educational system, curriculum, texts, pedagogy, pupil progression,
etc.
- Conducting a culminating cultural activity for students, families,
staff, and members of the community
## C. On-Site Orientation and Joint Planning
Due to conflicts between summer program starting dates and arrival dates
of some exchange teachers, conducting on-site orientations including
both U.S. and Mexican teachers is sometimes difficult; however,
directors who have allocated time for a joint in-service find it to be
very beneficial.
A one-day training model that has proven successful dedicates the
morning session to explaining goals, expected outcomes, and logistics
for the summer program to local staff and exchange teachers. The
afternoon is devoted to teachers meeting together for specific planning
such as scheduling, designing lesson plans and activities, and creating
materials.
Depending on the scope of the trainings attended throughout the summer
by exchange teachers, a letter or certificate of completion may be
useful to them in securing staff development credits for professional
advancement in their home states.
**D. Professional Exchange**
An important goal of the Binational Program is to encourage
communication and collaboration in order to enhance the educational
continuity of binational students. This may be accomplished as teachers
work together in classrooms or through informal discussion and sharing.
However, to truly foster understanding and support of binational
students' education on both sides of the border, the exchange of
information and ideas must be considered a program priority.
**Making the Most of the Teachers' Talents and Expertise**
There are many ways exchange teachers can enhance migrant programs and
summer schools. During the orientation conducted in Mexico, teachers are
made aware that flexibility on their part is imperative, and that due to
the nature of the migrant population, program sites may not know the
exact numbers, grade levels, or ethnic backgrounds of the students to be
served until the first day of school. However, in order to make the most
suitable match between teachers and program sites, and to enable
teachers to prepare for their assignments, specific and timely
communication of duties and expectations to Mexican state level
binational contacts is critical.
Assigning teachers to be aides, office clerks, or translators is
inappropriate and a waste of talent and expertise. The binational
teachers selected to participate in the program are highly qualified,
competent professionals with a wealth of experience and skills. Many of
them hold multiple positions in their professional field in Mexico,
including classroom teachers, school administrators, and college
instructors. They should be looked upon as partners of their American
colleagues, with a great deal of knowledge and expertise to
contribute to all aspects of the educational process.
**E. English-Proficiency**
When deciding where to place teachers and how to best utilize their
strengths, their English proficiency should be considered. Although
speaking English is a requirement for participation, some teachers are
proficient in communicating but may have difficulty teaching academic
content in English. Bilingual aides or staff members paired with the
exchange teachers will ensure that they are able to convey their lessons
to all children.
It is also important to keep in mind that while these teachers are
sufficiently versatile teaching a broad range of academic subjects, one
of their main objectives, as stated in the Binational Agreement, is to
"reinforce the identity and improve the education of Mexican-origin
students living in the U.S. by imparting knowledge about the history,
culture, values, and national traditions of Mexico." Thus, much of the
exchange teachers'
lessons may be hands-on and artistic in nature, possibly requiring less
English proficiency than would be required to teach an academic subject.
**Programs that Broaden Exchange Teacher's Contact with the Local
Teachers and Students**
Although the program's primary objective is for teachers from Mexico to
work with migrant students of Mexican descent, these teachers are far
too valuable a resource to limit their involvement exclusively to this
select group of students. The resources they bring and the lessons they
teach will enrich and broaden the education and cultural appreciation of
all with whom they interact.
**Scheduling Teachers for Maximum Student Contact**
Another important program objective is to maximize the number of
students and family members with whom the teachers have contact. In
light of this and the tremendous amount of preparation by the teachers
for their lessons and activities, it is essential that their schedule
afford them adequate time to work with the maximum number of migrant
students.
Summer programs are often short in duration, and they may focus on
preparing students to meet state mandated benchmarks or end-of year
requirements for promotion. While this may be a priority, summer
programs requesting exchange teachers need to consider
the objectives of the Binational Exchange Program when designing
schedules that will provide teachers with the appropriate time, space,
and resources needed to share their rich curriculum highlighting the
history, culture, arts, and traditions of Mexico.
In areas where summer schools operate for only half days or four days a
week, teachers
may be scheduled to conduct activities on Fridays, after the school day,
or at community sites.
In southern California, exchange teachers worked with in-school youth as
well as
emancipated youth, young adults, and parents in evening outreach
programs. Teachers well versed in Adult Literacy, ESL, and Spanish for
Spanish Speakers drove to rural labor camps to work with these groups.
The crew leader supported the program by allowing teachers to use a
cement slab with a roof for a rudimentary classroom. Twice a week, a
station wagon full of teachers with flip charts, markers, slates, chalk,
erasers, workbooks, and gas lanterns drove into the mountains to teach
these eager students.
For many of the exchange teachers interviewed at this site, their
experience was both
disheartening and extremely gratifying. After interacting with these
young migrant workers who were often traveling alone and far from home,
the teachers realized more fully how isolated and in need of educational
and social services many of their countrymen were.
**SECTION SIX**
**Promoting Cultural Appreciation**
The cultural and folk art activities that enhance much of the exchange
teacher's lessons often require special materials. Teachers are
accustomed to bringing a tremendous amount of materials with them from
Mexico, along with several weeks' worth of clothing and personal
necessities. Direct communication between the host program site and the
exchange teacher may eliminate teachers bringing some of the items that
are easily accessible in the U.S. By providing teachers with a list of
classroom supplies that will
be available and allowing them to submit lists of needed materials,
duplication and unnecessary purchases can be avoided.
**A. Parent & Community Outreach Efforts**
One of the objectives of the Teacher Exchange Program is to support the
education of binational students by also working with their parents.
Many programs have documented increases in parental involvement as a
result of the Teacher Exchange Program. Parents not only attended school
conferences and meetings, but also participated in programs highlighting
the culture and history of Mexico with their children.
**SECTION SEVEN**
**Conclusion**
It is hoped that this guide will inspire MEP administrators to further
explore and ultimately implement the Binational Teacher Exchange
Program. While arranging for lodging, meals, and transportation and
dealing with visas and the INS may seem like daunting tasks, the
benefits of the Exchange Program are well worth the effort.
Thousands of binational migrant students have had positive experiences
with Mexican exchange teachers. Migrant parents have had the opportunity
to relate to the teachers on many levels. U.S. educators, community
members, and policymakers have worked together to design interventions
to support the continuity of education for binational students and have
learned a great deal about Mexican culture, history, traditions,
educational systems, and issues affecting binational children and their
families.
As more and more children of Mexican descent live and attend school in
both Mexico and the United States, the Binational Teacher Exchange
Program offers a viable way to support binational children's pursuits of
education in both countries, truly making "education without borders" a
reality.
**APPENDICES**
**Convocatoria/Invitation**
**Binational Teacher Exchange Program Application**
**List of Title I Migrant State Directors**
**List of Mexican Consulates and**
**Mexican Cultural Institutes**
**Visiting Teacher Survey (English)**
**Visiting Teacher Survey (Spanish)**
**Activities Checklist and Timeline**
**APPENDIX A**
**Convocatoria/Invitation**
- The Secretariat of Foreign Affairs and
- The Secretariat of Public Education of Mexico
**Invite**
- the Secretaries of Education of the states with a high degree of
emigration,
- the coordinators of the Binational Migrant Education Program,
- the U.S. school districts, and the interested educational
authorities of Mexico and the United States to participate in **the
Mexico-United States Teacher Exchange Program.**
**Objectives**
- To contribute to and reinforce knowledge about the history, culture,
values, and national traditions of Mexican-origin students who live
in the United States, reinforcing their identity and improving their
education
- To encourage ongoing communication between U.S. and Mexican teachers
so as to share educational experiences that facilitate obtaining
greater advantage in the teaching-learning process at the basic and
middle-upper educational levels
- Through teacher exchanges, to assist in improving the educational
services offered to the Mexican and Mexican-descent school
population living in the United States
**I. Prerequisites for Participation**
Educational institutions of both countries that participate will commit
to:
- Cover the air transportation expenses of the teachers selected from
their country
- Receive an equal number of teachers
- As hosts, provide food and lodging for the teachers they receive
- Guarantee that the participants draw up a work plan previously
approved by both parties
- In the case of U.S. educational institutions, provide the visiting
teachers with a stipend of no less than \$100 per week for personal
expenses
- Ensure that all the participating teachers travel with medical and
accidental insurance, and specify if they require any medical
treatment
- Ensure that the teachers meet the immigration prerequisites to enter
the country they visit
- Select the participating teachers according to the profile indicated
in the following sections
**II. The Mexican States**
From the time this announcement is made, the Mexican states are to
inform the Program for Mexican Communities Abroad of the Secretariat of
Foreign Affairs (SRE) of the number of teachers they will sponsor, at
the latest by **January** of each year.
The teacher selection process will be the responsibility of the
secretariats or institutes of education of the participating Mexican
states.
The Mexican teachers chosen and their respective resumes must be
submitted to the SRE, attention Program for Mexican Communities Abroad
\[Ricardo Flores Magón No. 2 Col. Guerrero, México, D.F. 06995, tel.
01152 (55) 517-4276\], at the latest by **February** of each year. The
SRE will inform the Mexican states of who their counterpart exchange
teachers from the United States will be.
The educational authorities of the participating Mexican states will
inform the American exchange teachers at least one month in advance of
their departure to Mexico about the food, lodging, and local
transportation they will provide to the visiting teachers.
**III. School Districts, Migrant Programs, and Local Educational
Authorities in the**
**United States**
The local educational authorities in the United States that are
interested in participating in the exchange program are to inform Mexico
of the number of Mexican teachers they will receive each summer, or for
the season they consider most suitable, through the Mexican consulates
in that country, at the latest by **January** of each year. They will
also indicate the precise dates of the teachers' stay, and the type of
program they will participate in, or the grade level they will teach.
All particular requirements of the Mexican teacher profile desired must
be stated prior to that date.
The U.S. school district and institutions should fulfill all required
transactions with the American authorities for the "J-1" visa, at the
latest one month before the Mexican teachers are required. The U.S.
school districts and institutions must inform their counterpart at least
one month in advance, about the food, lodging, and local transportation
they will provide for the visiting teachers.
The process for selecting the U.S. teachers who will go to Mexico will
be the esponsibility of the school districts or of the educational
institutions that have bilingual or migrant education programs.
The U.S. states must provide information on the American teachers
selected for the exchange to Mexico, and the dates when those teachers
will visit Mexico, at latest one month before their arrival.
## IV. Selection Profile
**Mexican Teachers**
- Bachelor's degree in the area of pedagogy/certificate-diploma from
the Normal School or Upper Normal School
- Availability to be out of the country from four to six weeks
- Minimum three years of classroom experience as a group teacher
- Certain mastery of the English language that permits verbal
communication
- A spirit of service; be a dynamic, creative individual
- Willing to cooperate in the community or extracurricular activities
requested
- Knowledge of the educational problems of the Mexican rural
environment
- General knowledge of the Mexican educational system
- Knowledge of Mexico's history, traditions, and culture
- Experience in designing educational programs and materials
- In some cases, they will have to know and handle the dynamics of
integration and motivation, sing school and popular songs, or have
manual abilities and perform regional dances.
**U.S. Teachers**
- Teacher of bilingual or migrant programs; knowledge of the
educational problems of Hispanic children in the United States
- Willingness to cooperate with Mexico in exchanging teaching methods
and educational technology
- A certain mastery of Spanish that allows verbal communication
without the need of a translator
- Availability to be absent from the country for one to two weeks
- Experience as a teacher of Hispanic children and young people
- Ability to explain the American educational system and the system of
his/her school district
- Interest in learning about the communities of origin of the Mexican
migrants
- A spirit of service and willingness, in addition to being a dynamic,
creative individual
- Willingness to work in front of a group and delve into an
understanding of the culture and traditions of Mexican children and
young people in order to reach a minimum level of understanding of
the Mexican child's behavior in U.S. schools
**V. Work Plan**
1\. The work plan will be drawn up by mutual agreement with the
counterpart, considering
that the topics of interest must coincide for the parties. The following
information about
needs and responsibilities should be presented in the work plan:
- Preschool education
- Elementary education
- Secondary education
- Indigenous education
- School administration
- School for parents
- Mexican culture and traditions
2\. In general, a list of some of the activities Mexican teachers in the
United States are expected to perform by mutual agreement with the
counterpart:
- Direct teaching of students
- Community work
- Workshops for teachers on Mexican history and culture, teaching of
reading and writing, Mexican educational system
- Workshops for parents
- Advice on preparing and using didactic materials
- Advice on curricular contents in order to improve programs for
Mexican children and young people living in the United States
3\. The following are activities U.S. teachers might perform during
their stay in Mexican schools:
- Work in a classroom setting
- Interviews with children and parents
- Academic work with Mexican teachers in order to understand the
teaching methods of English as a foreign language
- Visits to the communities from which migrants originate
- Trips through the main historical and cultural centers of the town
**VI. General Information**
1. In **early March** of each year and together with the participating
states, the SRE will distribute or assign the Mexican teachers among
the U.S. schools that have shown an interest in receiving them. The
assignment will be made taking into account the requests and
specific requirements of the U.S. school districts.
2. Once the distribution has been made, both the Mexican Consulates and
the local educational authorities in the United States will
establish direct communication with the Mexican counterparts to
establish the logistical details of the exchanges (dates, flight
information, lodging, etc.) and prepare the respective work plan.
3. In the case of programs that involve the participation of native
language teachers, the requirement for mastery of the English
language may be eliminated.
4. The participating teachers of both countries will have to prepare a
report on the activities they performed during their participation
in the exchange program and make the recommendations they consider
appropriate.
5. If the parties consider it suitable, the U.S. teachers may visit
Mexico before their Mexican counterparts visit the United States.
6. Both the Mexican states and the local U.S. educational authorities
will have to confirm before the dates indicated in sections II and
III if they are able to receive or send teachers during the regular
class term (in other words, not in summer), with the understanding
that the period of stay must not exceed six weeks.
7. In presenting a candidate, the sponsoring educational institution
will have to indicate the specialty or specialties of the teacher in
question, in keeping with the seven areas of interest specified in
the Work Plan.
8. The total number of teachers participating in the exchange program
will be determined by the number of educational institutions in the
two countries that are interested in collaborating on this project.
Therefore, if there is an excess of teachers on the part of either
country, the inviting secretariats or departments do not commit to
find a counterpart for all the candidates who appear.
**For further information, contact:**
Programa para las Comunidades
Mexicanas en el Exterior. SRE
Ricardo Flores Magón Nº2, Basamento ala "B"
Col. Guerrero, México, D.F. 06995
Tel. 01152 (55) 517-4276
<sorozco@sre.gob.mx>
**APPENDIX B**
**Binational Teacher Exchange Program Application**
**APPENDIX C**
**Title I Migrant Education Program State Directors**
The following Migrant Education Program State Directors can be contacted
regarding the
Binational Teacher Exchange Program.
**Alabama**
Dr. Catherine Moore
State Program Federal Coordinator
Alabama Department of Education
5348 Gordon Persons Building
50 North Ripley Street
Montgomery, Alabama 36104
Telephone: (334) 242-8199
Fax: (334) 242-0496
E-mail: cmoore@alsde.edu
Ms. Maggie Rivers
Migrant Education Program
Alabama Department of Education
5348 Gordon Persons Building
50 North Ripley Street
Montgomery, Alabama 36104
Telephone: (334) 242-8199
Fax: (334) 242-0496
E-mail: mrivers@alsde.edu
**Arkansas**
Mr. William Cosme, Director
Migrant Education Program
Arkansas Department of Education
#4 State Capitol Mall
Little Rock, Arkansas 72201
Telephone: (501) 324-9660
Fax: (501) 324-9694
E-mail: wcosme@arkedu.k12.ar.us
**California**
Dr. Larry Jaurequi, Director
Migrant Education Office
State Department of Education
721 Capitol Mall, 2nd Floor
P.O. Box 944272
Sacramento, California 94244-2720
Telephone: (916) 657-2561
Fax: (916) 657-2869
E-mail: <LJAUREQU@CDE.CA.GOV>
**Colorado**
Mr. Bernie Martinez, Director
Migrant Education Project
Colorado Department of Education
201 East Colfax, Room 401
Denver, Colorado 80203-1704
Telephone: (303) 866-6870
Fax: (303) 866-6637
E-mail: martinez_b@CDE.STATE.CO.US
**Florida**
Mr. Rony Joseph
Director, Title I/Migrant Programs
Bureau of Equity, Safety and School Support
325 West Gaines Street, Suite 306
Tallahassee, Florida 32399-0400
Telephone: (850) 487-3530
Fax: (850) 922-9648
E-mail: JosephR@mail.doe.state.fl.us
**Georgia**
Dr. Robert Bonner, Program Manager
Federal Programs
Georgia Department of Education
205 Butler Street
Twin Towers East, Suite 1852
Atlanta, Georgia 30334
Telephone: (404) 656-2436
Fax: (404) 651-8079
E-mail: bbonner@doe.k12.ga.us
Ms. Mary Jo Crawford
Georgia Department of Education
Migrant Education Program Specialist
205 Butler Street
Twin Towers East, Suite 1852
Atlanta, Georgia 30334
Telephone: (404) 656-4995
Fax: (404) 651-8079
E-mail: <mjcrawfo@doe.k12.ga.us>
**Idaho**
Ms. Irene Chavolla
State Coordinator, Migrant Education
Compensatory Education Division
Idaho State Department of Education
650 West State Street
Boise, Idaho 83720-0027
Telephone: (208) 332-6907
Fax: (208) 332-6966
E-mail: ICHAVOLL@SDE.STATE.ID.US
**Illinois**
Mr. David Gutiérrez
Migrant Education Program
Illinois State Board of Education
100 North First Street - E233
Springfield, Illinois 62777-0002
Telephone: (217) 782-5728
Fax: (217) 524-9354
E-mail: dgutierr@isbe.net
E-mail: CMATAWOO@ isbe.net (Carolina
Mata-Woodruff)
**Michigan**
Ms. Linda Brown
Assistant Director, Office of Field Services
Michigan Department of Education
608 West Allegan
P.O. Box 30008
Lansing, Michigan 48909
Telephone: (517) 373-3921
Fax: (517) 335-2886
E-mail: brownlq@state.mi.us
Ms. Linda Forward
Migrant Education Program Director
Office of Field Services
Michigan Department of Education
608 West Allegan
P.O. Box 30008
Lansing, Michigan 48909
Telephone: (517) 373-6066
Fax: (517) 335-2886
E-mail: forwardl@state.mi.us
**Montana**
Ms. Angela Branz-Spall
Director, Title I Migrant Program
Office of Public Instruction
1300 11th Avenue
State Capitol
Helena, Montana 59620-2501
Telephone: (406) 444-2423
Fax: (406) 449-7105
E-mail: ANGELAB@STATE.MT.US
**Nebraska**
Dr. Elizabeth (Betty) Alfred
Director, Migrant Education
Nebraska Department of Education
301 Centennial Mall South
Box 94987
Lincoln, Nebraska 68509
Telephone: (402) 471-3440
Fax: (402) 471-2113
E-mail: Balfred@nde.state.ne.us
**New York**
Dr. Nancy W. Croce
Migrant Education Director
New York State Education Department
Room 461, Education Building Annex
88 Washington Avenue
Albany, New York 12234
Telephone: (518) 473-0295
Fax: (518) 474-1405
E-mail: ncroce@mail.nysed.gov
**Ohio**
Mr. Casimiro Martinez
State Director of Migrant Education
Office of Reform and Federal
Student Programs
25 South Front Street, Mail Stop 404
Columbus, Ohio 43215-4183
Telephone: (614) 728-1638
Fax: (614) 752-1622
E-mail: Casimiro.Martinez@ODE.state.oh.us
**Oregon**
Mr. Merced Flores
Associate Superintendent
Office of Student Services
Public Services Building
255 Capitol Street, NE
Salem, Oregon 97310-0203
Telephone: (503) 378-3600 ext 2701
Fax: (503) 373-7968
E-mail: merced.flores@state.or.us
**Pennsylvania**
Dr. Manuel Recio, Chief
Division of Migrant Education
State Department of Education
333 Market Street, 7th Floor
Harrisburg, Pennsylvania 17126-0333
Telephone: (717) 783-6466 & (717) 783-
6464 (Direct State Director line)
Fax: (717) 783-4392
E-mail: MRECIO@STATE.PA.US *or*
RECIO@AOL.COM
**Texas**
Mr. Sigifredo H. Huerta, Director
Division of Migrant Education
Texas Education Agency
1701 North Congress Avenue
Austin, Texas 78701-1494
Telephone: (512) 463-9067
Fax: (512) 463-9759
E-mail: shuerta@tea.state.tx.us
**Washington**
Dr. Richard Gómez, Jr.
Director, Migrant & Bilingual Programs
Office of the Superintendent of
Public Instruction
Old Capitol Building
600 Washington St., SE
P.O. Box 47200
Olympia, Washington 98504-7200
Telephone: (360) 725-6150
Fax: (360) 664-2605
E-mail: <RGomez@ospi.wednet.edu>
**Wisconsin**
Dr. Myrna Toney
Special Needs Section
State Department of Public Instruction
125 South Webster Street
Box 7841
Madison, Wisconsin 53702
Telephone: (608) 266-2690
Fax: (608) 267-0364
E-mail: Myrna.toney@dpi.state.wi.us
**Additional Listings for Information Regarding the**
**Binational Teacher Exchange Program**
Francisco Garcia, Director
Office of Migrant Education
Office of Elementary and
Secondary Education
U.S. Department of Education
400 Maryland Avenue, SW
(Room 3E317---FOB-6)
Washington, D.C. 20202-6135
Telephone: (202) 260-1164
Frank Contreras, Director
Center for Migrant Education
Southwest Texas State University
601 University Drive
San Marcos, Texas 78666
Telephone: (512) 245-1365
Toll-free: (866) 245-1365
Fax: (512) 245-0588
Bob Levy, Director
ESCORT
305 Bugbee Hall
State University of New York College at Oneonta
Oneonta, New York 13820
Toll-free: (800) 451-8058
FL Office Toll-free: (800) 756-9003
Telephone: (607) 436-2300
Fax: (607) 436-3606
[www.escort.org](http://www.escort.org/)
**APPENDIX D**
**List of Mexican Consulates and Mexican Cultural Institutes**
Get more information from the nearest Mexican Consulate or Mexican
cultural institute:
**Mexican Consulate Offices in the U.S.**
Albuquerque (505) 247-2139
Atlanta (404) 266-1204
Austin (512) 478-9031
Boston (617) 426-8782
Brownsville (956) 542-2051
Calexico (760) 357-3880
Chicago (312) 855-0056
Corpus Christi (361) 882-3375
Dallas (214) 634-7341
Del Rio (830) 775-6031
Denver (303) 331-1110
Detroit (313) 964-4515
Douglas (520) 364-3107
Eagle Pass (830) 773-9255
El Paso (915) 533-3644
Fresno (559) 233-3067
Houston (713) 339 4710
Laredo (956) 723-6369
Los Angeles (213) 351-6800
McAllen (956) 686-0243
Miami (305) 716-4977
Midland (915) 687-2334
Nogales (520) 287-3381
New Orleans (504) 522-3596
New York (212) 217-6400
Omaha (402) 731-1137
Orlando (407) 894-0514
Oxnard (805) 483-4684
Philadelphia (215) 625-4897
Phoenix (602) 249-2735
Portland (503) 229-0790
Presidio (915) 229-2788
Raleigh (919) 754 1726
Sacramento (916) 441-3287
Salt Lake City (801) 521-8502
San Antonio (210) 227-1085
San Bernardino (909) 889-9836
San Diego (619) 231-8414
San Francisco (415) 392-5554
San José (408) 294-3414
Santa Ana (714) 835 3069
Seattle (206) 448-6819
St. Louis (314) 436-3426
Tucson (520) 882-5595
Washington, DC (202) 736-1000
**Mexican Cultural Centers and Institutes in the U.S.**
Atlanta (404) 264-1240
> 266-1932
Chicago (312) 255-1556
Denver (303) 331-1870
> 331-1872
Detroit (313) 567-7577
> 567-7567
>
> 567-7709
El Paso (915) 533-6311
Fresno (559) 445-2615
> 265-4520
Houston (713) 778-6116
> 772-4435
Laredo (956) 723-6369
Los Angeles (213) 624-3682
> 624-3660
McAllen (956) 686-0243
> 624-0244
Miami (305) 716-4977
> 716-4978
New Orleáns (504) 522-3696
> 525-1105
New York (212) 217-6420
> 217-6440
Orlando (407) 420-6896
Philadelphia (215) 933-4262
> 592-0410
Phoenix (602) 271-4858
Portland (503) 274-9973
Sacramento (916) 446-3691
### San Antonio (210) 227-0123
> 227-5018
San Diego (619) 231-8414, Ext. 53
San Francisco (415) 393-8003
San José (408) 294-3415
> 294-8602
>
> 297-1942
Seattle (206) 448-8938
St. Louis (314) 436-2695
Tucson (602) 628-7678
> 884-1121
Washington, DC (202) 728-1628
> 728-1629
If you prefer, you can contact the program
offices directly:
Programa para las Comunidades
Mexicanas en el Exterior
Secretaría de Relaciones Exterior
Ricardo Flores Magón número 2
Basameto ala "B"
Col. Guerrero, México DF 06995
Tel: 01152 (55) 517-4276
Fax: 01152 (55) 517-4346
E-mail: sorozco@sre.gob.mx
**APPENDIX E**
**Visiting Teacher/Instructor Survey (English)**
**Teacher from Mexico visiting U.S.**
As part of an effort to better understand and improve the quality of the
Binational Migrant Education Teacher Exchange Programs, we are asking
all teachers and instructors who have participated in the program during
the summer of this year to please take a few minutes to complete this
survey.
City and state in Mexico of participating teacher or instructor
Position of teacher or instructor and/or grade level in Mexico
(e.g., primaria, secundaria, preparatoria)
Name of city(ies) and state(s) visited in the United States:
Is this the first time you have participated in the Teacher Exchange
Program? \_\_ yes \_no
If yes, how may times have you participated in the past?
Length of visit: Departure date \_\_\_\_\_\_\_\_\_\_\_\_\_ Return date
day/month/year day/month/year
Lodging with \_\_\_family \_\_\_hotel
Other (Describe:)
List sites visited while in the U.S.
**Preparation for Visit to the United States (U.S.)**
+--------------------------------------+----+----+-----+--------+----+
| **Based on your experiences, | ** | ** | ** | * | * |
| please** | Po | Fa | Goo | *Excel | *N |
| | or | ir | d** | lent** | /A |
| **rate the quality of the:** | ** | ** | | | ** |
+--------------------------------------+----+----+-----+--------+----+
| Orientation you received to prepare | * | * | ** | **4** | * |
| you for your | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| visit to the U.S. | | | | | ** |
+--------------------------------------+----+----+-----+--------+----+
| Resources available to help you | * | * | ** | **4** | * |
| learn about your | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| destination city and school | | | | | ** |
+--------------------------------------+----+----+-----+--------+----+
| Travel to your destination in the | * | * | ** | **4** | * |
| U.S. | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+--------------------------------------+----+----+-----+--------+----+
**Types of Activities Experienced in the United States (U.S.)**
+---------------------------------------+----+----+-----+--------+----+
| **Based on your experiences in the** | ** | ** | ** | * | * |
| | Po | Fa | Goo | *Excel | *N |
| **U.S., please rate the quality of | or | ir | d** | lent** | /A |
| the:** | ** | ** | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Housing facilities while in the U.S. | * | * | ** | **4** | * |
| | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Transportation provided to you while | * | * | ** | **4** | * |
| in the U.S. | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| School site visit(s) if applicable | * | * | ** | **4** | * |
| | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Interactions with U.S. school | * | * | ** | **4** | * |
| administrators and/ | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| or teachers | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Interaction with migrant students at | * | * | ** | **4** | * |
| the U.S. | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| school site(s) | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Interaction with migrant parents at | * | * | ** | **4** | * |
| the U.S. school | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| Others? (Please list and rate) | * | * | ** | **4** | * |
| | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
| | * | * | ** | **4** | * |
| | *1 | *2 | 3** | | *N |
| | ** | ** | | | /A |
| | | | | | ** |
+---------------------------------------+----+----+-----+--------+----+
**APPENDIX F**
**Visiting Teacher/Instructor Survey (Spanish)**
**Encuesta para los Maestros Visitantes**
Para poder entender y mejorar la calidad del Programa Binacional de
Intercambio de Maestros de Migrantes, les estamos pidiendo a todos los
maestros que han participado en el programa durante el verano de este
año que por favor nos ayuden a contestar esta encuesta para poder
continuar con nuestros esfuerzos de servirles mejor.
Nombre de la Ciudad y Estado donde vive el maestro en México
Capacidad en que se usó al maestro y/o en que grado en México
(e.g., primaria, secundaria, preparatoria)
Nombre de la Ciudad(s) y Estado(s) donde estuvo el maestro en los
Estados Unidos
¿Es ésta la primera vez que participa en el Programa de Intercambios de
Maestros? \_\_\_ si \_\_\_ no
Si contesta que si ¿ cuántas veces ha participado anteriormente?
¿Cuál es el programa en el que usted está participando? (circule uno)
Intercambio de Maestros
¿Cuánto tiempo duró su visita? Fecha de salida
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Fecha de regreso
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
día/mes/año día/mes/año
Hospedaje con \_\_\_\_\_\_ familia \_\_\_\_\_\_\_\_ otro---describa
Liste visitas a lugares durante su estancia en los Estados Unidos
**Preparación para Visitar los Estados Unidos (EUA)**
----------------------------------- ---------- ------------- ----------- --------------- ---------
**Basado en sus experiencias, por **Mala** **Regular** **Buena** **Excelente** **N/A**
favor calique la calidad de:**
...orientación recibida para **1** **2** **3** **4** **N/A**
prepararlo para su visita a los
Estados Unidos.
...recursos disponibles para **1** **2** **3** **4** **N/A**
ayudarle a aprender más sobre la
ciudad y la escuela que usted iba a
visitar.
...información de como llegar al **1** **2** **3** **4** **N/A**
lugar asignado a usted en los
Estados Unidos.
----------------------------------- ---------- ------------- ----------- --------------- ---------
Tipos de Actividades Experimentadas en los Estados Unidos
----------------------------------------- ---------- ------------- ----------- --------------- ---------
**Basado en sus experiencias, por favor **Mala** **Regular** **Buena** **Excelente** **N/A**
califique la calidad de:**
... vivienda en condiciones apropiadas **1** **2** **3** **4** **N/A**
durante su estancia en los Estados
Unidos.
... transportación proveída durante su **1** **2** **3** **4** **N/A**
estancia en los Estados Unidos.
... visitas a otras escuelas (solamente **1** **2** **3** **4** **N/A**
si es aplicable).
... interacciones con los administradores **1** **2** **3** **4** **N/A**
o con los maestros de la escuela.
... interacciones con estudiantes **1** **2** **3** **4** **N/A**
migrantes en las escuelas en los Estados
Unidos.
... interacciones con padres migrantes en **1** **2** **3** **4** **N/A**
las escuelas de los Estados Unidos.
... ¿Otro? (Describa la actividad y **1** **2** **3** **4** **N/A**
califique)
----------------------------------------- ---------- ------------- ----------- --------------- ---------
1.Por favor liste y describa los servicios que usted ofrece.
2\. Por favor describa dos de los aspectos más gratificantes en su
experiencia del intercambio.
3\. Por favor comparta sus ideas de como se puede mejorar este programa.
**APPENDIX G**
**Activities Checklist and Timeline**
+---------+-------------------------------------------------+----------+
| **Pro | **Activity** | ** |
| posed** | | Status** |
| | | |
| **Tim | | |
| eline** | | |
+---------+-------------------------------------------------+----------+
| **Nov | Establish partnership with sponsoring | \_\_ |
| ember** | institution such | Received |
| | | |
| | as school district, state education department, | \_\_ |
| | or | C |
| | | ompleted |
| | university to begin "J-1" visa process. | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Dec | Mexican Consulates in the U.S. send Binational | \_\_ |
| ember** | Teacher | Received |
| | | |
| | Exchange Program Invitations and Applications | \_\_ |
| | to state | C |
| | | ompleted |
| | and district MEP administrators. | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Ja | Survey schools, migrant programs, and community | \_\_ |
| nuary** | | Received |
| | agencies that conduct summer programs for | |
| | migrant | \_\_ |
| | | C |
| | students to determine their interest in hosting | ompleted |
| | | |
| | binational exchange teacher(s). | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Ja | Make presentation to local school board to | \_\_ |
| nuary** | receive | Received |
| | | |
| | approval for plans to implement Binational | \_\_ |
| | Teacher | C |
| | | ompleted |
| | Exchange Program. | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Ja | Review costs of sponsoring binational exchange | \_\_ |
| nuary** | | Received |
| | teacher(s) and begin developing program budget. | |
| | | \_\_ |
| | | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Late | The Secretariats of Education of each | \_\_ |
| Feb | participating | Received |
| ruary** | | |
| | Mexican state submit a list of selected | \_\_ |
| | teachers, along | C |
| | | ompleted |
| | with their resumes, to the SRE to be assigned | |
| | to sites. | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Early | March 1, MEP administrators submit completed | \_\_ |
| March** | | Received |
| | applications to their U.S.--Mexican Consulate. | |
| | | \_\_ |
| | | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Early | Make arrangements to go to Mexico to interview | \_\_ |
| March** | | Received |
| | available exchange teachers, conduct interviews | |
| | by | \_\_ |
| | | C |
| | telephone, or request that MEP directors going | ompleted |
| | to Mexico | |
| | | \_\_ In |
| | to interview teachers make recommendations for | Progress |
| | | |
| | teachers meeting identified profile. | |
+---------+-------------------------------------------------+----------+
| **Mid- | The SRE, along with participating Mexican | \_\_ |
| March** | states, | Received |
| | | |
| | assigns teachers to migrant program sites, | \_\_ |
| | based on | C |
| | | ompleted |
| | interviews and the information submitted by MEP | |
| | | \_\_ In |
| | administrators on the program application. | Progress |
+---------+-------------------------------------------------+----------+
| **Late | Sponsoring organization or MEP sends official | \_\_ |
| March** | invitation | Received |
| | | |
| | letter and forms necessary for securing "J-1" | \_\_ |
| | visas to | C |
| | | ompleted |
| | selected binational exchange teacher(s). | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Late | Begin making arrangements for room, board, | \_\_ |
| March** | transportation, | Received |
| | | |
| | program teaching assignment, and stipends | \_\_ |
| | | C |
| | for binational exchange teacher(s). | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| ** | Initiated by the Mexican Consulates in the | \_\_ |
| April** | U.S., direct | Received |
| | | |
| | lines of communication are established among | \_\_ |
| | the | C |
| | | ompleted |
| | Mexican Consulates, MEP administrators, Mexican | |
| | statelevel | \_\_ In |
| | | Progress |
| | binational contacts, and exchange teachers to | |
| | | |
| | discuss programmatic and logistical | |
| | information. The | |
| | | |
| | specific teacher information is provided for | |
| | required visa. | |
+---------+-------------------------------------------------+----------+
| ** | Secure local resources for potential medical | \_\_ |
| April** | requirements, | Received |
| | | |
| | banking, or other personal needs that may arise | \_\_ |
| | | C |
| | during teachers' visit. | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| ** | Make arrangements for orientation and staff | \_\_ |
| April** | development | Received |
| | | |
| | activities for local staff and exchange | \_\_ |
| | teacher(s). | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| ** | Ensure that all necessary requirements for "J" | \_\_ |
| April** | visas are | Received |
| | | |
| | completed at least one month prior to teachers' | \_\_ |
| | arrivals. | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **May** | Schedule cultural enrichment activities and | \_\_ |
| | opportunities | Received |
| | | |
| | for exchange teacher(s) to interact with | \_\_ |
| | parents. | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **May** | Mexican Consulates and MEP administrators | \_\_ |
| | finalize | Received |
| | | |
| | arrangements for lodging, food, local | \_\_ |
| | transportation, and | C |
| | | ompleted |
| | stipend with Mexican sending state binational | |
| | contacts | \_\_ In |
| | | Progress |
| | and exchange teachers at least one month prior | |
| | to | |
| | | |
| | teachers' arrival. | |
+---------+-------------------------------------------------+----------+
| **May** | Send exchange teacher(s) a list of classroom | \_\_ |
| | resources | Received |
| | | |
| | and supplies that will be provided for them as | \_\_ |
| | well as | C |
| | | ompleted |
| | specific resources they should bring, if | |
| | possible (i.e., | \_\_ In |
| | | Progress |
| | dance costumes, traditional music, arts and | |
| | crafts | |
| | | |
| | material, maps and historical information, | |
| | etc.). | |
+---------+-------------------------------------------------+----------+
| **Mi | The SRE, along with participating Mexican | \_\_ |
| d-May** | states, informs Mexican Consulates and | Received |
| | receiving MEP administrators of arrival | |
| | information and finalizes local transportation | \_\_ |
| | to program site. | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Late | Plan for end of program cultural activity, | \_\_ |
| May** | fair, or fiesta | Received |
| | | |
| | with program staff, teachers, students, | \_\_ |
| | parents, school | C |
| | | ompleted |
| | and community members, and media | |
| | representatives. | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Late | Arrange for exchange teacher(s) to receive | \_\_ |
| May** | photo ID cards. | Received |
| | | |
| | | \_\_ |
| | | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| ** | Data-gathering materials regarding the | \_\_ |
| July--A | implementation | Received |
| ugust** | | |
| | of all components of the BMEP sent to MEP state | \_\_ |
| | | C |
| | directors by the Center for Migrant Education. | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
| **Aug | Completed data gathering surveys and reports | \_\_ |
| ust--** | submitted | Received |
| | | |
| **Sept | by state directors to the Center for Migrant | \_\_ |
| ember** | Education. | C |
| | | ompleted |
| | | |
| | | \_\_ In |
| | | Progress |
+---------+-------------------------------------------------+----------+
For further information regarding the Binational Migrant Education
Program and the Teacher Exchange Program, contact the U.S. Department of
Education's Office of Migrant Education or the Center for Migrant
Education at Southwest Texas State University, which is currently
coordinating binational efforts. Contact information for the Center is
listed below.
Frank Contreras, Director
Andrea B. Vázquez, Assistant Director
**Center for Migrant Education**
**Southwest Texas State University**
601 University Drive
San Marcos, Texas 78666
*Phone:* (512) 245-1365
*Toll Free:* (866) 245-1365
*Fax:* (512) 245-0588
*E-mail:* fc10@swt.edu *or* ab29@swt.edu
*Website:* [www.migrantedu.com](http://www.migrantedu.com/)
[^1]: *This type of inquiry is often done to determine the applicant's
English fluency, rather than teaching abilities.*
| en |
markdown | 527426 | # Presentation: 527426
## Registry Operations: The Basics
**Registry Operations: The Basics**
***Registry Operations***
***Patient Sets***
***Records***
**Reportable, Acceptable Records**
**St. Joseph’s Hospital**
**Main Street Doctor’s Group**
**Path Lab**
## What Are the Types of Records?
***There are three categories of records. Every type of record that can be processed in Registry Operations falls under one of these three:***
_**Health Records**_ – A set of information that contains medical information, including vital status. Types of Health Records include:
_**Supplemental Record**_ – A collection of related data with no health information, generally used to verify personal data and update follow-up information:
_**Other**_ – A collection of data with no health or person information. Only includes:
- -- Abstract
- -- Autopsy Report
- -- Correction Record
- -- Cytology Report *
- -- Death Certificate
- -- Death Index
- -- Disease Index/Hospital Discharge File
- -- Follow-Up Record
- -- Follow-Up Abstract
- -- Hematology Report *
- -- Indian Health Services (IHS) Record
- -- Obituary
- -- Oncology Report *
- -- Path Report *
- -- Radiology Report *
- -- Radiotherapy Report
- -- Special Study Record (?)
- -- Surgery Log
- -- CMS (HCFA) File
- -- DMV Record
- -- Insurance Demographic
- Information (HMO)
- -- IRS Record
- -- SSA Death Record
- -- State Birth Record
- -- Voters Registration
- -- Census Tract
- -- Name List for Race/Ethnicity
- * A type of lab or imaging report.
## What is in a Patient Set?
***Here is an example of what might be in a single Patient Set. Each entity (box) represents an object about which the Registry might collect information. This example is not exhaustive of all that might be included:***
**PATIENT**
**CTC 1**
**OTHER PROCEDURE**
**DIAGNOSIS**
**GENETIC MARKER**
**CHEMO 1**
**CTC 2**
**CHEMO 2**
**DIAGNOSIS**
**SURGERY 1**
**RADIATION 1**
- {X-Ray, Mammogram, etc.}
- CTC: Cancer/Tumor/Case
## Registry Operations: The Basics Revisited
**Registry Operations: The Basics Revisited**
***Registry Operations***
**Reportable, Acceptable Records**
**St. Joseph’s Hospital**
**Main Street Doctor’s Group**
**Path Lab**
**Abstract #123**
**From St. Joseph’s Hosp.**
- Name: Fred Andrews
- SSN: 123-45-5678
- ...
***Patient Sets***
***Records***
## The Story: Step 1
**The Story: Step 1**
***The Registry Receives Path Reports***
**Path Lab**
**Path Report #123**
**From Oak Street Path Lab**
- Name: Jane Smith
- SSN: 111-22-3333
- Race: White
- Primary Site: Breast NOS
- Surgery: Biopsy
- Surgery Date: 12/20/2000
- Place of Surgery: St.
- Joseph’s Hospital
- Dx Text: Lobular
- Carcinoma of Breast
- ...
**Path Report #432**
**Path Report #654**
**Path Report #789**
**Path Report #456**
## The Story: Step 2
**The Story: Step 2**
***Path Reports Are Screened (aka “Case Finding”)***
**Path Report #123**
**From Oak Street Path Lab**
- Name: Paul Jones
- SSN: 888-22-1111
- Dx Text: Gallstones, no
- evidence of malignancy
- ...
- A process screens all incoming health records to determine which might be reportable to SEER, Local Agencies, or a Special Study. In other words, “case finding” is done.
- Some records are deemed not reportable...
- while some are deemed reportable.
- Possibly Reportable = No
- Possibly Reportable = Yes
- Name: Jane Smith
- SSN: 111-22-3333
- Race: White
- Primary Site: Breast NOS
- Surgery: Biopsy
- Surgery Date: 12/20/2000
- Place of Surgery: St.
- Joseph’s Hospital
- Dx Text: Lobular
- Carcinoma of Breast
- ...
## The Story: Step 3
***Path Reports May be Visually Edited***
**Path Report #123**
**From Oak Street Path Lab**
- Based on registry policy, any incoming health record may undergo visual editing. Any changes can be flagged as updated to be returned to the data source (here, the Oak Street Path Lab).
- Returned updates can be used to determine where additional training may be needed and to keep the information in the central registry and in hospital registries synchronized.
- We will assume in this registry that only Abstracts are visually edited.
- Possibly Reportable = Yes
- Name: Jane Smith
- SSN: 111-22-3333
- Race: White
- Primary Site: Breast NOS
- Surgery: Biopsy
- Surgery Date: 12/20/2000
- Place of Surgery: St.
- Joseph’s Hospital
- Dx Text: Lobular
- Carcinoma of Breast
- ...
## The Story: Step 4
**The Story: Step 4**
***The Reportable Path Report is Matched***
- A process then attempts to match the possibly reportable record to existing Patient Sets.
- In this story, we will assume there is no match.
## The Story: Step 5
**The Story: Step 5**
***A New Patient Set is Created From That Path Report***
- Because there was no match to an existing Patient Set, a new one is added. This represents the best information known by the registry about Jane Smith. The patient set is flagged as not finalized, meaning it won’t be used for reporting until the Registry deems it ready (hopefully, when the Registry receives and consolidates an Abstract).
## The Story: Step 6
**The Story: Step 6**
***The Registry Creates or Receives Abstracts***
**Abstract #9876**
**From St. Joseph’s Hosp.**
- Name: Jane B. Smith
- SSN: 111-22-3333
- DOB: 3/12/1938
- Primary Site: Breast,
- Upper Left Quadrant
- Histology: Lobular Carcinoma
- Treatment: Breast
- Conserving Surgery
- - Date of Surgery: 2/15/01
- Treatment: Radiation (Beam)
- ...
**Abstract #8675**
**Abstract #4545**
**Abstract #2020**
**Abstract #1311**
- This Hospital does its own abstracting. After some time passes, St. Joseph’s sends Abstract Records to the Registry to be processed as all Health Records are.
## The Story: Step 7
***The Abstract is Screened*** ***and*** ***Visually Edited***
- The new Abstract is screened and found to be possibly reportable.
- Again, in this registry, Abstracts are visually edited.
- An audit log is created to track all changes. Any change may be flagged as one which needs to be reported back to the data source (St. Joseph’s Hospital).
- Here, there is one change and the facility is to be notified about the change.
**Audit Log**
- 1. ICD-10 site code
- from C503 to C502
- on 8/26/01
- by Reg Smith
- why Code did not match text
- Fac notification? Yes
## The Story: Step 8
**The Story: Step 8**
***The Abstract is Matched***
- The new Abstract is matched, and a match is found on Patient and CTC.
**Audit Log**
- 1. ICD-10 site code
## The Story: Step 9
**The Story: Step 9**
***The Patient Set is Consolidated***
- The information from the edited St. Joseph’s Hospital Abstract is consolidated into the Patient Set. This provides the complete, best information the Registry knows about Jane B. Smith’s breast tumor.
- An audit log is created to track the changes made in the patient set. Global reason (St. Joseph’s abstract received) may be assigned to a set of changes. Specific reason may be assigned to each change.
**Audit Log**
- 1. Name
- from Jane Smith to Jane B. Smith
- on 8/26/01
- by Reg Smith
- why St. Joseph’s Abstract received
- 2. DOB
- 3. Primary Site
- ...
**Audit Log**
- 1. ICD-10 site code
## The Story: Step 10
**The Story: Step 10**
***The Surgery Log is Sent by the Hospital and Screened at the Registry***
**Surgery Log Record #78**
**From St. Joseph’s Hosp.**
- Name: Jane Bell Smith
- SSN: 111-22-3333
- Surgery: Modified Radical
- Mastectomy
- Date of Surgery: 4/26/02
- ...
**Surgery Log Record #99**
**Surgery Log Record #63**
**Surgery Log Record #88**
**Surgery Log Record #51**
- St. Joseph’s sends its Surgery Log to the Registry for Quality Control purposes. Each Record within the log is screened as all Health Records are.
- Possibly Reportable = Yes
## The Story: Step 11
**The Story: Step 11**
***The Surgery Log Matches a Patient and CTC Within a Patient Set***
- The Surgery Log Record matches to this patient set at the Patient and CTC level. The registry can also verify that an abstract for this Patient and CTC has been received from St Joseph’s already.
## The Story: Step 12
**The Story: Step 12**
***The Surgery Log is Consolidated into the Patient Set***
- The Surgery Log Record is consolidated into the Patient Set, giving the Registry the best information that it has of Jane Bell Smith’s breast tumor. Again, an audit log is created to track changes.
**Audit Log**
- 1. Name
- ...
- 15. Name
- from Jane B Smith to Jane Bell Smith
- on 10/15/01
- by Jess White
- why St. Joseph’s surg log received
- ...
## The Story: Step 13
***The Patient Set is Finalized***
- The Patient Set has been consolidated, but not “polished up”. At this point, to finalize the Patient Set, the census tract is assigned, ethnicity is assigned, age recode is generated, survival time is calculated, etc.
- The status is changed to finalized, meaning this information can now be provided to SEER, etc. Finalized is _not_ meant to imply that the patient set will never change again.
***Patient Set***
- Status = Finalized
- Surgery: Biopsy
- Surgery Date:
- 12/20/2000
- Place of Surgery:
- St.Joseph’s Hosp
- Primary Site: Breast NOS
- Dx Text: Lobular Carcinoma
- of Breast
- Hist: Lobular Carcinoma
- Age of Dx Recode: 13
- Name: Jane Bell Smith
- SSN: 111-22-3333
- Race: White
- DOB: 3/12/1938
- Surgery: Breast
- Conserving Surg.
- Surgery Date:
- 2/15/2001
- Beam
- Surgery:
- Modified Radical
- Mastectomy
- Surgery Date:
- 4/26/2001
## The Story: Step 14
***Provide Data to SEER and Others***
- The information in the Patient Set is now ready to be submitted to SEER, etc. Only Patient Sets where Status = Finalized are used for reporting.
***Patient Set***
- Status = Finalized
- Surgery: Biopsy
- Surgery Date:
- 12/20/2000
- Place of Surgery:
- St.Joseph’s Hosp
- Name: Jane Bell Smith
- SSN: 111-22-3333
- Race: White
- DOB: 3/12/1938
- Surgery: Breast
- Conserving Surg.
- Surgery Date:
- 2/15/2001
- Beam
- Surgery:
- Modified Radical
- Mastectomy
- Surgery Date:
- 4/26/2001
- Primary Site: Breast NOS
- Dx Text: Lobular Carcinoma
- of Breast
- Hist: Lobular Carcinoma
- Age of Dx Recode: 13
## Registry Operations
***Registry Operations***
**Reportable, Acceptable Records**
**St. Joseph’s Hospital**
**Abstract #123**
**From St. Joseph’s Hosp.**
- Name: Fred Andrews
- SSN: 123-45-5678
- ...
***Patient Sets***
***Records***
**The Story: Step 15**
***Provide Data to Data Sources***
- Data may be returned to the Data Sources in many ways.
- Reports may be generated on the Patient Sets, returning information for all Patient/CTCs with which the source has interacted.
- Communications may be created based on Health record updates which are marked ‘Facility Notification=Yes’
- Reports may be generated on the raw Health Records, providing a summary for each patient of the information reported by the facility.
- Follow-back queries may be generated to notify the data source that different records have conflicting information. | en |
converted_docs | 686124 | Before the
Federal Communications Commission
Washington, D.C. 20554
+----------------------------------+---+------------------------------+
| In the Matter of | ) | |
| | \ | |
| GARMIN INTERNATIONAL, INC. | ) | |
| | \ | |
| Request for Waiver of Sections | ) | |
| 95.29(f)(1), 95.119(a)(1), | \ | |
| 95.181(a), 95.183(a)(4), and | ) | |
| 95.631(a) and (f) of the | \ | |
| Commission's Rules to Authorize | ) | |
| Manufacture, Sale, and Use of | \ | |
| GPS Transmission Enhanced GMRS | ) | |
| Units | \ | |
| | ) | |
| | \ | |
| | ) | |
| | | |
| | ) | |
+----------------------------------+---+------------------------------+
ORDER
**Adopted: December 23, 2008 Released: December 24, 2008**
By the Deputy Chief, Mobility Division, Wireless Telecommunications
Bureau:
# introduction
1. In this *Order*, we consider a request to extend a waiver of the
General Mobile Radio Service (GMRS) rules permitting Garmin
International, Inc. (Garmin) to market GMRS transceivers with the
capability of transmitting Global Positioning System (GPS)
coordinates as non-voice data. In 2004, the Public Safety and
Critical Infrastructure Division (PSCID),[^1] Wireless
Telecommunications Bureau (Bureau) granted Garmin a two-year
conditional waiver of Sections 95.29(f)(1), 95.119(a)(1), 95.181(a),
95.183(a)(4), and 95.631(a) and (f) of the Commission's Rules.[^2]
In 2006, the Bureau's Mobility Division (Division) granted a
two-year extension of the waiver until December 29, 2008.[^3] On
August 6, 2008, Garmin requested a further extension.[^4] For the
reasons stated below, we grant Garmin's 2008 Extension Petition.
Garmin's conditional waiver is now extended until December 29, 2010,
under the same terms and conditions as the initial waiver.
# BACKGROUND
2. The Commission adopted rules establishing the future GMRS over fifty
years ago as a short-distance two-way land mobile radio service
available for communications that facilitate personal or business
activities of licensees and their immediate family members.[^5] In
1988, the Commission amended the GMRS rules to provide flexibility
to the individual user and limit eligibility for new GMRS licenses
to individuals.[^6] In 1996, the Commission established the Family
Radio Service (FRS) as a very short range, two-way voice personal
radio service that provides an affordable and convenient means of
communications among small groups of persons, including families,
with minimal regulation.[^7] The FRS shares seven frequencies in the
462 MHz band with the GMRS and has seven channels that are offset
from GMRS channels in the 467 MHz band.[^8]
3. In 2000, Garmin, a designer and manufacturer of consumer electronic
devices, requested a waiver of the FRS rules to allow it to
manufacture standard FRS voice communication radios incorporating an
enhancement that would permit transmission of GPS location
information.[^9] On September 29, 2000, the Bureau's Public Safety
and Private Wireless Division (PSPWD)[^10] granted Garmin a partial
waiver of Sections 95.193(b) and 95.631(d) of the Commission\'s
Rules to allow it to manufacture and market transceivers capable of
transmitting GPS location information on FRS channels.[^11] Under
its waiver grant, PSPWD permitted Garmin to receive FCC
certification of a FRS unit that would permit users to transmit GPS
location information using emission type F2D in a digital data burst
of not more than one second.[^12] Later that year, Garmin filed a
petition for rulemaking seeking to amend the Commission's Rules
essentially to codify the terms of the waiver.[^13] In 2003, the
Commission amended its rules to permit FRS transceivers to transmit
GPS location information (including automatic responses to
interrogation \-- polling \-- from other units) and user-generated
text messages.[^14]
4. Later in 2003, Garmin requested a waiver of Sections 95.29(f)(1),
95.119(a)(1), 95.181(a), 95.183(a)(4), and 95.631(a) and (f) of the
Commission's Rules.[^15] Garmin sought a waiver of these rules in
order to receive FCC certification for a GMRS transceiver that is
capable of transmitting F2D emissions to transmit location
information derived from the GPS, and user-generated text
messages.[^16] Garmin argued that granting the waiver would allow it
to extend to GMRS licensees the public safety benefits of the
location positioning technology that FRS users enjoy.[^17] Similar
to the FRS radios that Garmin manufactures, the proposed units would
allow GMRS users to transmit text or location data to other GMRS
users by manual action or command, and would automatically transmit
GPS-derived location data when polled by another unit, with the
location of the transmitting unit displayed on the map of the
receiving unit.[^18]
5. Later that year, Garmin filed a petition for rulemaking seeking to
modify the GMRS rules to mirror the FRS rules adopted by the
Commission earlier.[^19] In 2004, PSCID granted Garmin a two-year
waiver to manufacture and market GMRS transceivers capable of
transmitting GPS location information on GMRS channels, subject to
all of the conditions for transmitting location data and text in the
FRS.[^20] In effect, PSCID extended to GMRS licensees the public
safety benefits of the location positioning technology that is
available to FRS users.[^21]
6. In 2006, Garmin sought an extension of the relief afforded in the
*2004* *Order* for an additional two years pending resolution of the
2003 Petition for Rulemaking.[^22] Garmin asserted that granting the
extension would provide authority for Garmin to continue marketing
equipment that had saved, and would continue to save, lives.[^23]
Moreover, Garmin alleged that due to the efficiency of its non-voice
data transmissions, it had not received any reports of harmful
interference from the operation of its equipment.[^24] Later that
year, the Division granted Garmin a two-year extension of the waiver
to manufacture and market GMRS transceivers capable of transmitting
GPS location information on GMRS channels, subject to the same
conditions as the 2004 waiver.[^25] The Division concluded that
granting the extension of the waiver would serve the underlying
purpose of the GMRS rules to be a flexible, efficient and effective
personal communications service.[^26]
7. In the instant petition, Garmin seeks a further two-year extension
pending resolution of the 2003 Petition for Rulemaking. Garmin
asserts that granting the extension would provide authority for
Garmin to continue marketing equipment that has saved, and will
continue to save, lives.[^27] Moreover, Garmin alleges that due to
the efficiency of its non-voice data transmissions, it has not
received any reports of harmful interference from the operation of
its equipment.[^28]
# DISCUSSION
8. As PSCID stated in the *2004 Order*, application of the rules to the
instant case would frustrate the underlying purpose of the GMRS
rules, and a waiver is in the public interest.[^29] Although
Garmin's technology did not exist at the time the Commission
substantially revised the GMRS rules in 1988, we note that the
Commission did intend GMRS to be a flexible, efficient and effective
personal communications service.[^30] The Commission limited
eligibility for new GMRS system licenses to individuals to focus the
use of the limited number of GMRS channels towards the needs of the
personal user.[^31] The Commission's stated goal was to "enhance the
GMRS for the personal user."[^32] Therefore, consistent with the
Commission's goals and intentions, and as requested by Garmin, the
Commission is considering broadening the scope of the GMRS rules in
a manner that would encompass location technology and text
messaging.[^33] We continue to believe there is potential benefit in
doing so. For example, Garmin has persuaded us that personal safety
could be enhanced if GMRS users could ascertain the location of
GMRS-equipped family or group members. Granting the further
extension of the waiver will serve the underlying purpose of the
GMRS rules to be a flexible, efficient and effective personal
communications service. Accordingly, we conclude that the public
interest factors raised by Garmin merit further extension of the
initial waiver, under the same terms and conditions thereof, pending
resolution of the 2003 Petition for Rulemaking.
**IV. CONCLUSION**
9. Garmin has satisfied the Commission's waiver criteria, thus
warranting a further two-year extension of the waiver, subject to
the terms and conditions of the initial waiver. Accordingly, we
grant an extension of the waiver permitting Garmin to manufacture
and market GMRS transceivers capable of transmitting GPS location
information on GMRS channels until December 29, 2010, subject to all
of the conditions for transmitting location data and text in the
FRS[^34] and the following additional conditions and requirements
set forth in the *2004 Order*[^35]:
\--Garmin must design the units it proposes to manufacture such that the
mobile units capable of transmitting text and GPS location data have
integrated (*i.e*., non-detachable) antennas.
\--Garmin must design the units it proposes to manufacture such that
transmission of text and GPS location data is limited to 462 MHz GMRS
channels, as specified in Section 95.29(a) and (f), which channels are
not repeater input frequencies.
\--Garmin must design the units it proposes to manufacture such that
transmission of text and GPS location data is limited to an authorized
bandwidth of no more than 12.5 kHz.
\-- Garmin must design the units it proposes to manufacture such that a
unit cannot automatically (*i.e.*, without manual action or command)
poll other units to determine their location based on GPS-derived
location information.
\--Grant of this waiver is subject to the resolution of Garmin's pending
petition for rulemaking, RM-10762.
\--We may immediately terminate the waiver if harmful interference[^36]
is reported to the Commission.
**V. ORDERING CLAUSES**
10. Accordingly, IT IS ORDERED that pursuant to Section 4(i) of the
Communications Act of 1934, as amended, 47 U.S.C. § 154(i), and
Section 1.925 of the Commission\'s Rules, 47 C.F.R. § 1.925, Garmin
International, Inc.'s request for extension of the waiver filed on
August 6, 2008, IS GRANTED, and the waiver granted to Garmin
International, Inc. on December 29, 2006 IS EXTENDED until December
29, 2010, under the same terms and conditions as the initial waiver.
11. This action is taken under delegated authority pursuant to Sections
0.131 and 0.331 of the Commission\'s Rules, 47 C.F.R. §§ 0.131,
0.331.
FEDERAL COMMUNICATIONS COMMISSION
Scot Stone
Deputy Chief, Mobility Division
Wireless Telecommunications Bureau
[^1]: Pursuant to a Commission reorganization effective September 25,
2006, certain duties of the Public Safety and Critical
Infrastructure Division were assumed by the Mobility Division. *See*
Establishment of the Public Safety and Homeland Security Bureau,
*Order*, 21 FCC Rcd 10867 (2006).
[^2]: *See* Garmin International, Inc., *Order*, 20 FCC Rcd 982 (WTB
PSCID 2004) (*2004 Order*). The Division granted Garmin a waiver of
the GMRS rules that (1) require the transmission of station
identification information following every communication or series
of communications, (2) allow the transmission of voice type
emissions only, (3) relate to permissible GMRS communications, (3)
limit the types of emissions and data a GMRS transmitter may
transmit, and (4) prohibit coded messages. *Id*.; *see* *also* 47
C.F.R. §§ 95.29(f)(1), 95.119(a)(1), 95.181(a), 95.183(a)(4),
95.631(a), (f).
[^3]: *See* Garmin International, Inc., *Order*, 21 FCC Rcd 15072 (WTB
MD 2006) (*2006 Order*).
[^4]: Petition for Extension of Waiver filed by Garmin International,
Inc. on Aug. 6, 2008 (2008 Extension Petition).
[^5]: GMRS began as the Class A Service in the Citizens Radio Service in
1949. Creation of an Additional Personal Radio Service, *Notice of
Inquiry*, PR Docket 79-140, 72 F.C.C.2d 453, 454 ¶ 3 (1979);
Creation of a New Class of Citizens Radio Service and the
Reallocation of Frequencies between 224 MHz and 225 MHz in the Band
220-225 MHz now Allocated for Shared Use by Stations in the Amateur
Radio Service and Government Radiolocation Stations for that
Purpose, *Notice of Inquiry and Notice of Proposed Rulemaking*,
Docket No. 19759, 41 F.C.C.2d 147, 149 ¶ 6 (1973). In 1976, the
Commission redesignated the Citizens Radio Service as the Personal
Radio Services and redesignated the Class A Service as the GMRS.
Revision of Operating Rules for Class D Stations in the Citizens
Radio Service, Docket 20120, *Third Report and Order*, 63 F.C.C.2d
32, 32-33 ¶ 4 (1976); *see also* Amendment of Subparts A and E of
Part 95 to Improve the General Mobile Radio Service (GMRS), *Report
and Order*, PR Docket No. 87-265, 3 FCC Rcd 6554, 6554 ¶ 3 (1988)
(*GMRS R&O*); 47 C.F.R. §§ 95.1(a), 95.181.
[^6]: *GMRS R&O*, 3 FCC Rcd at 6554 ¶ 1.
[^7]: *See* Amendment of Part 95 of the Commission's Rules to Establish
a Very Short Distance Two-way Voice Radio Service, *Report and
Order*, WT Docket No. 95-102, 11 FCC Rcd 12977, 12977 ¶ 2, 12983 ¶
17, 12984 ¶ 19 (1996).
[^8]: Specifically, FRS channels 1-7 are also GMRS frequencies and FRS
channels 8-14 are offset from GMRS frequencies. *Compare* 47 C.F.R.
§ 95.621 (GMRS frequencies) *with* 47 C.F.R. § 95.627 (FRS
frequencies).
[^9]: Garmin International, Inc., *Order*, 15 FCC Rcd 19143, 19145 ¶ 5
(WTB PSPWD 2000) (*2000 Order*) (citing Letter from Garmin
International, Inc. to D\'wana Terry, Chief, Public Safety and
Private Wireless Division, Wireless Telecommunications Bureau,
Federal Communications Commission (dated Aug. 28, 2000)).
[^10]: The Commission reorganized the Wireless Telecommunications Bureau
effective November 13, 2003, and the relevant duties of the Public
Safety and Private Wireless Division were assumed by the Public
Safety and Critical Infrastructure Division. *See* Reorganization of
the Wireless Telecommunications Bureau, *Order*, 18 FCC Rcd 25414,
25414 ¶ 2 (2003).
[^11]: *See 2000 Order*, 15 FCC Rcd at 19147 ¶¶ 10-11.
[^12]: *Id.* at 19147-48 ¶ 10. Emissions are designated by an
alphanumeric code that indicates the type of modulation of the main
carrier, nature of the signal(s) modulating the main carrier, and
the type of information to be transmitted. *See* 47 C.F.R. §
2.201(b). F2D is a type of frequency modulated telemetry emission.
*See* 47 C.F.R. § 2.201(e).
[^13]: *See* Garmin International, Inc., Petition for Rulemaking, RM
10070 (filed Dec. 26, 2000). The Commission sought comment on
Garmin's Petition for Rulemaking in 2001. *See* Garmin
International, Inc., Amendment of Sections 95.193(a) and 95.631(d)
to Authorize Manufacture, Sale and Use of GPS Transmission Enhanced
Family Radio Service Units, and Amendment of Sections 95.193(a),
95.193(b), and 95.631(d) of the Commission's Rules in the Family
Radio Service, *Notice of Proposed Rulemaking*, WT Docket No.
01-339, 16 FCC Rcd 22876 (2001).
[^14]: *See* Garmin International, Inc., Amendment of Sections 95.193(a)
and 95.631(d) to Authorize Manufacture, Sale and Use of GPS
Transmission Enhanced Family Radio Service Units, and Amendment of
Sections 95.193(a), 95.193(b), and 95.631(d) of the Commission's
Rules in the Family Radio Service, *Report and Order*, WT Docket No.
01-339, 18 FCC Rcd 2349 (2003).
[^15]: *See* Letter from Garmin International, Inc. to D'wana Terry,
Chief, Public Safety and Private Wireless Division, Wireless
Telecommunications Bureau, Federal Communications Commission (dated
May 15, 2003).
[^16]: *Id*.
[^17]: *2004 Order*, 20 FCC Rcd at 984 ¶ 6.
[^18]: *Id*.
[^19]: *See* Garmin International, Inc., Petition for Rulemaking,
RM-10762, at 4 (filed July 22, 2003) (2003 Petition for Rulemaking).
The Commission placed the Garmin 2003 Petition for Rulemaking on
public notice on August 6, 2003. *See* Consumer and Governmental
Affairs Bureau Reference Information Center Petition for Rulemaking,
*Public Notice*, Report No. 2619 (Aug. 6, 2003). The Commission
received seven comments and one reply comment during the pleading
cycle and one *ex parte* after the pleading cycle. This petition
will be addressed in a separate proceeding.
[^20]: *2004 Orde*r, 20 FCC Rcd at 986 ¶ 13. The Division also
conditioned the waiver upon the resolution of the 2003 Petition for
Rulemaking. *Id.*
[^21]: *Id*. at 982 ¶ 9.
[^22]: *See* Petition for Extension of Waiver filed by Garmin
International, Inc. on Apr. 6, 2006.
[^23]: *Id*. at 2 and Exhibit One.
[^24]: *Id*. at 2.
[^25]: *See 2006 Order*, 21 FCC Rcd at 15075 ¶ 6 (extending Garmin's
initial waiver until December 29, 2008).
[^26]: *Id.*
[^27]: *See* 2008 Extension Petition at 2-3, 5-12.
[^28]: *Id*. at 3-4.
[^29]: *2004 Orde*r, 20 FCC Rcd at 984 ¶ 8.
[^30]: *GMRS R&O*, 3 FCC Rcd at 6554 ¶ 1.
[^31]: *Id*. at 6555 ¶ 7.
[^32]: *Id*. at 6554 ¶ 2.
[^33]: *See supra* note 19.
[^34]: *See* 47 C.F.R. § 95.193(b)(2).
[^35]: *See* *2004 Order*, 20 FCC Rcd at 986 ¶ 13; *see also 2006
Order*, 21 FCC Rcd at 15075-76 ¶ 7.
[^36]: Harmful interference for purposes of this waiver will be
considered interference which endangers the functioning of a
radionavigation service or of other safety services or seriously
degrades, obstructs or repeatedly interrupts another
radiocommunication service operating in accordance with the
Commission's Rules or the international *Radio Regulations*.
| en |
converted_docs | 417563 | ------------------- ------------------------------------------------------------------
**HEA: AID
Developing
Hispanic-Serving
Institutions**
**FY 2009 Program
Performance Plan**
Strategic Goal 3
Discretionary
HEA, Title V
CFDA 84.031S: Title V Developing Hispanic-Serving Institutions Program
------------------- ------------------------------------------------------------------
-------------- --------------------------------------------------------
**Program **To improve the capacity of minority-serving
Goal:** institutions, which traditionally have limited resources
and serve large numbers of low-income and minority
students, to improve student success and to provide
high-quality educational opportunities for their
students.**
-------------- --------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------
------------------------- --------------------------------------------------------
***Objective 1 of 3:*** *Increase enrollment at Hispanic-serving institutions
(HSIs) over the long term.*
------------------------- --------------------------------------------------------
+------+---------------+------------------+---------------------------+
| * | | | |
| *Mea | | | |
| sure | | | |
| 1.1 | | | |
| of | | | |
| 1:** | | | |
| | | | |
| The | | | |
| pe | | | |
| rcen | | | |
| tage | | | |
| cha | | | |
| nge, | | | |
| over | | | |
| the | | | |
| f | | | |
| ive- | | | |
| year | | | |
| g | | | |
| rant | | | |
| per | | | |
| iod, | | | |
| of | | | |
| the | | | |
| nu | | | |
| mber | | | |
| of | | | |
| f | | | |
| ull- | | | |
| time | | | |
| deg | | | |
| ree- | | | |
| gran | | | |
| ting | | | |
| u | | | |
| nder | | | |
| grad | | | |
| uate | | | |
| stud | | | |
| ents | | | |
| enro | | | |
| lled | | | |
| at | | | |
| H | | | |
| SIs. | | | |
| | | | |
| | | | |
| (Des | | | |
| ired | | | |
| di | | | |
| rect | | | |
| ion: | | | |
| i | | | |
| ncre | | | |
| ase) | | | |
| | | | |
| 1599 | | | |
+------+---------------+------------------+---------------------------+
| **Ye | **Target** | **Actual\ | **Status** |
| ar** | | (or date | |
| | | expected)** | |
+------+---------------+------------------+---------------------------+
| 2004 | | 6.7 | Measure not in place |
+------+---------------+------------------+---------------------------+
| 2005 | | 9.2 | Measure not in place |
+------+---------------+------------------+---------------------------+
| 2006 | | 9.9 | Measure not in place |
+------+---------------+------------------+---------------------------+
| 2007 | | 10.7 | Measure not in place |
+------+---------------+------------------+---------------------------+
| 2013 | 999 | (December 2008) | Pending |
+------+---------------+------------------+---------------------------+
**Source**. U. S. Department of Education, National Center for Education
Statistics, Integrated Postsecondary Education Data System (IPEDS). Web
Site: http://nces.ed.gov/ipedspas.
**Frequency of Data Collection**. Annual
**Data Quality**. Data are supplied by institutions, which certify the
accuracy of the data.
**Explanation**.
The program has recast the measure of long-term enrollment to focus on
changes in enrollment rather than the absolute numbers of students
enrolled. The new measure uses the same NCES/IPEDS fall enrollment data
for all full-time degree-seeking undergraduate students used by the
former measure except that the new measure tracks program enrollment at
the beginning of, and one year after the end of, each 5-year grant
period. The percentage change is calculated against the base year. Data
from the 2003-2007 cohort will be used to determine the target for 2013.
The target for 2013 will be for the 2008-2012 cohort and will be
developed in late 2008, using fiscal year 2008 enrollment data. (The
\"999\" entered as the target value for 2013 reflects, that in late
2008, the program will develop the target for 2013, after calculation of
FY 2008 enrollment.) This will close out the performance assessment for
the 2003 cohort. This change was made across all Institutional
Development programs so that changes in enrollment may be may be more
fairly judged as changes in institutional performance, and not due to
enrollment changes resulting from fluctuating numbers of grantee
institutions from one cohort to another.\
The actual enrollment data generating the percentage changes displayed
under actual values in table above are as follows:\
\
2003: 773,859\
2004: 825,492\
2005: 845,045\
2006: 850,184\
2007: 856,844\
\
We will report data annually but there are no intermediate annual
targets. Data for FY 2008 will be available in December 2008.
-----------------------------------------------------------------------
-----------------------------------------------------------------------
------------------------- --------------------------------------------------------
***Objective 2 of 3:*** *Increase the persistence rate for students enrolled at
HSIs.*
------------------------- --------------------------------------------------------
----------------------- ---------------- ------------------- --------------------------
**Measure 2.1 of 1:**
The percentage of
first-time, full-time
degree-seeking
undergraduate students
who were in their first
year of postsecondary
enrollment in the
previous year and are
enrolled in the current
year at the same
Hispanic-Serving
Institution. (Desired
direction: increase)
1601
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2004 66.5 Measure not in place
2005 66 Measure not in place
2006 67 64 Did Not Meet Target
2007 68 63.5 Did Not Meet Target
2008 68 (December 2008) Pending
2009 68 (December 2009) Pending
2010 69 (December 2010) Pending
2011 69 (December 2011) Pending
2012 69 (December 2012) Pending
----------------------- ---------------- ------------------- --------------------------
**Source**. U. S. Department of Education, National Center for Education
Statistics, Integrated Postsecondary Education Data System (IPEDS). Web
Site: http://nces.ed.gov/ipedspas.
**Frequency of Data Collection**. Annual
**Data Quality**. Data are supplied by institutions, which certify the
accuracy of the data.
**Explanation**. Institutions report a persistence rate, not the
numerator and denominator. As a result, the persistence rate for the HSI
program is calculated as a median. The target is derived by applying the
difference between regression-based predicted values from Title IV
institutions and actual grantee values for school year 2003-04, which
was 1.12 percent. Therefore, the HSI program rounded actual persistence
rate of 67 percent in FY 2004 was multiplied by 1.0112 to generate the
long-term target (for 2009) of 68 percent. Annual increases are
estimated to be 0.2 percent each year through 2009 and 0.1 percent
beginning in 2010.
-----------------------------------------------------------------------
-----------------------------------------------------------------------
------------------------- --------------------------------------------------------
***Objective 3 of 3:*** *Increase the graduation rate for students enrolled at
HSIs.*
------------------------- --------------------------------------------------------
----------------------- ---------------- ------------------- --------------------------
**Measure 3.1 of 3:**
Cost per successful
outcome: federal cost
per undergraduate and
graduate degree at
institutions in the
Developing
Hispanic-Serving
Institutions program.
(Desired direction:
decrease) 1606
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2003 1,058 Measure not in place
2004 1,030 Measure not in place
2005 1,015 Measure not in place
2006 999 962 Did Better Than Target
2007 999 (December 2008) Pending
2008 999 (December 2009) Pending
2009 999 (December 2010) Pending
----------------------- ---------------- ------------------- --------------------------
**Source**. U. S. Department of Education, National Center for Education
Statistics, Integrated Postsecondary Education Data System (IPEDS),
http://nces.ed.gov/ipedspas.
**Frequency of Data Collection**. Annual
**Data Quality**. Data are supplied by institutions, which certify the
accuracy of the data.
**Explanation**. This measure is calculated as the appropriation for the
Developing HSIs program divided by the number of undergraduate and
graduate degrees awarded. The \$1,058 actual value per successful
outcome for 2003 reflects an appropriation of \$92.396 million divided
by 87,326 graduates. The \$1,030 actual value for 2004 reflects an
appropriation of \$93.993 million divided by 91,255 graduates. The
\$1,015 actual value for 2005 reflects an appropriation of \$95.106
million divided by 93,737 graduates. The \$962 actual value for 2005
reflects an appropriation of \$94,914,270 divided by 98,633 graduates.
For FY 2009, this measure is without targets.
----------------------- ---------------- ------------------- ---------------------------
**Measure 3.2 of 3:**
The percentage of
first-time, full-time
degree-seeking
undergraduate students
enrolled at four-year
Hispanic-Serving
Institutions who
graduate within six
years of enrollment.
(Desired direction:
increase) 1603
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2003 35 Measure not in place
2004 36 Measure not in place
2005 35 Measure not in place
2006 34 35 Target Exceeded
2007 37 (December 2008) Pending
2008 37 (December 2009) Pending
2009 37 (December 2010) Pending
2010 37 (December 2011) Pending
2011 37 (December 2012) Pending
2012 38 (December 2013) Pending
----------------------- ---------------- ------------------- ---------------------------
**Source**. U. S. Department of Education, National Center for Education
Statistics, Integrated Postsecondary Education Data System (IPEDS). Web
Site: http://nces.ed.gov/ipedspas.
**Frequency of Data Collection**. Annual
**Data Quality**. Data are supplied by institutions, which certify the
accuracy of the data.
**Target Context**. The 35% 4-year graduation rate met the target
established for 2006.
**Explanation**. The target for the four-year graduation rate is derived
by applying the difference between regression-based predicted values
from Title IV institutions and actual grantee values for school year
2002-03, which was 3.54 percent. Annual increases are estimated to be
0.6 percent through 2009 and 0.3 percent beginning in 2010. The HSI
program actual four-year graduation rate of 36 percent in FY 2004 was
multiplied by 1.0354 (times 5/6) to generate the long-term target (for
2009) of 37 percent.
------------------------------ ---------------- ------------------- --------------------------
**Measure 3.3 of 3:** The
percentage of first-time,
full-time
degree-seeking undergraduate
students enrolled at two-year
Hispanic-Serving Institutions
who graduate within three
years of enrollment.
(Desired direction:
increase) 1604
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2003 21 Measure not in place
2004 22 Measure not in place
2005 21 Measure not in place
2006 36 21 Did Not Meet Target
2007 22 (December 2008) Pending
2008 22 (December 2009) Pending
2009 23 (December 2010) Pending
2010 23 (December 2011) Pending
2011 23 (December 2012) Pending
2012 23 (December 2013) Pending
------------------------------ ---------------- ------------------- --------------------------
**Source**. U. S. Department of Education, National Center for Education
Statistics, Integrated Postsecondary Education Data System (IPEDS). Web
Site: http://nces.ed.gov/ipedspas.
**Frequency of Data Collection**. Annual
**Data Quality**. Data are supplied by institutions, which certify the
accuracy of the data.
**Explanation**. Program experience was used to estimate targets. An
increase of 0.5 percent was used to generate annual targets each year
through 2009, and an increase of 0.3 percent was used beginning in 2010.
| en |
converted_docs | 223956 | \[4830-01-p\]
DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 1
\[REG-208270-86\]
RIN 1545-AM12
Income And Currency Gain or Loss With Respect To A Section 987 QBU
AGENCY: Internal Revenue Service (IRS), Treasury.
ACTION: Withdrawal of notice of proposed rulemaking, notice of proposed
rulemaking and notice of public hearing.
SUMMARY: This document contains proposed regulations that provide
guidance under section 987 of the Internal Revenue Code (Code) regarding
the determination of the items of income or loss of a taxpayer with
respect to a section 987 qualified business unit (section 987 QBU) as
well as the timing, amount, character and source of any section 987 gain
or loss. It withdraws proposed regulations under section 987 that were
published in the **Federal Register** on September 25, 1991 (56 FR
48457). These regulations are necessary to provide guidance under
section 987. Taxpayers affected by these regulations are corporations
and individuals with qualified business units subject to section 987.
DATES: Written or electronic comments must be received by December 6,
2006. Outlines of topics to be discussed at the public hearing scheduled
for November 21, 2006, must be received by October 31, 2006.
ADDRESSES: Send submissions to: CC:PA:LPD:PR (REG-208270-86), Internal
Revenue Service, PO Box 7604, Ben Franklin Station, Washington, DC
20044. Submissions may be sent electronically, via the IRS Internet site
at [[www.irs.gov/regs]{.underline}](http://www.irs.gov/regs) or via the
Federal eRulemaking Portal at
[[www.regulations.gov]{.underline}](../www.regulations.gov) (IRS
REG-208270-86).
FOR FURTHER INFORMATION CONTACT: Concerning the proposed regulations,
Sheila Ramaswamy at (202) 622-3870; concerning submissions of comments,
Kelly Banks at (202) 622-7180 (not toll-free numbers).
SUPPLEMENTARY INFORMATION:
**Paperwork Reduction Act**
The collection of information contained in this notice of proposed
rulemaking has been submitted to the Office of Management and Budget for
review in accordance with the Paperwork Reduction Act of 1995 (44 U.S.C.
3507(d)). Comments on the collection of information should be sent to
the **Office of Management and Budget**, Attn: Desk Officer for the
Department of Treasury, Office of Information and Regulatory Affairs,
Washington, DC 20503, with copies to the **Internal Revenue Service**,
Attn: IRS Reports Clearance Officer, SE:W:CAR:MP:T:T:SP, Washington DC,
20224. Comments on the collection of information should be received by
November 6, 2006. Comments are requested specifically concerning:
Whether the proposed collection of information is necessary for the
proper performance of the functions of the Internal Revenue Service,
including whether the information will have practical utility;
The accuracy of the estimated burden associated with the proposed
collection of information (see below);
How the quality, utility, and clarity of the information to be collected
may be enhanced;
How the burden of complying with the proposed collection of information
may be minimized, including through the application or automated
collection techniques or other forms of information technology; and
Estimates of capital or start-up costs and costs of operation,
maintenance, and purchase of service to provide information.
The collection of information in these proposed regulations is in
§§1.987-1(b)(1)(ii),1.987-1(b)(2)(ii), 1.987-1(c)(1)(ii), 1.987-1(f),
1.987-3(b)(1), 1.987-9, 1.987-10 and 1.987-11. Section 1.987-1(b)(1)(ii)
allows a partner to make an election not to take section 987 gain or
loss into account. Section 1.987-1(b)(2)(ii) allows a taxpayer to make
an election to group certain QBUs with the same functional currency as a
single QBU. Sections 1.987-1(c)(1)(ii) and -3(b)(1) allow a taxpayer to
make an election to use a convention for exchange rates. Section
1.987-11(b) allows a taxpayer to elect to apply these regulations to
taxable years beginning after the date of publication of a Treasury
decision adopting this rule as a final regulation in the **Federal
Register**. The preceding elections are to be made pursuant to
§1.987-1(f) by attaching a statement to the taxpayer's tax return
describing the election to be made. Section 1.987-9 contains
recordkeeping rules to establish a qualified business unit's income and
section 987 gain or loss. This collection of information is required to
establish the qualified business unit's income, gain, deduction or loss
and assets and liabilities as well as exchange rates used for foreign
currency translation purposes. Section 1.987-10 provides rules for
transitioning to the method provided under the new proposed regulations
for determining section 987 gain or loss and provides certain
corresponding reporting rules. The collection of information contained
in this regulation facilitates the identification of the prior method
used by the taxpayer to determine section 987 gain or loss. The
collections of information are mandatory. The likely respondents are
taxpayers with foreign qualified business units.
Estimated total annual reporting burden: 12,000
Estimated average annual burden hours per respondent: 12
Estimated number of respondents: 1,000
Estimated annual frequency of responses: annually
An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a valid
control number assigned by the Office of Management and Budget.
Books and records relating to a collection of information must be
retained as long as their contents may become material in the
administration of any internal revenue law. Generally, tax returns and
tax return information are confidential, as required by 26 U.S.C. 6103.
**Background**
A. [Overview]{.underline}.
As part of the Tax Reform Act of 1986, Public Law 99-514, 100 Stat. 2085
(October 22, 1986), 1986-3 CB Vol.1, 1, see §601.601(d)(2), Congress
enacted comprehensive reforms to the tax treatment of foreign currency
transactions by adding new subpart J. Those reforms included, among
other things, the introduction of the functional currency concept, which
generally distinguishes taxpayers on the basis of the primary currency
in which they keep their books and records and conduct their business.
Reforms also included the addition of the qualified business unit (QBU)
concept, which generally provides a basis for allowing a taxpayer with a
separate unit that conducts business and keeps books and records in a
currency other than the functional currency of the taxpayer to account
for the results of operation of the separate unit in the unit's own
functional currency. Against that conceptual background, section 988
provides rules for the treatment of transactions in a currency other
than the taxpayer's functional currency. Section 986 generally provides
rules for translating into U.S. dollars the earnings and profits and
foreign taxes of a foreign corporation whose functional currency is not
the U.S. dollar (dollar). Section 987, in turn, generally provides rules
for determining and translating income and currency gain and loss with
respect to operations of a branch whose functional currency is other
than the functional currency of the taxpayer. As discussed below, an
already complex area of law was made even more complicated when the
entity classification rules under §301.7701-1 through 301.7701-3 (the
"check the box" regulations) were promulgated in 1997.
On September 25, 1991, the IRS and the Treasury Department issued
proposed regulations under section 987 (the 1991 proposed regulations).
See 56 FR 48457. In light of subsequent IRS experience with taxpayer
claims of large non-economic currency losses under section 987, the IRS
and the Treasury Department issued Notice 2000-20 (2000-1 CB 851). See
§601.601(d)(2). This notice expressed serious concern that the 1991
proposed regulations had not fully achieved the original goal of
facilitating recognition of true economic foreign currency gain and loss
under appropriate circumstances and requested comments on this issue and
other matters.
This document withdraws the 1991 proposed regulations and provides new
proposed regulations based on the "foreign exchange exposure pool"
method. The IRS and the Treasury Department believe that this method
more accurately reflects foreign currency gain and loss than the 1991
proposed regulations and does so in a manner consistent with statutory
authority and legislative intent. These new proposed regulations are
designed to prescribe more precisely foreign currency gain and loss that
is economically realized, while minimizing or eliminating the
realization of non-economic currency gain and loss.
The following background discussion describes section 987, its
legislative history, the 1991 proposed regulations, Notice 2000-20, and
the general approach that provides the basis for the foreign exchange
exposure pool method.
B. [The Statute]{.underline}.
Section 987 generally provides that in the case of a taxpayer having a
QBU with a functional currency other than that of the taxpayer, the
taxable income of the taxpayer with respect to the QBU is determined by
computing the taxable income or loss of the QBU separately and
translating such income or loss at the appropriate exchange rate.
Section 987 further requires the taxpayer to make "proper adjustments"
(as prescribed by the Secretary) for transfers of property between QBUs
having different functional currencies including treating post-1986
remittances from each such unit as made on a pro rata basis out of
post-1986 accumulated earnings; treating section 987 gain or loss as
ordinary income or loss; and sourcing such gain or loss by reference to
the source of the income giving rise to post-1986 accumulated earnings.
C. [The Legislative History]{.underline}.
1\. [Prior law]{.underline}.
As described in the applicable legislative history,[^1] section 987 was
enacted against a background of, and partly in reaction to, perceived
shortcomings with prevailing law. The prevailing law at that time was
fairly limited. It consisted primarily of two revenue rulings that
provided alternative methods for calculating branch taxable income.
Rev. Rul. 75-106 (1975-1 CB 31), see §601.601(d)(2), provides for the
use of a "net worth" method. Under this method, taxable income of a
branch of a domestic corporation engaged in business in a foreign
country is defined generally as the difference between the branch's
opening and closing net worth as reflected on the branch's balance
sheets for the taxable year. Under this method, the branch's balance
sheet is translated into U.S. dollars. In general, the values of current
items (such as cash or cash flows denominated in foreign currency) are
translated at the year-end exchange rate, and the values of historical
items (such as equipment) are translated at the exchange rate for the
period in which the item was acquired or incurred. The translation of an
item at the year-end rate causes changes in the item's value due to
currency fluctuations to be taken into account annually, and the
translation of an item at the historical rate generally precludes
recognition of fluctuations in value due to changing exchange rates. In
this way, the net worth method was able to identify items considered
economically exposed to fluctuations in exchange rates. The total change
in net worth identified by the net worth method is equal to the sum of
the operating profit or loss of the branch and the exchange gain or loss
on current items. However, the net worth method does not identify
separate items of income and expense because it is based solely on a
balance sheet comparison and does not use a profit and loss statement.
Rev. Rul. 75-107 (1975-1 CB 32), see §601.601(d)(2), provides for the
use of a "profit and loss" method. Under this method, the branch
computes taxable income by translating the local currency profit and
loss statement (adjusted for U.S. tax principles) into dollars. Any
portion of the profit and loss remitted to the home office during the
year is translated at the exchange rate on the date of the remittance,
and the remainder is translated at the year-end exchange rate. No
exchange gain or loss is recognized on a remittance.
The net worth method of Rev. Rul. 75-106 and the profit and loss method
of Rev. Rul. 75-107 each suffered from infirmities. The net worth method
resulted in the realization of foreign currency gain and loss that was
not consistent with the general realization principles of the Code; it
also failed to accurately characterize items of income, gain, deduction
or loss of the branch. The profit and loss method, in turn, did not take
into account foreign currency gain and loss inherent in the assets and
liabilities on the balance sheet as part of such method. Both methods
failed to account for foreign currency gain or loss in the event of a
remittance.
The legislative history states that under section 987, a taxpayer with a
QBU whose functional currency is other than the functional currency of
the taxpayer will be required to use a profit and loss method, rather
than the net worth method (as this method was understood at the time).
House Report (1986-3 CB Vol. 2, 479); Senate Report (1986-3 CB Vol. 3,
470); and Conference Report (1986-3 CB Vol. 4, 675). See §601.601(d)(2).
However, this legislative history is not properly read as an explicit
rejection of the net worth method in its entirety. Instead, it is more
accurately viewed as a rejection of certain aspects of the law
prevailing at that time. Importantly, the method provided in section 987
as enacted actually represents a blend of the separate methods, as it
has aspects of both a net worth method and a profit and loss method. It
also has at least one feature absent from each method\--that is, section
987 includes the remittance recognition concept. Consistent with a
profit and loss method, sections 987(1) and (2) generally determine the
items of income or loss of a QBU based on its profit and loss statement
as determined in its functional currency. Such items are then translated
into the taxpayer's functional currency at the appropriate rate.[^2]
Consistent with a net worth method, section 987(3) requires that
exchange gain or loss be computed with respect to certain branch assets
and liabilities (as prescribed by the Secretary). Unlike either method,
section 987(3)(A) provides that exchange gain or loss is recognized upon
a remittance.
The blending of features of both a profit and loss method and of a net
worth method in section 987 is significant. Together with more specific
principles identified in the legislative history, this blending of
methods informs the Congressionally stated preference for the profit and
loss method. The House Report states:
> A profit and loss method can be viewed as being more consistent with
> the functional currency concept than a net worth method. Under a
> profit and loss method, the functional currency is used as the measure
> of income or loss, so that earnings determined for U.S. tax purposes
> would bear a close relation to taxable income computed by the foreign
> jurisdiction. In contrast, a net worth method takes unrealized
> exchange gains and losses into account. Further, a profit and loss
> method minimizes the accounting procedures that otherwise would be
> required to make the item-by-item translations under a net worth
> method. Finally, in the case of a branch, the net worth method as
> applied under present law fails to characterize accurately items of
> income or loss that are subject to special U.S. tax rules. For
> example, although there are limitations on the deductibility of
> long-term capital losses, such a loss incurred by a branch would be
> given tax effect because it would be reflected as an adjustment to the
> balance sheet.
House Report at 469.
The House and Senate reports are generally uniform in describing
Congressional intent with regard to the computations required under
section 987 as illustrated by the Senate Report.
> Under the bill, a taxpayer with a branch whose functional currency is
> a currency other than the U.S. dollar will be required to use the
> profit and loss method to compute branch income. Thus, the net worth
> method will no longer be an acceptable method of computing income or
> loss of a foreign branch for tax purposes, and only realized exchange
> gains and losses on branch capital will be reflected in taxable
> income.
>
> For each taxable year, the taxpayer will compute income or loss
> separately for each qualified business unit in the business unit's
> functional currency, converting this amount to U.S. dollars using the
> weighted average exchange rate for the taxable period over which the
> income or loss accrued. This amount will be included in income
> without reduction for remittances from the branch during the year. The
> committee anticipates that regulations will provide rules that will
> limit the deduction of branch losses to the taxpayer's dollar basis in
> the branch (that is, the original dollar investment plus subsequent
> capital contributions and unremitted earnings).
>
> A taxpayer will recognize exchange gain or loss on remittances
> (without regard to whether or when the remittances are converted to
> dollars), to the extent the value of the currency at the time of the
> remittance differs from the value when earned. Remittances of foreign
> branch earnings (and interbranch transfers involving branches with
> different functional currencies) after 1986 will be treated as paid
> pro rata out of post-1986 accumulated earnings of the branch. The
> committee anticipates that, for purposes of calculating exchange gain
> or loss on remittances, the value of the currency will be determined
> by translating the currency at the rate in effect on the date of
> remittance. Exchange gains and losses on such remittances will be
> deemed to be ordinary and domestic source.
Senate Report (1986-3 CB Vol. 3, 470). Importantly, the Conference
Report modifies the House and Senate reports by stating that a
remittance by a QBU "will trigger exchange gain or loss inherent in
accumulated earnings or branch capital." Conference Report, 1986-3 CB
Vol. 4, 675.
From section 987 and the foregoing legislative history, several
principles emerge:
> 1\. A branch profit and loss computation is required in order to
> properly characterize items of branch income or loss, which is taken
> into account in the year earned.
>
> 2\. Exchange gain or loss is recognized upon a remittance, in an
> amount prescribed by the Secretary.
>
> 3\. Both branch earnings and branch capital can give rise to exchange
> gain or loss under section 987.
>
> 4\. Regulations under section 987 should seek to minimize complexity
> regarding item-by-item translations.
>
> 5\. The currency gain or loss taken into account under section 987 is
> only the economic gain or loss "inherent in" the assets and
> liabilities of a QBU.
2\. [Relationship between section 986(c) and 987]{.underline}.
Comments to the IRS and the Treasury Department have suggested that the
computation under section 987 of exchange gain or loss for a branch is
intended to operate in the same manner as the computation under section
986(c) of certain exchange gain or loss of a foreign corporation. In
general, section 986(c) provides for the recognition of exchange gain or
loss only with respect to distributions of previously taxed earnings and
profits (as described in section 959 or 1293(c)). The Conference Report
includes the following general statement about the translation rules:
> The same translation rule applies to the earnings and profits of a
> foreign corporation and the income or loss of a branch or other QBU.
> An entity that uses a nonfunctional currency to measure the results of
> operation is required to use a profit and loss method to translate
> income or loss into functional currency. . . . These translation rules
> apply without regard to the form of enterprise through which the
> taxpayer conducts business (e.g., sole proprietorship, partnership, or
> corporation) as long as such form of enterprise rises to the level of
> a QBU.
Conference Report, 1986-3 CB Vol. 4, 670. See §601.601(d)(2). The
suggestion in comments is to apply this general principle such that
section 987 would require the recognition of exchange gain or loss only
with respect to branch earnings and not with respect to contributed
capital.
Despite the broad statements of principle quoted above, Congress
provided more specific guidance regarding the treatment of branches in
this regard. The Conference Report states that a remittance by a QBU
"will trigger exchange gain or loss inherent in accumulated earnings or
branch capital." Conference Report, 1986-3 CB Vol. 4, 675. See
§601.601(d)(2). Similarly, despite the stated requirement that QBUs must
use a notional profit and loss method to determine branch taxable
income, the specific method actually provided in section 987 and
described in the legislative history represents a blend of a net worth
method and a profit and loss method. Accordingly, the IRS and the
Treasury Department believe that the more specific statements made by
Congress regarding the treatment of branch exchange gain or loss reflect
an intention that the methodologies of section 986(c) and section 987
not be identical.
D. [The 1991 Proposed Regulations]{.underline}.
The 1991 proposed regulations provide generally that the net income of a
QBU having a functional currency different than the taxpayer is
determined annually. Such determination is based on the profit and loss
appearing on the QBU's books and records, adjusted to conform to U.S.
tax principles, and translated into the functional currency of the
taxpayer using the weighted average exchange rate for the taxable year.
The 1991 proposed regulations also provide for the recognition of
exchange gain or loss upon a remittance from the QBU's equity pool. In
general, the equity pool consists of the undistributed capital and
earnings of the QBU, determined in the QBU's functional currency. The
1991 proposed regulations also provide for a basis pool, which consists
of the basis of the capital and earnings in the equity pool, expressed
in the functional currency of the taxpayer. The portion of the basis
pool, expressed in the functional currency of the taxpayer, that is
attributable to a remittance is generally determined according to the
following formula:
Amount remitted in the
[QBU's functional currency]{.underline} x Basis pool in the taxpayer's
Equity pool in the QBU's functional currency reduced by
functional currency reduced prior remittances
by prior remittances
Section 987 gain or loss is the difference between the value of the
remittance from the QBU translated into the taxpayer\'s functional
currency at the spot rate on the date the remittance is made, less the
basis associated with the remittance as determined above. One important
consequence of the equity pool paradigm is that all branch equity gives
rise to exchange gain or loss, regardless of whether or not that equity
is held in a form that actually exposes the QBU's owner to currency
fluctuations (compare assets such as cash or indebtedness to assets such
as equipment).
Under the 1991 proposed regulations, a taxpayer must determine the
source and character of section 987 gain or loss for all purposes of the
Code, including sections 904(d), 907, and 954, by using the same method
the taxpayer uses to allocate and apportion its interest expense under
section 861, with certain modifications.
E. [Concerns Regarding the 1991 Proposed Regulations; Notice
2000-20]{.underline}.
Effective January 1, 1997, the IRS and the Treasury Department issued
the check the box regulations implementing new elective
entity-classification rules. These regulations made it possible for
certain entities with a single owner to be treated for federal income
tax purposes as an entity disregarded as separate from its owner (a
disregarded entity or DE). As a result, businesses that had previously
operated through subsidiaries could operate through structures treated
for tax purposes as branches. The effect of the check the box
regulations was a dramatic increase in the number of branches resulting
from DE elections that are subject to section 987. This increase has
greatly exacerbated the already existing problems of the 1991 proposed
regulations, especially the ability of taxpayers to trigger non-economic
losses (and the corresponding trap for the unwary taxpayer with
non-economic gains).
As indicated above, the equity pool paradigm in the 1991 proposed
regulations imputes currency gain or loss to all equity of a QBU whether
or not the assets of the QBU are economically exposed to changes in the
value of the functional currency of the QBU. The IRS has faced many
cases in which taxpayers have claimed substantial non-economic exchange
losses largely on the basis of the 1991 proposed regulations. An example
may be instructive. Assume that a domestic corporation (US Corp) with
the dollar as its functional currency forms a foreign corporation in
Country X and then elects under the check the box regulations to treat
that corporation as a DE. The DE conducts mineral extraction and owns
all the necessary equipment. The equipment owned by the DE was
contributed by US Corp. The DE has no employees and contracts with a
subsidiary of US Corp for the employees needed in the business of
extraction. US Corp, as the entity's sole owner, claims that the DE is a
QBU for purposes of section 987. The DE has minimal financial assets and
conducts no activities other than mineral extraction. US Corp claims
that the DE's functional currency is Country X currency. A decline in
the value of Country X currency relative to the dollar does not produce
any economic loss for US Corp because the assets of the DE are not
financial assets subject to currency fluctuation. Nevertheless, US Corp
claims under the 1991 proposed regulations that the equity of the DE,
which consists almost exclusively of equipment, gives rise to a
substantial non-economic exchange loss and that terminating the DE (for
example, by another check the box election) triggers recognition of such
loss. Taxpayers have claimed similar results under other fact patterns.
The IRS and the Treasury Department have serious concerns about these
types of transactions.
Although the foregoing example concerns the claiming of non-economic
losses, the equity pool approach in the 1991 proposed regulations can
also give rise to non-economic gains. Recently, the value of the U.S.
dollar has declined against many foreign currencies. It is likely that
under these circumstances, taxpayers subject to section 987 may have
large non-economic gains built into the equity pool. The IRS and the
Treasury Department believe that Congress did not intend for section 987
to generate non-economic foreign currency gains or losses.
In light of the entity-classification rules and the potential for the
equity pool paradigm to generate non-economic currency gains and losses,
the IRS and the Treasury Department issued Notice 2000-20, 2000-1 CB
851. See §601.601(d)(2). Among other things, the notice indicated that
the IRS and the Treasury Department were concerned that the proposed
regulations may not have achieved their original goal of recognizing
economic exchange gains and losses under appropriate circumstances. The
notice requested comments on this and other issues.
Several comments were received in response to the notice and raised a
number of important points. Two of those comments suggested replacing
the equity pool paradigm in the 1991 proposed regulations with a
paradigm that recognizes exchange gain or loss only on the earnings of a
QBU and not its capital. As described above, the IRS and the Treasury
Department believe that such an approach is inconsistent with
Congressional intent as expressed in the legislative history to section
987. An earnings-only approach also would fail to address the core
problem of distinguishing between items that economically give rise to
exchange gain and loss and those that do not. Additionally, an
earnings-only approach would produce different results for QBUs with the
same net assets, depending upon whether the net assets were funded with
capital or earnings. Finally, an earnings-only approach fails to take
into account any foreign currency exposure on capital and so could
disadvantage banks and other financial institutions, much of whose QBUs'
capital may be subject to such exposure.
F. [The Foreign Exchange Exposure Pool Method]{.underline}.
The IRS and the Treasury Department believe that Congress did not intend
section 987 to permit the largely uninhibited recognition of
non-economic exchange gain or loss. The 1991 proposed regulations,
together with the check the box regulations, have combined to permit
taxpayers to trigger non-economic losses with relative ease.
Accordingly, the 1991 proposed regulations are withdrawn and are
replaced with new proposed regulations that adopt the "foreign exchange
exposure pool method." In general, the foreign exchange exposure pool
method provides that the income of a QBU that is subject to section 987
("section 987 QBU") is determined by reference to the items of income,
gain, deduction and loss booked to the QBU in its functional currency,
adjusted to reflect U.S. tax principles. With certain exceptions, items
of income, gain, deduction and loss of a section 987 QBU are translated
into the functional currency of the QBU's owner at the average exchange
rate for the year. However, the basis of historic assets and deductions
for depreciation, depletion, and amortization of such assets are
translated at the historic exchange rate. Translating these items at the
historic exchange rate differs from the approach taken in the 1991
proposed regulations, which instead uses the average exchange rate.
Although using the average exchange rate for translating such items
might be simpler than using the historic exchange rate, it leads to the
generation of non-economic foreign currency gains or losses described in
this preamble.
The foreign exchange exposure pool method uses a balance sheet approach
to determine exchange gain or loss, which is then recognized upon a
remittance. Use of a balance sheet approach allows taxpayers and the IRS
to distinguish between those items whose value fluctuates with respect
to changes in the functional currency of the owner and those which do
not. Under this method, exchange gain or loss with respect to "marked
items" is identified annually but is pooled and deferred until a
remittance is made. The IRS and the Treasury Department believe that
section 988(c) identifies the items that should be treated as giving
rise to exchange gain or loss for purposes of section 987. Accordingly,
a marked item is generally defined as an asset or liability that would
generate section 988 gain or loss if such asset or liability were held
or entered into directly by the owner the section 987 QBU.
When a section 987 QBU makes a remittance, a portion of the pooled and
deferred exchange gain or loss is recognized. In general, the amount
taken into account is an amount equal to the product of the owner's
portion of the section 987 QBU's net unrecognized exchange gain or loss,
multiplied by the owner's remittance proportion. The owner's remittance
proportion generally is equal to the quotient of the amount of the
remittance, divided by the aggregate basis of the section 987 QBU's
gross assets (as reflected on its year-end balance sheet), without
reduction for the remittance.
The source and character of exchange gain or loss recognized under
section 987 for all purposes of the Code, including sections 904(d), 907
and 954, is determined by reference to the source and character of the
income derived from the section 987 QBU's assets.
The IRS and the Treasury Department believe that the foreign exchange
exposure pool method is consistent with section 987 and legislative
intent for several reasons. First, the foreign exchange exposure pool
method uses a profit and loss statement to determine the items of
income, gain, deduction and loss of a section 987 QBU in its functional
currency. This allows proper characterization of items of income, gain,
deduction and loss. Second, exchange gain or loss must be taken into
account only with respect to items of branch capital and earnings whose
value fluctuates with changes in exchange rates by reference to the
owner's functional currency. This comports both with Congressional
intent that taxpayers recognize exchange gain or loss (but only economic
exchange gain or loss) inherent in branch capital and branch earnings
and with authority granted under section 987(3) to identify appropriate
translation rates. Third, exchange gain or loss is recognized under
section 987 only upon a remittance. Finally, the foreign exchange
exposure pool method is an appropriate interpretation of the "blended"
approach of section 987\--that is, it incorporates certain aspects of
the profit and loss method and the net worth method.
**Explanation of Provisions**
A. [Section 1.987-1 Scope, Definitions and Special Rules]{.underline}.
1\. [Scope in general]{.underline}.
The proposed regulations provide rules for determining the section 987
taxable income or loss of a taxpayer with respect to a section 987 QBU
as well as the timing, amount, character, and source of section 987 gain
or loss recognized with respect to such QBU. The proposed regulations do
not apply to banks, insurance companies, and similar financial entities
(including, solely for this purpose, leasing companies, finance
coordination centers, regulated investment companies, and real estate
investment trusts). The IRS and the Treasury Department plan to apply
the foreign exchange exposure pool method adopted in the proposed
regulations to such entities in subsequent guidance but believe it is
appropriate to request comments regarding how the rules of the proposed
regulations need to be precisely tailored to address issues unique to
financial entities. Financial entities are urged to make necessary
comments to help tailor the planned extension of the foreign exchange
exposure pool method to such entities.
Specifically, in the context of banks, the IRS and the Treasury
Department request comments on whether special rules are needed for the
global dealing of currencies and securities. Comments are also requested
on the relationship of sections 987 and 988 for banks. Finally, comments
are requested on whether the use of exchange rate conventions is
appropriate for banks and finance entities and, if so, how such
conventions should be determined. In the context of insurance companies,
the IRS and the Treasury Department request comments on the proper
treatment of insurance reserves, surplus, and investment assets held by
the separate trades or business of an insurance company. In particular,
comments are requested on the proper treatment of stock held in separate
accounts of a section 987 QBU of a life insurance company and the
related insurance reserves established for those separate accounts. In
the context of leasing companies, comments are requested regarding the
treatment of stock in other leasing companies recorded on the books and
records of a section 987 QBU and how the rules of sections 986 and 987
can be reconciled if stock is treated as a "marked asset" in this
setting. Until regulations are issued applying the foreign exchange
exposure pool method to financial entities, such entities must comply
with section 987 under a reasonable method, consistently applied. For
this purpose, reasonable methods include using the method described in
the 1991 proposed regulations and a method that imputes section 987 gain
or loss to earnings but not capital.
The proposed regulations also do not apply to trusts, estates and S
corporations. The IRS and the Treasury Department plan to apply the
foreign exchange exposure pool method adopted in the proposed
regulations to such entities but believe it is appropriate to request
comments regarding how the rules of the proposed regulations should be
applied to such entities. The IRS and the Treasury Department request
comments regarding whether principles similar to those applied to
partnerships should apply to these entities.
2\. [Taxpayers subject to section 987 and related
definitions]{.underline}.
The IRS and the Treasury Department believe that section 987 should only
apply where an individual or corporation (whether foreign or domestic)
has activities that constitute a trade or business under §1.989(a)-1(c)
and the trade or business has a functional currency different from the
individual or corporation. In such cases, the individual or corporation
will be subject to the rules of the proposed regulations if the
individual or corporation is the owner of a section 987 QBU. A section
987 QBU is defined in §1.987-1(b)(2) as an eligible QBU that has a
functional currency different from its owner.
An eligible QBU is defined in §1.987-1(b)(3) of the proposed
regulations. Generally, an eligible QBU is an activity of an individual,
corporation, partnership or DE that is a trade or business as defined in
§1.989(a)-1(c); maintains separate books and records as defined in
§1.989(a)-1(d) and assets and liabilities used in conducting such
activities are reflected on such books and records; and the activities
are not subject to the dollar approximate separate transaction (DASTM)
rules of §1.985-3. A corporation is not an eligible QBU. An individual
is not a QBU under §1.989(a)-1(b)(2)(i) and therefore cannot be an
eligible QBU. In addition, and as discussed in this preamble, neither a
partnership nor a DE is an eligible QBU.
In the case of ownership other than through a partnership (that is,
direct ownership), the individual or corporation is treated as the owner
of an eligible QBU if the individual or corporation is the tax owner of
the assets and liabilities of the eligible QBU. For purposes of
determining direct ownership, an individual or corporation will be
treated as a direct owner of the assets and liabilities of an eligible
QBU if it owns a DE that holds an eligible QBU. In such case, because
the DE is not recognized as a separate entity, it cannot be a QBU under
section 989 and, therefore, is not treated as an eligible QBU under the
proposed regulations. However, the activities of the DE, which are
treated for purposes of the Code as carried on directly by its owner,
can qualify as an eligible QBU of the DE's owner.
With respect to partnerships, the IRS and the Treasury Department
recognize that issues often arise as to whether the international tax
provisions of the Code operate on an aggregate or an entity basis. The
legislative history of subchapter K of chapter 1 of the Code provides
that, for purposes of interpreting Code provisions outside of that
subchapter, a partnership may be treated as either an entity separate
from its partners or an aggregate of its partners, depending on which
characterization is more appropriate to carry out the purpose of the
particular section under consideration. H.R. Conf. Rep. No. 2543, 83rd
Cong. 2d. Sess. 59 (1954).
In the case of section 987, the calculations under the foreign exchange
exposure pool method would differ dramatically based on whether an
aggregate or an entity approach is adopted. For example, if the foreign
exchange exposure pool method is applied at the entity level, the
partnership will make the method's calculations by reference to the
partnership's functional currency. Under this approach, any foreign
currency gain or loss will be an item of the partnership and will be
allocated among the partners in accordance with the partnership
agreement, to the extent such allocation is consistent with the
provisions of subchapter K. If, in the alternative, the foreign exchange
exposure pool method is applied under an aggregate approach, each
partner will make its own foreign exchange exposure pool calculations by
reference to the partner's functional currency and such amounts will not
be subject to separate allocation under subchapter K.
The IRS and the Treasury Department believe that, on balance, an
aggregate approach is more appropriate for section 987 purposes.
Applying the foreign exchange exposure pool method directly at the
partner level will more appropriately preserve the correct amounts of
exchange gain or loss. In addition, such approach will measure the
foreign currency exposure by reference to the functional currencies of
the persons who generally bear the economic risk from such exposure. As
a result, the proposed regulations provide that for purposes of applying
the foreign exchange exposure pool method each individual or corporation
that is a partner in a partnership will be considered to own indirectly
an eligible QBU consisting of a portion of the assets and liabilities of
the partnership allocated to it under §1.987-7. If such eligible QBU has
a different functional currency from the partner and therefore is a
section 987 QBU, the foreign exchange exposure pool method is applied
with respect to those assets and liabilities. In addition, the proposed
regulations provide rules for converting the items of section 987
taxable income or loss of a section 987 QBU into the functional currency
of the partner (when necessary), and rules coordinating this aggregate
approach with other provisions of subchapter K.
Section 1.987-1(b)(2)(ii) allows an owner to elect to treat certain
section 987 QBUs with the same functional currency as a single section
987 QBU. The purpose of this rule is to simplify section 987
calculations by reducing the number of interbranch transactions that
would be considered as "transfers" of assets and liabilities. This
election applies only to certain section 987 QBUs of the owner. The IRS
and the Treasury Department request comments regarding whether such
election should be available to treat section 987 QBUs of owners that
are members of a consolidated group as a single section 987 QBU and how
this should be technically effectuated.
Section 1.987-1(b)(5) provides that the term "owner" for section 987
purposes does not include an eligible QBU or section 987 QBU of an
owner. Under this rule, a tiered ownership structure of eligible QBUs
and/or section 987 QBUs will not be respected as distinct tiers of QBUs
for purposes of section 987. Rather, tiers of eligible and/or section
987 QBUs will be treated as a "flat" structure, with each QBU in the
tier considered as owned directly by the ultimate non-QBU owner. For
example, if a domestic corporation is the holder of the interests in a
section 987 DE (section 987 DE1) and that DE owns the interests in
another section 987 DE (section 987 DE2) for purposes other than U.S.
tax law, the structure will not be treated as a tier of QBUs for
purposes of section 987. Rather, the domestic corporation will be
considered the direct holder of the interests in the section 987
branches of section 987 DE1 and DE2. This flat structure, which is
consistent with the general approach taken in the proposed dual
consolidated loss regulations (70 FR 29868-29907), is expected to be
easier to administer for both taxpayers and the IRS and to provide more
appropriate results under the section 987 rules.
3\. [De minimis rule for certain indirectly owned section 987
QBUs]{.underline}.
The IRS and the Treasury Department recognize that it may be
administratively burdensome for taxpayers to apply certain aspects of
the proposed regulations to section 987 QBUs indirectly owned through
relatively small interests in partnerships. As a result, the proposed
regulations provide a de minimis election for certain indirectly owned
section 987 QBUs. Under this rule, an individual or corporation that
owns a section 987 QBU indirectly through a partnership may elect not to
take into account the section 987 gain or loss of such section 987 QBU,
provided such individual or corporation owns, directly or indirectly,
less than five percent of the section 987 partnership. Constructive
ownership rules apply for purposes of determining whether the less than
five percent ownership threshold is satisfied.
This de minimis exception only applies to recognition of section 987
gain or loss with respect to a section 987 QBU. Thus, owners of section
987 QBUs that qualify under the de minimis exception must comply with
all other aspects of the proposed regulations, including the requirement
to take into account the section 987 taxable income or loss with respect
to such section 987 QBUs.
An individual or corporation that qualifies for the election (that is,
because they owned less than five percent of a section 987 partnership)
subsequently may fail to qualify as a result of an increase in their
interest in a section 987 partnership. In such a case, taxpayers must
begin taking into account the section 987 gain or loss with respect to
section 987 QBUs owned through such partnerships. Similarly, taxpayers
that were required to take into account section 987 gain or loss with
respect to an indirectly owned section 987 QBU may reduce their
ownership such that they become eligible for the de minimis exception
and, as a result, may elect to no longer take into account section 987
gain or loss. The IRS and the Treasury Department recognize that
transition issues will arise when interests in section 987 partnerships
change such that individuals or corporations no longer qualify (or are
able to qualify) for the de minimis exception. The IRS and the Treasury
Department are considering such transition rules and request comments as
to their application.
4\. [Exchange rates]{.underline}.
Section 1.987-1(c)(1)(i) defines the spot rate as the rate determined
under the principles of §1.988-1(d)(1), (2) and (4) on the relevant day.
Section 1.987-1(c)(1)(ii) allows taxpayers to elect to use spot rate
conventions that reasonably approximate the spot rate on a particular
day. It is anticipated that taxpayers will be able to conform the spot
rate convention for section 987 to the spot rate conventions used under
FAS 52 for financial accounting purposes. This is intended to simplify
the calculations required under section 987.
In a similar attempt to simplify calculations, §1.987-1(c)(2) defines
the yearly average exchange rate as an average exchange rate for the
taxable year computed under any reasonable method that is consistently
applied.
Finally, §1.987-1(c)(3) defines the historic exchange rate by reference
to the spot rate on the day that assets are transferred to (or acquired
by) the section 987 QBU, or on the day that liabilities are assumed (or
entered into) by the section 987 QBU. The reference to the spot rate as
defined in §1.987-1(c)(1)(i) and (ii) allows taxpayers to elect to use
spot rate conventions for these purposes.
5\. [Definitions of a section 987 marked item and a section 987 historic
item]{.underline}.
The definitions of a section 987 marked item and a section 987 historic
item are central to the foreign exchange exposure pool method. When
taken into account in the context of the calculation of net unrecognized
section 987 gain or loss under §1.987-4, the definitions distinguish
those items that generate section 987 gain or loss from those that do
not. The IRS and the Treasury Department believe that section 988
identifies those items properly treated as giving rise to exchange gain
or loss for purposes of section 987. Thus, a marked item as defined in
§1.987-1(d) is an asset or liability reflected on the books and records
of the section 987 QBU that both (1) would generate section 988 gain or
loss if held or entered into directly by the owner of the section 987
QBU and (2) is not a section 988 transaction to the section 987 QBU. It
is important to exclude section 988 transactions of a section 987 QBU
because section 988 already requires the section 987 QBU to recognize
gain or loss from such transactions. Thus, treating such transactions as
marked items for purposes of section 987 would result in double
counting. Marked items give rise to exchange gain or loss under section
987. Historic items, which are defined in §1.987-1(e) as items other
than marked items, do not give rise to exchange gain or loss under
section 987.
6\. [Elections under section 987]{.underline}.
Section 1.987-1(f) provides rules for making elections under section
987. In general, the elections made under section 987 must be made by
the owner of the section 987 QBU. The elections must be made with
respect to a section 987 QBU for the first taxable year in which the
election is relevant, and must be made by attaching a statement to a
timely filed tax return for such taxable year. Elections under section
987 are treated as methods of accounting and are governed by the general
rules regarding changes in methods of accounting.
The IRS and the Treasury Department believe that a reasonable cause
standard should be applied to determine whether taxpayers that fail to
make a timely election are eligible for an extension of time to file
elections pursuant to §1.987-1(f) of the proposed regulations. As a
result, extensions of time under §§301.9100-1 through 301.9100-3 will
not be granted for filings under the proposed regulations. See
§301.9100-1(d).
Under the reasonable cause standard, if an owner that is permitted to
file an election under the proposed regulations fails to make such a
filing in a timely manner, the owner is considered to have satisfied the
timeliness requirement with respect to such filing if it demonstrates,
to the satisfaction of the Area Director, Field Examination, Small
Business/Self Employed or the Director, Field Operations, Large and
Mid-Size Business (Director) having jurisdiction of the taxpayer's
return for the taxable year, that such failure was due to reasonable
cause and not willful neglect. Once the owner becomes aware of the
failure, the owner must demonstrate reasonable cause and must satisfy
the filing requirement by attaching the election to an amended tax
return (that amends the tax return to which the election should have
been attached). A written statement must be included that explains the
reasons for the failure to comply.
In determining whether the taxpayer has reasonable cause, the Director
shall consider whether the taxpayer acted reasonably and in good faith.
Whether the taxpayer acted reasonably and in good faith will be
determined after considering all the facts and circumstances. The
Director shall notify the person in writing within 120 days of the
filing if it is determined that the failure to comply was not due to
reasonable cause or if additional time will be needed to make such
determination. If the Director fails to notify the owner within 120 days
of the filing, the owner shall be considered to have demonstrated to the
Director that such failure was due to reasonable cause and not willful
neglect.
The proposed regulations provide that elections under section 987 cannot
be revoked without the consent of the Commissioner. In addition, the
proposed regulations provide that the Commissioner will consider
allowing revocation of such an election if the taxpayer demonstrates
significantly changed circumstances, or other circumstances that
demonstrate a substantial non-tax business reason for such revocation.
Finally, the IRS and the Treasury Department are considering an
exception to the general revocation rule where a section 987 QBU is
acquired in certain transactions that do not result in the termination
of such QBU. Comments are requested as to whether such an exception is
warranted and, if so, the appropriate scope of such an exception.
B. [Section 1.987-2 Attribution of Items to an Eligible QBU; the
Definition of a Transfer, and Related Rules]{.underline}.
1\. [Attribution of items to an eligible QBU]{.underline}.
i\. [Overview]{.underline}.
A section 987 QBU is not itself a taxpayer and does not have its own
taxable income. Items of income, gain, deduction and loss must
nonetheless be attributed to such section 987 QBU for purposes of
determining the owner's taxable income. The items of income, gain,
deduction and loss attributed to a section 987 QBU are generally
determined in the functional currency of the section 987 QBU and then
translated into the functional currency of the owner. The aggregate
translated amount is the section 987 taxable income or loss of the
section 987 QBU. Thus, attribution rules are necessary to determine
which items of income, gain, deduction and loss are attributed to the
section 987 QBU.
Under section 987(3), assets and liabilities must be attributed to a
section 987 QBU in order to determine the amount of section 987 gain or
loss of such QBU. In some cases, a section 987 QBU of a taxpayer will
not be held through an entity separate from the taxpayer that can
legally own assets and incur liabilities. In addition, not all the
assets and liabilities of an entity that is separate from the taxpayer
may be attributable to a section 987 QBU for purposes of section 987.
Moreover, assets and liabilities may constitute a section 987 QBU of a
taxpayer even when such assets and liabilities are owned or incurred by
separate legal entities. As a result, assets and liabilities of the
taxpayer (or of entities owned by the taxpayer that are not themselves
taxpayers) must be attributed to the section 987 QBU.
Neither section 987 nor the underlying legislative history provides
explicit rules for attributing a taxpayer's items of income, gain,
deduction, or loss to a section 987 QBU to determine the QBU's section
987 taxable income or loss. Similarly, no explicit rules are provided in
the statute or legislative history for attributing a taxpayer's assets
or liabilities to a section 987 QBU to determine the section 987 gain or
loss of such QBU.
Other provisions of the Code provide various methods for attributing or
allocating a taxpayer's assets and liabilities, or items of income,
gain, deduction and loss (items) for particular purposes. These
provisions provide complex rules for making such determinations and, in
many cases, require a detailed analysis of various factors and
relationships involving income, assets, and activities of the taxpayer.
For example, section 864(c) and the regulations thereunder provide rules
for determining the income, gain, deduction, or loss of a nonresident
alien individual or foreign corporation which are treated as effectively
connected with the conduct of a trade or business within the United
States. Other examples are §§1.882-5, 1.861-8 and 1.861-9T through
1.861-13T. These regulations provide rules for the allocation and
apportionment of expenses, losses, and other deductions of a taxpayer.
Finally, section 884(c)(2) and §1.884-1(d) and (e) provide rules for
determining U.S. assets and U.S. liabilities of a foreign corporation
for purposes of the branch profits tax. As discussed below, the IRS and
the Treasury Department do not believe these complex methodologies are
appropriate for purposes of section 987.
ii\. [Books and records method \-- general rule]{.underline}.
The IRS and the Treasury Department believe that items should be
attributed to an eligible QBU (and, if all or a portion of such eligible
QBU has a different functional currency than its owner, to a section 987
QBU of such owner) to the extent they are reflected on the books and
records of the eligible QBU (books and records method). The IRS and the
Treasury Department believe that using a books and records method for
attributing items under section 987 is consistent with other provisions
of the Code involving foreign currency transactions. For example, it is
consistent with the requirement under section 989(a) that a QBU maintain
books and records separate from the taxpayer. It is also consistent with
the requirement under section 985(b)(1) that, in order to have a
functional currency other than the dollar, a QBU must keep its books and
records in such currency. Moreover, the IRS and the Treasury Department
believe the books and records method is administrable for both taxpayers
and the Commissioner. This is the case because the books and records
method should be consistent with the taxpayer's accounting treatment of
the items and, unlike the methods discussed above, it does not require a
complex and factually intensive analysis of the circumstances and
activities of the eligible QBU.
For the reasons described above, the proposed regulations adopt a books
and records method for allocating items to an eligible QBU. The proposed
regulations provide that, subject to certain exceptions, items are
attributable to an eligible QBU to the extent they are reflected on the
separate set of books and records of such eligible QBU, as defined in
§1.989(a)-1(d). The proposed regulations make clear that these rules
apply solely for purposes of section 987. Thus, for example, the
attribution rules contained in the proposed regulations do not apply for
purposes of allocating and apportioning interest expense under section
864(e).
iii\. [Exception for non-portfolio stock, interests in partnerships and
certain acquisition indebtedness]{.underline}.
As discussed above, the IRS and the Treasury Department believe that the
assets and liabilities reflected on the books and records of an eligible
QBU are a reasonable approximation of the assets and liabilities that
are used in the trade or business of the eligible QBU and, therefore,
should be taken into account for purposes of section 987. However, the
IRS and the Treasury Department believe that certain assets and
liabilities should not be attributed to an eligible QBU, even if such
assets and liabilities are reflected on the books and records of such
QBU. The IRS and the Treasury Department believe that non-portfolio
stock and interests in partnerships (and liabilities to acquire such
assets), even if reflected on the books and records of the eligible QBU,
should not be attributed to such QBU for purposes of section 987. This
is consistent with the principle stated above that a section 987 QBU
cannot be an owner of another section 987 QBU. Excluding non-portfolio
stock is also consistent with the principle that non-portfolio stock
cannot be used in, or held for the use in, the conduct of a trade or
business in the United States. See §1.864-4(c)(2)(iii).
As a result, the proposed regulations provide that stock of a
corporation (whether domestic or foreign) and an interest in a
partnership (whether domestic or foreign) are not considered to be on
the books and records of an eligible QBU. The proposed regulations
provide an exception, however, for portfolio stock where the owner of
the eligible QBU owns (directly or constructively) less than ten percent
of the total voting power or value of the stock of such corporation. The
proposed regulations also provide that indebtedness incurred to acquire
stock or a partnership interest that is not treated as being reflected
on the books and records of an eligible QBU should similarly be excluded
from the books and records. Finally, the proposed regulations provide
that items of income, gain, deduction and loss arising from ownership of
stock, a partnership interest, or related acquisition indebtedness that
is excluded from the general books and records rule, shall similarly not
be treated as being on the books and records of the eligible QBU.
iv\. [Coordination with source rules under section 988]{.underline}.
Section 988(a)(3) provides that the source of gain or loss recognized
under section 988(a)(1) is determined by reference to the residence of
the taxpayer or the QBU of the taxpayer on whose books the asset,
liability, or item of income or expense is properly reflected. Section
1.988-4(b)(2) provides that, in general, the determination of whether an
asset, liability, or item of income or expense is properly reflected on
the books of a QBU is a question of fact. The regulations under section
988 further provide that such items are presumed not to be properly
reflected on the books and records for this purpose if inconsistent
booking practices are employed with respect to the same or similar
items. Finally, the regulations provide that if such items are not
properly reflected on the books of the QBU, the Commissioner may
allocate the item between or among the taxpayer and its QBUs to properly
reflect the source (or realization) of exchange gain or loss.
The IRS and the Treasury Department believe that rules for determining
whether items are properly reflected on the books of a QBU for purposes
of sourcing section 988 gain or loss should be consistent with the rules
for attributing items to an eligible QBU under section 987. As a result,
the proposed regulations modify the sourcing rules in the section 988
regulations to provide that the principles of §1.987-2(b) apply in
determining whether an asset, liability, or item of income or expense is
properly reflected on the books of a QBU.
2\. [Certain assets and liabilities of partnerships and DEs not
attributable to an eligible QBU]{.underline}.
Section 988 applies to certain transactions described in section 988(c)
if the transaction is denominated (or determined by reference to) a
currency that is not the functional currency of the taxpayer or QBU of
the taxpayer. Thus, in order to determine if a transaction is subject to
section 988, it must be determined whether a transaction is attributable
to the taxpayer or a QBU of the taxpayer.
Under the current section 989 regulations, a partnership is a QBU even
if it does not have activities that constitute a trade or business ("per
se QBU"). As a result, a partnership may have a functional currency
different than its partners and section 988 is applied at the
partnership level with respect to section 988 transactions properly
attributable to the partnership. These regulations propose to amend
section 989 to provide that a partnership is no longer a per se QBU of
its partners, but instead the activities of such partnership may be
treated as a QBU.
As discussed above, the IRS and the Treasury Department will generally
apply either an entity or an aggregate approach with respect to
partnerships depending on which approach more appropriately carries out
the purpose of the particular Code section under consideration.
Following the amendments made by the proposed regulations, and because
only certain activities of a partnership (and not the partnership
itself) can qualify as a section 987 QBU, the IRS and the Treasury
Department believe that it is appropriate, in cases where an asset or
liability of a partnership is not reflected on the books and records of
an eligible QBU of the partnership, to determine whether section 988
applies by reference to the functional currencies of the partners. The
IRS and the Treasury Department believe that this rule will have limited
application and will apply, for example, where the only activity of a
partnership is the incurrence of a liability used to acquire stock that
is held by the partnership. The proposed regulations provide examples
illustrating the application of this rule.
As discussed above, the proposed regulations provide that a DE itself is
not an eligible QBU and, instead, certain activities of the DE will be
treated as an eligible QBU of the owner to the extent a separate set of
books and records with respect to such activities are maintained. Thus,
an issue similar to that discussed above with respect to partnerships
will arise where the DE is the local law owner of certain assets or the
local law obligor on certain liabilities, which are not reflected on the
books and records of an eligible QBU held by the DE. The proposed
regulations provide that the determination of whether section 988
(rather than section 987) applies with respect to transactions involving
assets and liabilities of a DE that are not attributable to an eligible
QBU is determined by reference to the functional currency of the owner
of such DE.
3\. [Definition of a transfer]{.underline}.
i\. [Overview]{.underline}.
Section 987(3) provides, in part, that taxable income of a taxpayer
shall be determined by making proper adjustments (as prescribed by the
Secretary) for transfers of property between qualified business units of
the taxpayer having different functional currencies. Similarly, the
legislative history to section 987 refers to contributions to, and
remittances from, QBUs. See, H.R. Conf. Rep. No. 841, 99th Cong. 2d.
Sess. II 673-76 (1986). However, neither the statute nor the legislative
history defines the terms "transfer," "contribution," or "remittance."
As noted above, section 987 QBUs can be divisions of an owner that have
no legal distinction separate from their owner. Section 987 QBUs can
also be owned indirectly through partnerships, where they have legal
distinction separate from their owners. Moreover, as a result of the
entity classification regulations, a section 987 QBU held through a DE
can have legal distinction separate from its owner, even though the
section 987 QBU is treated as a division of the owner for federal income
tax purposes. As a result, assets and liabilities can be transferred
between an owner and a section 987 QBU in a manner that has legal
significance (that is, a distribution from a section 987 partnership),
or in a manner that has no legal significance because the transfers are
simply between divisions of the same legal entity (that is, a transfer
involving divisions of a taxpayer that is reflected through accounting
entries).
ii\. [Disregarded transactions]{.underline}.
The definition of a transfer under the proposed regulations includes
transactions that are regarded for both legal and tax purposes, and
transactions that are regarded for legal purposes, but disregarded as
transactions for tax purposes ("disregarded transactions"). For this
purpose, the term disregarded transaction is treated as including the
recording of an asset or liability on one set of books and records, if
the recording is the result of such asset or liability being removed
from another set of books and records of the same person or entity
(including a DE or partnership).
The proposed regulations provide that an asset or liability is treated
as transferred to or from a section 987 QBU if, as a result of a
disregarded transaction, such asset or liability is reflected, or is not
reflected, respectively, on the books and records of the section 987
QBU. For example, if an owner of a section 987 DE loans cash to the
section 987 QBU held by the section 987 DE, the loan is disregarded for
Federal income tax purposes. However, as a result of such disregarded
transaction, the loaned cash is reflected on the books and records of
the section 987 QBU and, therefore, is treated as transferred to such
section 987 QBU.
iii\. [Certain contributions to, and distributions from,
partnerships]{.underline}.
The proposed regulations also provide that transfers to and from section
987 QBUs include certain contributions of assets to, or distributions of
assets from, a section 987 partnership. For example, an asset
contributed by a partner to a section 987 partnership is treated as
transferred to an indirectly owned section 987 QBU of the partner if the
asset is reflected on the section 987 QBU's books and records following
such contribution. The proposed regulations provide similar rules for
assumptions of liabilities between a section 987 partnership and its
partners.
iv\. [Certain acquisitions and dispositions of interests in DEs and
partnerships]{.underline}.
The proposed regulations also provide that transfers to or from a
section 987 QBU may occur as a result of certain acquisitions (including
by contribution) and dispositions of interests in DEs and partnerships.
For example, if a partner in a section 987 partnership sells a portion
of its interest in such partnership, the sale results in a transfer from
the partner's indirectly owned section 987 QBU to the extent assets and
liabilities are not reflected on the books and records of such QBU as a
result of such sale.
v\. [Change in form of ownership]{.underline}.
The owner of a section 987 QBU can change its form of ownership in all
or a portion of such section 987 QBU. Such changes in form of ownership
often occur in a manner that does not affect the operation of the
eligible QBU (or its status as an eligible QBU), but rather only changes
the owner's interest in its section 987 QBU. For example, a direct owner
of a section 987 QBU that is owned through a section 987 DE can change
to being an indirect owner of all or a portion of such section 987 QBU,
if the interests in the section 987 DE are transferred to a partnership.
Changes in form of ownership of a section 987 QBU can occur through
actual or deemed transactions involving the section 987 QBU itself, or
actual or deemed transactions involving interests in a section 987 DE or
section 987 partnership that owns such QBU. For example, certain
conversions of DEs to partnerships, or partnerships to DEs, result in
deemed transactions pursuant to Rev. Ruls. 99-5, 1999-1 CB 434, and
99-6, 1999-1 CB 432. See §601.601(d)(2). Deemed transactions with
respect to partnerships also occur pursuant to section 708(b) and the
regulations thereunder.
The IRS and the Treasury Department believe that changes in form of
ownership should result in a transfer only to the extent such change
affects the assets and liabilities attributable to the section 987 QBU
of the owner. As a result, the proposed regulations provide that a mere
change in form of ownership of a section 987 QBU does not result in a
transfer to or from the section 987 QBU. Instead, the proposed
regulations provide that the determination of whether a transfer has
occurred in such cases should be made under the general transfer rules,
discussed above. Moreover, the proposed regulations clarify that deemed
transactions (for example, pursuant to Rev. Ruls. 99-5 and 99-6) shall
not be taken into account for purposes of determining whether there is a
transfer.
vi\. [General tax law principles]{.underline}.
The proposed regulations clarify that general tax law principles,
including the circular cash flow, step-transaction, and
substance-over-form doctrines apply for purposes of determining whether
there is a transfer of an asset or liability to or from a QBU. For
example, if a shareholder of a corporation that directly owns a section
987 QBU transfers property to the corporation and the property is
recorded on the books and records of the corporation's section 987 QBU,
the shareholder is first treated as transferring the property to the
corporation, and then the corporation is treated as transferring the
property to the section 987 QBU in a disregarded transaction.
4\. [Adjustments to items reflected on the books and
records]{.underline}.
As noted above, a section 987 QBU of a taxpayer may not be an entity
separate from the taxpayer that can legally own assets and incur
liabilities. As a result, recording (or failing to record) an asset or
liability on the books and records may, other than for purposes of
section 987, have little significance for tax or legal purposes. In
addition, transfers between section 987 QBUs of the same owner that are
divisions of the same legal entity may have no legal significance and
are accomplished only through journal entries on the books and records
of such section 987 QBUs. As a result, the IRS and the Treasury
Department are concerned that, in certain circumstances, transfers to or
from a section 987 QBU may be structured solely to achieve advantages
under section 987, especially given that such transfers may have little
or no significance from a legal or business perspective.
In Notice 2000-20, the IRS and the Treasury Department expressed similar
concerns in connection with taxpayers taking positions that certain
contributions and distributions triggered foreign currency losses
prematurely with respect to transactions that were undertaken for tax
purposes, but lacked meaningful non-tax economic consequences. The
notice provided that the IRS and the Treasury Department believe that
circular cash flows and similar transactions lacking economic substance
will not result in recognition of foreign currency losses under general
tax principles because such transactions are not properly treated as
transfers or remittances under [section
987](http://www.lexis.com/research/buttonTFLink?_m=d83999cbb09526d82b253c995db069ba&_xfercite=<cite cc%3D"USA"><!%5BCDATA%5BNotice 2000-20%5D%5D><%2Fcite>&_butType=4&_butStat=0&_butNum=70&_butInline=1&_butinfo=26 U.S.C. 987&_fmtstr=FULL&docnum=1&_startdoc=1&wchp=dGLbVtz-zSkAW&_md5=9512d0573c897d1804ac363dc5762796).
The IRS and the Treasury Department continue to be concerned about
transactions that are undertaken for tax purposes and lack meaningful
non-tax economic consequences. As a result, the proposed regulations
provide the Commissioner the ability to allocate assets and liabilities,
and items of income, gain, deduction and loss, where a principal purpose
of recording (or failing to record) an item on the books and records of
an eligible QBU (including an eligible QBU owned indirectly through a
partnership) is the avoidance of U.S. tax under section 987. The
proposed regulations also provide various factors that indicate whether
recording (or failing to record) an item on books and records has as a
principal purpose the avoidance of U.S. tax under section 987. For
example, factors indicating that such tax avoidance was not a principal
purpose of recording (or not recording) an item include doing so for a
substantial and bona fide business purpose, or in a manner that is
consistent with the economics of the underlying transaction.
5\. [Translation of items transferred to a section 987 QBU]{.underline}.
The proposed regulations provide translation rules for the transfer of
assets and liabilities to a section 987 QBU. Under the proposed
regulations, if an asset or a liability is transferred to a section 987
QBU, such items are translated into the QBU's functional currency at the
spot rate on the day of transfer. No translation is required for assets
or liabilities denominated in the functional currency of the section 987
QBU.
The proposed regulations provide special rules for items transferred to
a section 987 QBU where such items are denominated in (or determined by
reference to) the owner's functional currency. Such items are not
translated and instead are carried on the balance sheet in the owner's
functional currency since no foreign currency exposure with respect to
the owner is created by such items.
6\. [Interaction with other foreign currency provisions]{.underline}.
The IRS and the Treasury Department are considering whether the
attribution and transfer rules provided under the proposed regulations
should apply with respect to other foreign currency provisions in the
Code. For example, the IRS and the Treasury Department are considering
whether the attribution rules under the proposed regulations should
apply to determine the functional currency of a QBU under section 985.
As a result, comments are requested on the interaction of these rules
with other foreign currency provisions.
C. [Section 1.987-3 Determination of the items of section 987 taxable
income or loss of an owner of a section 987 QBU]{.underline}.
In general, the term "section 987 taxable income" refers to the items of
income, gain, deduction or loss attributed to the section 987 QBU under
§1.987-2(b), translated into the functional currency of the owner. The
allocation of expenses such as interest under other provisions are not
taken into account for this purpose. Section 987 taxable income is
calculated by determining each item of income, gain, deduction or loss
in the section 987 QBU's functional currency under §1.987-3(a), and then
translating those items into the owner's functional currency using the
exchange rates provided in §1.987-3(b). Items of income, gain, deduction
or loss of a section 987 QBU that are denominated in (or determined by
reference to) the functional currency of the owner are not translated
and are not treated as section 988 transactions to the section 987 QBU.
Transactions denominated in (or determined by reference to) a currency
that is neither the functional currency of the owner nor of the section
987 QBU are subject to the generally applicable rules under section 988
determined with respect to the functional currency of the section 987
QBU.
When basis recovery is required with respect to an historic asset,
either in computing gain or loss on the sale or exchange of such asset,
or in determining cost recovery deductions (such as depreciation or
depletion), the proposed regulations require the use of the historical
exchange rate associated with the particular asset. Thus, for example,
where a section 987 QBU sells an historic asset, the amount realized
will be translated into the owner's functional currency using the yearly
average exchange rate (or, if properly elected, the spot rate), but the
adjusted basis will be translated using the historic exchange rate
associated with that asset. The use of different exchange rates for
amount realized and adjusted basis is designed to more closely reflect
the economic gain or loss to the owner of the section 987 QBU than the
1991 proposed regulations. The same is true for depreciation or other
cost recovery deductions that are claimed with respect to historic
assets of a section 987 QBU.
Special translation rules are provided with respect to the disposition
of marked assets (other than functional currency cash of the section 987
QBU). Generally, the amount realized and basis are translated at the
same exchange rates. The purpose of these special rules is to assure
that foreign currency gain or loss (as opposed to gain or loss not
related to movements in exchange rates) is reflected through the balance
sheet calculations of §1.987-4 and not through the profit and loss
calculations of §1.987-3. Cash is not included in these special rules
because the disposition of cash cannot generate profit or loss to the
section 987 QBU for purposes of §1.987-3.
D. [Section 1.987-4 Determination of net unrecognized section 987 gain
or loss of a section 987 QBU]{.underline}.
Section 1.987-4 provides the mechanics for determining "net unrecognized
section 987 gain or loss" and, when combined with §1.987-5, form the
mathematical core of the foreign exchange exposure pool method. In
summary, §1.987-4 uses a balance sheet to distinguish the items of a
section 987 QBU that give rise to section 987 gain or loss (section 987
marked items) from those that do not (section 987 historic items). This
approach avoids the distortions caused by the 1991 proposed regulations
that impute section 987 gain or loss to all assets of a section 987 QBU,
even those assets the value of which does not fluctuate with currency
movements. Generally, annual comparison of the change in the value of
section 987 marked items on the opening and closing balance sheets due
to changes in exchange rates gives rise to unrecognized section 987 gain
or loss. This unrecognized section 987 gain or loss is aggregated with
similar amounts determined for prior years (to the extent not previously
taken into account) and is taken into account by the owner under the
rules of §1.987-5 upon a remittance by the section 987 QBU.
Under §1.987-4(a) and (b), net unrecognized section 987 gain or loss is
computed annually and is equal to the sum of the "unrecognized section
987 gain or loss for the current taxable year" and the "net accumulated
unrecognized section 987 gain or loss for all prior taxable years." A
section 987 QBU's net accumulated unrecognized section 987 gain or loss
for all prior taxable years is the aggregate of the unrecognized section
987 gain or loss determined under §1.987-4(d) for all prior taxable
years (to which these regulations apply) reduced by the amounts taken
into account under §1.987-5 upon a remittance for all such taxable
years. For section 987 QBUs in existence prior to the effective date of
these regulations, a section 987 QBU's net accumulated unrecognized
section 987 gain or loss includes amounts taken into account under the
transition rules of §1.987-10.
Unrecognized section 987 gain or loss is determined under a seven step
calculation. Under the first step in §1.987-4(d)(1), the "owner
functional currency net value" of the section 987 QBU is determined
under §1.987-1(e) at the close of the taxable year in the functional
currency of the owner. This is a balance sheet calculation under which
the basis (or amount, in the case of a liability) of each section 987
marked item is translated into the owner's functional currency at the
spot rate on the last day of the taxable year. Section 987 historic
items are translated into the owner's functional currency at the
historic exchange rate and, therefore, do not give rise to exchange gain
or loss. The amount of liabilities determined in the owner's functional
currency is subtracted from the value of the assets determined in the
owner's functional currency to result in the owner functional currency
net value of the section 987 QBU at the close of the taxable year. The
owner functional currency net value of the section 987 QBU at the close
of the preceding taxable year is subtracted from the owner functional
currency net value of the section 987 QBU at the close of the current
taxable year to yield the change in owner functional currency net value
of the section 987 QBU for the taxable year expressed in the owner's
functional currency.
Generally, three components are reflected in the change in owner
functional currency net value of the section 987 QBU for a taxable year.
First, taxable income or loss of the section 987 QBU will result in
increases or decreases in net assets, and will therefore affect net
value. Second, transfers of assets or liabilities to or from the section
987 QBU will affect net value. Finally, any remaining change in net
value (as measured in the owner's functional currency) results from
changes in the value of the section 987 QBU's marked assets and
liabilities. In order to isolate the change in value due to foreign
currency movements with respect to section 987 marked assets and
liabilities, the other changes must be reversed out. That is the
function of steps 2 through 7 of §1.987-4(d).
The unrecognized section 987 gain or loss when aggregated with similar
amounts for prior years (that were not previously taken into account)
yields a pool of "net unrecognized section 987 gain or loss" all or part
of which is to be triggered upon a remittance or termination.
E. [Section 1.987-5 Recognition of Section 987 Gain or
Loss]{.underline}.
Section 1.987-5 of the proposed regulations provides the method for
determining the amount of section 987 gain or loss a taxpayer must
recognize in a taxable year. Generally, the amount of section 987 gain
or loss recognized in a taxable year equals the net unrecognized section
987 gain or loss of the section 987 QBU determined under §1.987-4 on the
last day of such taxable year, multiplied by the owner's remittance
proportion. The pool of net unrecognized section 987 gain or loss
includes both unrecognized section 987 gain or loss on marked items for
the current year and unrecognized section 987 gain or loss on marked
items for prior years (that has not yet been taken into account). A
portion of the §1.987-4 pool of unrecognized section 987 gain or loss is
triggered by a net transfer or "remittance" to the owner by a section
987 QBU during the owner's taxable year. Generally, the owner's
remittance proportion is equal to the quotient of the amount of the
remittance divided by the aggregate adjusted basis of the section 987
QBU's gross assets (as reflected on its year end balance sheet), without
reduction for the remittance.
The 1991 proposed regulations define a remittance as the amount of any
transfer from a QBU branch to the extent the amount of transfers during
the year does not exceed the year end balance of the equity pool.
Transfers are limited in the 1991 proposed regulations by a daily
netting rule that takes into account only the amount of property
distributed from the QBU branch that exceeds the amount of property
transferred by the taxpayer to the QBU branch in a single day. The IRS
and the Treasury Department believe that the daily netting rule of the
1991 proposed regulations is not easily administered and causes
distortions in the amount of a remittance. For example, taxpayers have
taken the position that a remittance followed a short time later by an
equal contribution to a QBU branch can trigger recognition of section
987 gain or loss even though there has been no economic change in
position of the QBU branch. The IRS and the Treasury Department believe
this approach is inappropriate and provides incentives for circular cash
flows used to manipulate amounts of remittances. This daily netting rule
is eliminated in the proposed regulations to reduce administrative
burdens on both the IRS and taxpayers, and to eliminate both taxpayer
favorable and taxpayer unfavorable distortions that it can create.
Section 1.987-5(c) of the proposed regulations defines a remittance as
the excess of total transfers from the section 987 QBU to the owner
determined in the owner's functional currency on an annual basis over
total transfers from the owner to the section 987 QBU determined on an
annual basis. Solely for purposes of determining the amount of a
remittance under §1.987-5(c), the amount of liabilities transferred from
the owner to the section 987 QBU is treated as a transfer of assets from
the section 987 QBU to the owner. Similarly, the amount of liabilities
transferred from the section 987 QBU to the owner is treated as a
transfer of assets from the owner to the section 987 QBU. The IRS and
the Treasury Department recognize that section 987 QBUs actively engaged
in business may have a significant number of transactions that are
treated as transfers to and from the owner pursuant to § 1.987-2(c). It
is anticipated that the annual netting rule will help to reduce
complexity and administrative burden for taxpayers and the IRS by
treating the net amount of transfers as a single annual remittance. For
purposes of determining the annual remittance, only assets and
liabilities considered transferred pursuant to §1.987-2(c) will be taken
into account.
The remittance is divided by the total adjusted basis of section 987
gross assets, expressed in the functional currency of the owner,
reflected on the section 987 QBU balance sheet pursuant to §1.987-2
(increased by the amount of the remittance) to determine the remittance
proportion. The IRS and the Treasury Department considered a number of
different measures for determining the amount of section 987 gain or
loss triggered upon a remittance. The adjusted basis of gross section
987 QBU assets was selected as the measure because it avoids
administrative concerns raised by alternative methods and limits the
potential volatility associated with the recognition of section 987 gain
or loss. In particular, the adjusted basis of gross section 987 QBU
assets measure avoids the significant administrative burdens associated
with a section 987 QBU accumulated earnings approach that would require
taxpayers to maintain post-1986 accumulated earnings pools for each
section 987 QBU. The IRS and the Treasury Department also considered the
use of net section 987 QBU assets as a potential measure. Although the
net section 987 QBU assets measure does not raise the same
administrative burdens as an earnings based approach, the IRS and the
Treasury Department were concerned about the volatility of recognizing
section 987 gain or loss using a net asset measure. For example, if a
section 987 QBU's gross assets are equal to its liabilities, section 987
gain or loss would be deferred. On the other hand, a small amount of
income could increase section 987 QBU net assets slightly above zero and
all accumulated section 987 gains or losses could be triggered with a
very small remittance. The IRS and the Treasury Department believe that
gross assets is a reasonable proxy for post-1986 accumulated earnings in
this context, can be administered relatively easily, and will reduce the
volatility and potential for distortion described in this preamble.
F. [Section 1.987-6 Character and Source]{.underline}.
Section 987(3)(B) requires that a taxpayer make proper adjustments (as
prescribed by the Secretary) for certain transfers of property between
QBUs of the taxpayer, including treating section 987 gain or loss as
ordinary income or loss and sourcing such gain or loss by reference to
the source of income giving rise to post-1986 accumulated earnings.
Section 987 is silent on the method of characterizing section 987 gain
or loss for purposes of the Code. Nevertheless, the IRS and the Treasury
Department believe that it is necessary to characterize section 987 gain
or loss for the proper operation of certain other sections of the Code.
For example, the character of section 987 gain must be determined for
purposes of determining whether all or a portion of such gain qualifies
as subpart F income under section 954. This characterization is
necessary to prevent section 987 from being used as a vehicle to avoid
the rules of section 954(c)(1)(D) with respect to certain section 988
transactions. In addition, section 987 gain or loss must be
characterized for purposes of determining the foreign tax credit
limitation under section 904(d). As a result, and pursuant to sections
987(3) and 989(c)(5), the proposed regulations characterize section 987
gain or loss for all purposes of the Code, including for purposes of
sections 904(d), 907 and 954.
In accordance with section 987(3)(B), §1.987-6(a) provides that section
987 gain or loss is ordinary income or loss. Moreover, the IRS and the
Treasury Department believe that rules governing the source and
character of section 987 gain or loss for other Code sections should be
consistent. The IRS and the Treasury Department are concerned, however,
that sourcing and characterizing section 987 gain or loss by reference
to post-1986 accumulated earnings would give rise to substantial
complexity by requiring taxpayers to track the earnings of section 987
QBUs in section 904(d) categories over prolonged periods. The compliance
burden would be considerable for taxpayers with large numbers of section
987 QBUs. Accordingly, the IRS and the Treasury Department believe that
it is appropriate to use the average tax book value of assets in the
year of remittance as determined under §1.861-9T(g) as a proxy for
post-1986 accumulated earnings in the context of section 987.[^3] In the
context of section 987, use of a single year's assets should generally
reflect the activities of a section 987 QBU that give rise to a section
987 QBU's accumulated earnings and will significantly minimize
complexity. The tax book value method set forth in §1.861-9T(g) as
applied to section 987 QBUs has been amended to provide greater
consistency with the proposed regulations. The modified gross income
method described in §1.861-9T(j) cannot be used to characterize section
987 gain or loss as the IRS and the Treasury Department believe that
gross income earned in a single year is not a sufficient proxy for
accumulated earnings.
The IRS and the Treasury Department recognize that the characterization
rule contained in the proposed regulations applies to provisions other
than the international tax rules. In addition, the IRS and the Treasury
Department recognize that special considerations may arise in connection
with applying this characterization rule to various domestic provisions.
For example, special considerations may arise when characterizing
section 987 gain or loss for rules that apply to regulated investment
companies (RICs) and real estate investment trusts (REITs). The IRS and
the Treasury Department are studying the application of the
characterization rules to these other provisions and request comments.
As a result, the proposed regulations reserve on the method for
characterizing and sourcing section 987 gain or loss for purposes of
RICs and REITs.
G. [Section 1.987-7 Partnership Rules]{.underline}.
1\. [Scope]{.underline}.
Section 1.987-7 provides rules for determining a partner's share of the
assets and liabilities of an eligible QBU held indirectly through a
section 987 partnership. It also provides rules coordinating the
application of section 987 with subchapter K of chapter 1 of the Code.
2\. [Allocation of assets and liabilities]{.underline}.
In order to apply the foreign exchange exposure pool method at the
partner level, as discussed above, each partner must determine its share
of the assets and liabilities of an eligible QBU and, to the extent
applicable, a section 987 QBU owned indirectly through the section 987
partnership. Section 1.987-7 provides a general rule that requires the
allocation of the assets and liabilities of the partnership's eligible
QBUs to the partners in a manner that is consistent with the manner in
which the partners have agreed to share the economic benefits and
burdens corresponding to such assets and liabilities, taking into
account the rules and principles of sections 701 through 761 and the
regulations thereunder, including section 704(b) and §1.701-2.
The IRS and the Treasury Department believe that this general rule is
appropriate because it will allocate the assets and liabilities
consistent with the partners' economic arrangement. The IRS and the
Treasury Department recognize that any rule which attempted to allocate
the assets and liabilities without regard to such economic arrangement
would have the effect of distorting each partner's section 987 gain or
loss attributable to its section 987 QBU and, as a result, would be
inappropriate. Moreover, the IRS and the Treasury Department are
concerned that taxpayers could attempt to inappropriately shift a
partner's share of the underlying assets and liabilities of a section
987 QBU owned indirectly through a section 987 partnership to distort
the partner's section 987 gain or loss. As a result, the Commissioner
may review such allocations to ensure that they are consistent with the
economic arrangement of the partners and the principles of subchapter K
of Chapter 1 of the Code and the applicable regulations, including
section 704(b) and §1.701-2.
Moreover, the IRS and the Treasury Department are considering whether it
would be appropriate, when these regulations are finalized, to provide a
safe harbor. Under such a safe harbor, the assets and liabilities of an
eligible QBU would be deemed to be allocated in a manner which
appropriately reflects each partner's share of the economic benefits and
burdens if certain conditions are satisfied. For example, the safe
harbor could provide that the assets and liabilities are deemed to be
allocated in a manner consistent with each partner's share of the
underlying economic benefits and burdens provided the assets, to the
extent of a partner's share of partnership capital, are allocated in
accordance with such capital and any excess assets (assets in excess of
partnership capital) are allocated consistent with the manner in which
the partners have agreed to share the economic burden of the liabilities
incurred to acquire such assets. The IRS and the Treasury Department
request comments as to whether a safe harbor should be included and, if
so, what form such safe harbor should take.
3\. [Coordination with subchapter K]{.underline}.
A partner must take into account its share of the items of income, gain,
deduction, or loss of its section 987 QBU owned indirectly through a
partnership and, under §1.987-3, must convert such items into its
functional currency. In addition, a partner must take into account any
section 987 gain or loss of the section 987 QBU determined in the
partner's functional currency. In both situations, the partner's
adjusted basis in its partnership interest must be adjusted in order to
avoid the duplication of income or loss attributable to the section 987
QBU. Section 1.987-7 provides a rule regarding the appropriate
adjustments which must be made to the partner's adjusted basis in the
section 987 partnership to ensure that no such duplication occurs.
A partner is also required under section 752 to adjust its basis in its
interest in the section 987 partnership to take into account liabilities
of the section 987 partnership. As a result, the proposed regulations
provide rules for determining the appropriate adjustments to such basis
required under section 752 in the case of an increase or a decrease in
such partner's share of the liabilities of the partnership reflected on
the books and records of a section 987 QBU. In addition, the proposed
regulations provide rules for determining the amount of such liability,
as determined in the partner's functional currency, which must be taken
into account on the sale or exchange of a partnership interest under
section 752(d).
The proposed regulations also clarify, consistent with section 985(a),
that a partner's adjusted basis in its partnership interest is
determined in the functional currency of the partner. Moreover, the
proposed regulations provide that the fluctuations between the partner's
functional currency and the functional currency of the section 987 QBU
do not affect such partner's adjusted basis in its partnership interest.
Instead, such fluctuations are taken into account under the foreign
exchange exposure pool method of §1.987-4.
4\. [Comments]{.underline}.
The proposed regulations do not address the adjustments which would
occur under section 752 when there is an assumption by a partnership of
a partner's liability that is denominated in a functional currency
different from the partner and which, as a result, is subject to section
988 in the hands of the partner. In such cases, the partner will be
deemed to receive a distribution of money, under section 752(b),
regardless of whether, following the assumption, the liability is
reflected on the books and records of the partnership's qualified
business unit. In such cases, it is unclear whether the amount of the
distribution should be determined by reference to the spot rate (on the
date of assumption) or the historic exchange rate (on the date the
liability was originally incurred by the partner). In addition, this
issue raises concerns as to how section 988 would operate upon such
assumption. The IRS and Treasury Department request comments on this
issue and whether provisions should be included in section 988 to better
coordinate the operation of section 987 and section 988 in this context.
In addition, comments are requested on whether provisions should be
included in section 988 in order to coordinate the aggregate approach,
adopted in these proposed regulations, with respect to certain assets
and liabilities that are not reflected on an eligible QBU of the
partnership.
In addition to the issues specifically addressed in the proposed
regulations, the IRS and the Treasury Department request comments on
additional provisions which should be included to coordinate the
provisions of section 987 with subchapter K of chapter 1 of the Code.
Specifically, comments are requested as to how capital accounts
maintained under section 704 should be adjusted to take into account
section 987 gain or loss. In addition, comments are requested as to
whether section 987 loss should be subject to the limitation provided
under section 704(d) and, if so, how such limitation might be applied.
Finally, comments are requested as to any other provisions of subchapter
K of chapter 1 of the Code on which guidance should be provided.
H. [Section 1.987-8 Termination of a Section 987 QBU]{.underline}.
1\. [General termination rules]{.underline}.
The proposed regulations set forth circumstances in which a section 987
QBU will terminate. For purposes of §1.987-5, a termination of a section
987 QBU is treated as a remittance of all the gross assets of the
section 987 QBU to its owner. The termination rules recognize that an
owner carries on a trade or business through its section 987 QBU and
when the owner stops conducting that trade or business through its
section 987 QBU, any section 987 gain or loss should be recognized in
full. Thus, a termination generally occurs when: (1) the activities of
the section 987 QBU cease; (2) substantially all of the assets (as
defined in section 368(a)(1)(C)) of the section 987 QBU are transferred
to its owner; or (3) the owner of the section 987 QBU ceases to exist.
In addition, a termination occurs when a foreign corporation that is a
controlled foreign corporation (CFC) that is the owner of a section 987
QBU ceases to be a CFC because at that point any section 987 gain or
loss cannot be subpart F income and may be deferred indefinitely.
2\. [Exceptions for certain section 381 transactions]{.underline}.
Section 987 gain or loss generally arises during the period that an
owner has a section 987 QBU. The section 987 gain or loss is analogous
in some respects to a tax attribute under section 381. As a result, the
proposed regulations provide that a termination does not generally occur
when other tax attributes under section 381 are carried over in a
liquidation under section 332 or an asset reorganization under section
368(a). However, inbound and outbound liquidations and reorganizations
terminate a section 987 QBU because these transactions materially change
the circumstances in which section 987 gain or loss is taken into
account.
3\. [Treatment of inbound liquidations and inbound asset
reorganizations]{.underline}.
Although the proposed regulations treat inbound liquidations under
section 332 and inbound asset reorganizations under section 368(a) as
terminations, the IRS and the Treasury Department are considering
whether such treatment is appropriate in all cases.
The IRS and the Treasury Department believe that the better view, taking
into account various policies, is to support the treatment of inbound
transactions as terminations. For example, such treatment may prevent
the importation of a tax attribute that was generated offshore. Concerns
over such attribute importation are similar to those that were addressed
in §1.367(b)-3(e) and (f) and section 362(e). In addition, treating
inbound asset transactions as terminations is consistent with the
results that would obtain if the foreign currency gain or loss
attributable to the QBU were taken into account under section 988,
rather than section 987.
The IRS and the Treasury Department acknowledge, however, that other
policies may support the position that such inbound transactions should
not be terminations. One of the reasons the proposed regulations treat
certain section 381 transactions as terminations is because amounts
taken into account under section 987 (that is, section 987 taxable
income or loss, and section 987 gain or loss) generally become subject
to a lesser degree of U.S. taxation after the section 381 transaction
than was the case before the transaction (that is, when the section 987
QBU goes from being owned by a domestic corporation to being owned by a
foreign corporation). This is not the case in certain inbound
transactions because amounts taken into account under section 987 are
generally subject to a greater degree of U.S. taxation after the inbound
transaction (when the section 987 QBU is owned by a domestic
corporation) than was the case before the transaction (when the section
987 QBU was owned by a foreign corporation).
The IRS and the Treasury Department request comments on whether it is
appropriate to treat these inbound asset transactions as terminations.
Such comments should take into account the policy concerns discussed in
this preamble.
4\. [Section 351 exchanges and transactions within a consolidated
group]{.underline}.
The proposed regulations provide that a termination occurs when the
owner of a section 987 QBU transfers the QBU to another corporation in
exchange for stock in a transaction qualifying under section 351. The
termination occurs because the owner no longer has a section 987 QBU.
The IRS and the Treasury Department are studying ways to apply the
intercompany transaction rules of §1.1502-13 to section 987 transactions
within a consolidated group. For example, the IRS and the Treasury
Department are considering whether transfers qualifying under section
351 which would trigger a remittance or termination under the proposed
regulations should qualify for deferral under §1.1502-13. The IRS and
the Treasury Department request comments on the interplay between
§1.1502-13 and the proposed regulations and the timing of the inclusion
of the deferred section 987 gain or loss.
I. [Section 1.987-9 Recordkeeping Rules]{.underline}.
Given the detailed nature of the calculations required under these
regulations, §1.987-9 articulates the records that taxpayers must keep.
A taxpayer must keep such records as are sufficient to establish the
section 987 QBU's section 987 taxable income or loss, its section 987
gain or loss, and the transition method used for section 987 QBUs under
§1.987-10. Section 1.987-9(b) lists supplemental records that must be
maintained.
J. [Section 1.987-10 Transition Rules]{.underline}.
The transition rules of §1.987-10 apply to a taxpayer that is the owner
of a section 987 QBU on the transition date. Such a taxpayer must
transition to the foreign exchange exposure pool method of these
regulations whether or not such taxpayer made determinations required
under section 987 in prior years. A taxpayer that failed to make
required determinations under section 987 in prior years or that used an
unreasonable method in prior years can only use the fresh start
transition method of §1.987-10(c)(4) as described in this preamble.
Generally, use of the 1991 proposed section 987 regulations method (see,
Examples 1 and 3 of §1.987-10(d)) or an "earnings only" section 987
method (see, Example 2 of §1.987-10(d)) will be considered a reasonable
method for purposes of §1.987-10. However, for example, the recognition
of section 987 gain or loss with respect to stock under any method,
where the gain or loss does not reflect economic gain or loss derived
from the movements in exchange rates, will be carefully scrutinized by
the IRS and may be considered unreasonable based on the facts and
circumstances of the particular case.
The transition date is the first day of the first taxable year to which
these section 987 regulations apply.
Comments are requested on the application of these transition rules to
partnerships which were, under the current proposed regulations, treated
as qualified business units for purposes of section 987. Comments are
also requested on the treatment of qualified business units of such
partnerships.
Generally, §1.987-10(c) allows a taxpayer to transition to the foreign
exchange exposure pool method set forth in these regulations under one
of two methods (the "deferral transition method" or the "fresh start
transition method"). Under the conformity rules of §1.987-10(c)(2), this
election must be applied with respect to all members that file a
consolidated return with the taxpayer and any controlled foreign
corporation as defined in section 957 in which the taxpayer owns more
than 50 percent of the voting power or stock (as determined in section
957(a)). This conformity rule is necessary to prevent taxpayers and
certain related entities from taking inconsistent positions with respect
to qualified business units which have unrecognized section 987 gains
and losses. The IRS and the Treasury Department request comments on
concerns that may arise by the inclusion of certain controlled foreign
corporations in the conformity rule.
Under the deferral transition method of §1.987-10(c)(3), section 987
gain or loss is determined under the taxpayer's prior section 987 method
on the transition date as if all qualified business units of the
taxpayer terminated on the last day of the taxable year preceding the
transition date. The deemed termination is solely for purposes of
measuring section 987 gain or loss in order to transition to the foreign
exchange exposure pool method and does not apply for any other purpose.
Section 987 gain or loss determined on the deemed termination is not
immediately recognized. Rather, it is deferred by treating it as net
unrecognized section 987 gain or loss of the relevant section 987 QBU.
Such gain or loss will be recognized under the remittance rules of
§1.987-5 for periods after the transition date. The owner of a qualified
business unit that is deemed to terminate under these rules is treated
as having transferred all of the assets and liabilities attributable to
the qualified business unit to a new section 987 QBU on the transition
date. In order to avoid double counting, §1.987-10(c)(3)(ii) provides
that the exchange rates used to determine the amount of an asset or
liability transferred from the owner to the new section 987 QBU on the
transition date (that is, for purposes of making later calculations
under §1.987-4) is determined with reference to the historic exchange
rates on the day the asset was acquired or liability entered into by the
qualified business unit deemed terminated. That exchange rate is then
adjusted to take into account an allocation of section 987 gain or loss
determined under the deferral transition method. If the taxpayer is not
able to trace an historic exchange rate to a particular asset or
liability, then the exchange rate must be determined under a reasonable
allocation method, consistently applied, that takes into account an
allocation of the aggregate basis and an allocation of the deferred
section 987 gain or loss.
Under the fresh start transition method of §1.987-10(c)(4), on the
transition date all qualified business units of the taxpayer subject to
section 987 are deemed terminated on the last day of the taxable year
preceding the transition date. As under the deferral transition method,
this deemed termination is solely for purposes of transitioning to the
foreign exchange exposure pool method under section 987 and does not
apply for any other purpose. Under the fresh start transition method, no
section 987 gain or loss is determined or recognized on such deemed
termination. Rather, the exchange rates used to determine the total
amount of assets and liabilities deemed transferred from the owner to
the section 987 QBU for the section 987 QBU's first taxable year are
determined solely with reference to the historic exchange rates on the
day the assets were acquired or liabilities entered into by the
qualified business unit that was deemed terminated. Like the deferral
transition method, if the taxpayer is not able to trace an exchange rate
to a particular asset or liability, then the exchange rate must be
determined under a reasonable allocation method, consistently applied,
that takes into account the aggregate basis of the QBU's assets (and
amount of liabilities). The fresh start method is designed to prevent
recognition of non-economic currency gain or loss with respect to
unremitted assets that are attributable to the qualified business unit.
In the first taxable year when the foreign exchange exposure pool method
applies, the deemed contribution of marked assets to a section 987 QBU
at the historic exchange rate when originally acquired potentially gives
rise to section 987 gain or loss while the historic assets (also
translated at the historic exchange rate) will not.
The transition method adopted by the taxpayer must be disclosed in
accordance with the rules provided in §1.987-10(c)(6).
**Proposed Effective Date**
These regulations are proposed to be effective as follows. These
regulations shall generally apply to taxable years beginning one year
after the first day of the first taxable year following the date of
publication of a Treasury decision adopting this rule as a final
regulation in the **Federal Register**. A taxpayer may elect to apply
these regulations to taxable years beginning after the date of
publication of a Treasury decision adopting this rule as a final
regulation in the **Federal Register**. Such election is binding on all
members that file a consolidated return with the taxpayer and any
controlled foreign corporation, as defined in section 957, in which the
taxpayer owns more than 50 percent of the voting power or stock (as
determined in section 957(a)). Pending finalization, the IRS and the
Treasury Department would consider positions consistent with these
proposed regulations to be reasonable constructions of the statute.
**Special Analyses**
It has been determined that this notice of proposed rulemaking is not a
significant regulatory action as defined in Executive Order 12866.
Therefore, a regulatory assessment is not required. It has also been
determined that section 553(b) of the Administrative Procedure Act (5
U.S.C. chapter 5) does not apply to these regulations. It is hereby
certified that the collection of information contained in this
regulation will not have a significant economic impact on a substantial
number of small entities. Accordingly, a regulatory flexibility analysis
is not required. The proposed section 987 regulations will generally
only affect large United States corporations with business units
operating in foreign jurisdictions. Thus, the number of affected small
entities will not be substantial and any economic impact on those
entities in complying with the collection of information would be
minimal. Pursuant to section 7805(f) of the Internal Revenue Code, this
notice of proposed rulemaking will be submitted to the Chief Counsel for
Advocacy of the Small Business Administration for comment on its impact
on small businesses.
**Comments and Public Hearing**
Before the proposed regulations are adopted as final regulations,
consideration will be given to any written (a signed original and eight
(8) copies) or electronic comments that are submitted timely to the IRS.
The IRS and the Treasury Department request comments on the clarity of
the proposed rules and how they can be made easier to understand. All
comments will be available for public inspection and copying.
A public hearing has been scheduled for November 21, 2006, beginning at
10 a.m. in the Auditorium, Internal Revenue Service, New Carrollton
Federal Building, 5000 Ellin Road, Lanham, MD 20706. In addition, all
visitors must present photo identification to enter the building.
Because of access restrictions, visitors will not be admitted beyond the
immediate entrance area more than 30 minutes before the hearing starts.
For information about having your name placed on the building access
list to attend the hearing, see the FOR FURTHER INFORMATION CONTACT
section of this preamble.
The rules of 26 CFR 601.601(a)(3) apply to the hearing. Persons who wish
to present oral comments must submit electronic or written comments by
December 6, 2006 and an outline of the topics to be discussed and time
to be devoted on each topic (a signed original and eight (8) copies) by
October 31, 2006. A period of 10 minutes will be allotted to each person
for making comments. An agenda showing the scheduling of the speakers
will be prepared after the deadline for receiving outlines has passed.
Copies of the agenda will be available free of charge at the hearing.
**Drafting Information**
The principal authors of the proposed regulations are Jeffrey Dorfman
and Theodore Setzer of the Office of Associate Chief Counsel
(International).
**List of Subjects in 26 CFR Part 1**
Income taxes, Reporting and recordkeeping requirements.
**Withdrawal of Notice of Proposed Rulemaking**
Accordingly, under the authority of 26 U.S.C. 7805, the notice of
proposed rulemaking (REG-208270-86) that was published in the **Federal
Register** on September 25, 1991 (56 FR 48457) is withdrawn.
**Proposed Amendment to the Regulations**
Accordingly, 26 CFR part 1 is proposed to be amended as follows:
PART 1\--INCOME TAXES
Paragraph 1. The authority citation for part 1 continues to read in part
as follows:
Authority: 26 U.S.C. 987, 989(c), 6601 and 7805 \* \* \*
Par. 2. Section 1.861-9T is amended as follows:
1\. Paragraph (g)(2)(ii)(A)([1]{.underline}) is revised.
2\. Paragraph (g)(2)(vi) is added.
The revisions read as follows:
[§1.861-9T Allocation and apportionment of interest expense
(temporary)]{.underline}.
\* \* \* \* \*
\(g\) \* \* \*
\(2\) \* \* \*
(ii)\* \* \*(A) \* \* \*
[(1)]{.underline} [Section 987 QBU]{.underline}. In the case of a
section 987 QBU, the tax book value shall be determined by applying the
rules of paragraphs (g)(2)(i) and (3) of this section to the beginning
of year and end of year functional currency amount of assets. The
beginning of year functional currency amount of assets shall be
determined by reference to the functional currency amount of assets
computed under §1.987-4(d)(1)(i)(B) and (e) on the last day of the
preceding taxable year. The end of year functional currency amount of
assets shall be determined by reference to the functional currency
amount of assets computed under §1.987-4(d)(1)(i)(A) and (e) on the last
day of the current taxable year. The beginning of year and end of year
functional currency amount of assets, as so determined within each
grouping must then be averaged as provided in paragraph (g)(2)(i) of
this section.
\* \* \* \* \*
\(vi\) [Effective date]{.underline}. Generally, paragraph
(g)(2)(ii)(A)([1]{.underline}) of this section shall apply to taxable
years beginning one year after the first day of the first taxable year
following the date of publication of a Treasury decision adopting this
rule as a final regulation in the **Federal Register**. If a taxpayer
makes an election under §1.987-11(b), then the effective date of
paragraph (g)(2)(ii)(A)([1]{.underline}) of this section with respect to
the taxpayer shall be consistent with such election. []{.mark}
\* \* \* \* \*
Par. 3. Section 1.985-1 is amended as follows:
1\. Paragraph (d)(2), second sentence; and paragraph (f), [Example
9]{.underline} and [Example]{.underline} 10(i), ninth sentence are
revised.
2\. Paragraph (f), [Example 11]{.underline} is removed.
3\. Paragraph (f), [Example 12]{.underline} is redesignated as [Example
11]{.underline}.
4\. Paragraph (g) is added.
The revisions and addition read as follows:
[§1.985-1 Functional currency.]{.underline}
\* \* \* \* \*
\(d\) \* \* \*
\(2\) \* \* \*The amount of income or loss or earnings and profits (or
deficit in earnings and profits) of each QBU in its functional currency
shall then be translated into the foreign corporation's functional
currency under the principles of section 987.
\* \* \* \* \*
\(f\) [Examples]{.underline}. \* \* \*
[Example (9)]{.underline}. (i) The facts are the same as in [Example
(7)]{.underline}. In addition, assume that in 1987 branch A has items of
earnings of 100 FC and branch B has items of earnings of 100 LC as
determined under section 987. S translates branch A's and branch B's
items of earnings and profits into its functional currency under the
principles of section 987.
[Example (10).]{.underline} (i) \* \* \* Assume that B's items of income
of 200 DCs when properly translated under the principles of section 987
is equal to 100LCs. \* \* \*
\* \* \* \* \*
\(g\) [Effective date]{.underline}. Generally, the revisions to the
second sentence of paragraph (d)(2), [Example 9]{.underline}, and
[Example 10]{.underline} shall apply to taxable years beginning one year
after the first day of the first taxable year following the date of
publication of a Treasury decision adopting this rule as a final
regulation in the **Federal Register**. If a taxpayer makes an election
under §1.987-11(b), then the effective date of these revisions with
respect to the taxpayer shall be consistent with such election.
[]{.mark}
Par 4. Section 1.985-5 is revised to read as follows:
[§1.985-5 Adjustments required upon change in functional
currency]{.underline}.
\(a\) [In general]{.underline}. This section applies in the case of a
taxpayer, qualified business unit (QBU) or section 987 QBU as defined in
§1.987-1(b)(2) changing from one functional currency (old functional
currency) to another functional currency (new functional currency). A
taxpayer, QBU, or section 987 QBU subject to the rules of this section
shall make the adjustments set forth in the 3-step procedure described
in paragraphs (b) through (e) of this section. Except as otherwise
provided in this section, the adjustments shall be made on the last day
of the taxable year ending before the year of change as defined in
§1.481-1(a)(1). Gain or loss required to be recognized under paragraphs
(b), (d)(2), (e)(2), and (e)(4)(iii) of this section is not subject to
section 481 and, therefore, the full amount of the gain or loss must be
included in income or earnings and profits on the last day of the
taxable year ending before the year of change. Except as provided in
§1.985-6, a QBU or section 987 QBU with a functional currency for its
first taxable year beginning in 1987 that is different from the currency
in which it had kept its books and records for United States accounting
and tax accounting purposes for its prior taxable year shall apply the
principles of this section for purposes of computing the relevant
functional currency items, such as earnings and profits, basis of an
asset, and amount of a liability, as of the first day of a taxpayer\'s
first taxable year beginning in 1987. However, a QBU that changes to the
dollar pursuant to §1.985-1(b)(2) after 1987 shall apply §1.985-7.
\(b\) [Step 1 Taking into account exchange gain or loss on certain
section 988 transactions]{.underline}. The taxpayer, QBU or section 987
QBU shall recognize or otherwise take into account for all purposes of
the Internal Revenue Code the amount of any unrealized exchange gain or
loss attributable to a section 988 transaction (as defined in section
988(c)(1)(A), (B), and (C)) that, after applying section 988(d), is
denominated in terms of or determined by reference to the new functional
currency. The amount of such gain or loss shall be determined without
regard to the limitations of section 988(b) (that is, whether any gain
or loss would be realized on the transaction as a whole). The character
and source of such gain or loss shall be determined under section 988.
\(c\) [Step 2 Determining the new functional currency basis of property
and the new functional currency amount of liabilities and any other
relevant items]{.underline}. Except as otherwise provided in this
section, the new functional currency adjusted basis of property and the
new functional currency amount of liabilities and any other relevant
items (for example, items described in section 988(c)(1)(B)(iii)) shall
equal the product of the amount of the old functional currency adjusted
basis or amount multiplied by the new functional currency/old functional
currency spot exchange rate on the last day of the taxable year ending
before the year of change (spot rate).
\(d\) [Step 3A Additional adjustments that are necessary when a QBU or
section 987 QBU changes functional currency]{.underline} \--(1) [QBU
changing to a functional currency other than the owner's functional
currency]{.underline}\--(i) [Rule]{.underline}. If a QBU or section 987
QBU changes to a functional currency other than the owner's functional
currency, the owner and section 987 QBU shall make the adjustments set
forth in either paragraph (d)(1)(ii) or (d)(1)(iii) of this section for
purposes of section 987.
\(ii\) [Where prior to the change the section 987 QBU and owner had
different functional currencies]{.underline}. If the section 987 QBU and
the owner had different functional currencies prior to the change, the
owner and section 987 QBU shall make the following adjustments in the
year of change.
\(A\) [Determining the owner functional currency net value of the
section 987 QBU under
§1.987-4(d)(1)(i)(B)]{.underline}\--[(1)]{.underline} [Historic
items]{.underline}. For purposes of determining the owner functional
currency net value of the section 987 QBU for the year of change under
§1.987-4(d)(1)(i)(B), the owner or section 987 QBU shall first translate
the section 987 historic items from the QBU's old functional currency
into its owner's functional currency using the historic exchange rate as
defined in §1.987-1(c)(3). The owner or section 987 QBU shall then
translate the section 987 historic items as defined in §1.987-1(e) from
the owner's functional currency into the QBU's new functional currency
using the spot exchange rate between the section 987 QBU's new
functional currency and the owner's functional currency on the last day
of the taxable year ending before the year of change.
([2]{.underline}) [Marked items]{.underline}. For purposes of
determining the owner functional currency net value of the section 987
QBU for the year of change under §1.987-4(d)(1)(i)(B), the owner or
section 987 QBU shall translate the section 987 QBU's section 987 marked
items as defined in §1.987-1(d) from the section 987 QBU's old
functional currency into the QBU's new functional currency using the new
functional currency/old functional currency spot exchange rate on the
last day of the taxable year ending before the year of change.
\(B\) [Net unrecognized section 987 gain or loss]{.underline}. No
adjustment to the owner's net unrecognized section 987 gain or loss is
necessary.
\(iii\) [Where prior to the change the QBU and the taxpayer had the same
functional currency]{.underline}. If a QBU with the same functional
currency of the taxpayer is changing to a new functional currency
different from the taxpayer, and as a result of the change the taxpayer
will be an owner of a section 987 QBU (see §1.987-1), the taxpayer and
section 987 QBU shall become subject to section 987 for the year of
change and subsequent years.
\(2\) [Section 987 QBU changing to the owner's functional
currency]{.underline}. If a section 987 QBU changes its functional
currency to its owner's functional currency, the section 987 QBU shall
be treated as if it terminated on the last day of the taxable year
ending before the year of change. See §§1.987-5 and 1.987-8 for the
effect of a termination.
\(e\) [Step 3B Additional adjustments that are necessary when a
taxpayer/owner changes functional currency]{.underline} (1)
[Corporations]{.underline}. The amount of a corporation\'s new
functional currency earnings and profits and the amount of its new
functional currency paid-in capital shall equal the product of the old
functional currency amounts of such items multiplied by the spot rate.
The foreign income taxes and accumulated profits or deficits in
accumulated profits of a foreign corporation that were maintained in
foreign currency for purposes of section 902 and that are attributable
to taxable years of the foreign corporation beginning before January 1,
1987, also shall be translated into the new functional currency at the
spot rate.
\(2\) [Collateral consequences to a United States shareholder of a
corporation changing to the United States dollar as its functional
currency]{.underline}. A United States shareholder (within the meaning
of section 951(b) or section 953(c)(1)(A)) of a controlled foreign
corporation (within the meaning of section 957 or section 953(c)(1)(B))
changing its functional currency to the dollar shall recognize foreign
currency gain or loss computed under section 986(c) as if all previously
taxed earnings and profits, if any, (including amounts attributable to
pre-1987 taxable years that were translated from dollars into functional
currency in the foreign corporation\'s first post-1986 taxable year)
were distributed immediately prior to the change. Such a shareholder
shall also recognize gain or loss attributable to the corporation\'s
paid-in capital to the same extent, if any, that such gain or loss would
be recognized under the regulations under section 367(b) if the
corporation was liquidated completely.
\(3\) [Taxpayers that are not corporations]{.underline}. \[Reserved\].
\(4\) [Adjustments to a section 987 QBU's balance sheet and net
accumulated unrecognized section 987 gain or loss when an owner changes
functional currency]{.underline}
\(i\) [Owner changing to a functional currency other than the section
987 QBU's functional currency]{.underline}. If an owner changes to a
functional currency that differs from the functional currency of its
section 987 QBU, the owner shall make the following adjustments in the
year of change.
\(A\) [Determining the owner functional currency net value of the
section 987 QBU under
§1.987-4(d)(1)(i)(B)]{.underline}\--([1]{.underline}) [Historic
items]{.underline}. For purposes of determining the owner functional
currency net value of the section 987 QBU for the year of change under
§1.987-4(d)(1)(i)(B), the owner shall first translate the QBU's section
987 historic items into the owner's old functional currency at the
historic exchange rate as defined in §1.987-1(c)(3). The owner shall
then translate the section 987 historic items into its new functional
currency using the new functional currency/old functional currency spot
rate on the last day of the taxable year ending before the year of
change.
([2]{.underline}) [Marked items]{.underline}. For purposes of
determining the owner functional currency net value of the section 987
QBU for the year of change under §1.987-4(d)(1)(i)(B), the owner or
section 987 QBU shall translate the QBU's section 987 marked items from
the owner's old functional currency into the owner's new functional
currency using the new functional currency/old functional currency spot
exchange rate on the last day of the taxable year ending before the year
of change.
\(B\) [Translation of net unrecognized section 987 gain or
loss]{.underline}. The owner shall translate any net unrecognized
section 987 gain or loss determined under §1.987-4 from its old
functional currency into its new functional currency using the new
functional currency/old functional currency spot exchange rate on the
last day of the taxable year ending before the year of change.
\(ii\) [Taxpayer with the same functional currency as its QBU changing
to a different functional currency]{.underline}. If a taxpayer with the
same functional currency as its QBU changes to a new functional currency
and as a result of the change the taxpayer will be an owner of a section
987 QBU (see §1.987-1), the taxpayer and section 987 QBU shall become
subject to section 987 for the year of change and subsequent years.
\(iii\) [Owner changing to the same functional currency as the section
987 QBU]{.underline}. If an owner changes to the same functional
currency as its section 987 QBU, such section 987 QBU shall be treated
as if it terminated on last day of the taxable year ending before the
year of change. See §§1.987-5 and 1.987-8 for the effect of a
termination.
\(f\) [Examples]{.underline}. The provisions of this section are
illustrated by the following example:
[Example]{.underline}. S, a calendar year foreign corporation, is wholly
owned by domestic corporation P. The Commissioner granted permission to
change S\'s functional currency from the LC to the FC beginning January
1, 1993. The LC/FC exchange rate on December 31, 1992, is 1 LC/2 FC. The
following shows how S must convert the items on its balance sheet from
the LC to the FC.
------------------------------------------- --------------------- -------------------
1:2
LC FC
Assets:
Cash on hand 40,000 80,000
Accounts Receivable 10,000 20,000
Inventory 100,000 200,000
100,000 FC Bond (100,000 LC historical fn1 50,000 100,000
basis)
Fixed assets:
Property 200,000 400,000
Plant 500,000 1,000,000
Accumulated Depreciation (200,000) (400,000)
Equipment 1,000,000 2,000,000
Accumulated Depreciation (400,000) (800,000)
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-\--
Total Assets 1,300,000 2,600,000
Liabilities:
Accounts Payable 50,000 100,000
Long-term Liabilities 400,000 800,000
Paid-in-Capital 800,000 1,600,000
Retained Earnings fn2 50,000 100,000
\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-\--
Total Liabilities and Equity 1,300,000 2,600,000
------------------------------------------- --------------------- -------------------
fn1 Under paragraph (b) of this section, S will recognize a 50,000 LC
loss (100,000 LC basis - 50,000 LC value) on the bond resulting from the
change in functional currency. Thus, immediately before the change, S\'s
basis in the FC bond (taking into account the loss) is 50,000 LC.
fn2 The amount of S\'s LC retained earnings reflects the 50,000 LC loss
on the bond.
\(g\) [Effective date]{.underline}. Generally, this regulation shall
apply to taxable years beginning one year after the first day of the
first taxable year following the date of publication of a Treasury
decision adopting this rule as a final regulation in the **Federal
Register**. If a taxpayer makes an election under §1.987-11(b), then the
effective date of this regulation with respect to the taxpayer shall be
consistent with such election.
Par. 5. Sections 1.987-1 through 1.987-4 and §§1.987-6 through 1.987-11
are added and §1.987-5 is revised to read as follows:
[§1.987-1 Scope, definitions and special rules]{.underline}.
\(a\) [In general]{.underline}. These regulations provide rules for
determining the taxable income or loss of a taxpayer with respect to a
section 987 qualified business unit (section 987 QBU) as defined in
paragraph (b)(2) of this section. Further, these regulations provide
rules for determining the timing, amount, character and source of
section 987 gain or loss recognized with respect to a section 987 QBU.
This section addresses the scope of these regulations and provides
certain definitions and special rules. Section 1.987-2 provides rules
for attributing assets and liabilities and items of income, gain,
deduction, and loss to an eligible QBU and a section 987 QBU. It also
provides rules regarding transfers and the translation of items
transferred to a section 987 QBU. Section 1.987-3 provides rules for
determining and translating the section 987 taxable income or loss of a
taxpayer with respect to a section 987 QBU. Section 1.987-4 provides
rules for determining net unrecognized section 987 gain or loss. Section
1.987-5 provides rules regarding the recognition of section 987 gain or
loss. Section 1.987-6 provides rules regarding the character and source
of section 987 gain or loss. Section 1.987-7 provides rules with respect
to partnerships and rules necessary to coordinate the provisions of
section 987 with subchapter K. Section 1.987-8 provides rules regarding
the termination of a section 987 QBU. Section 1.987-9 provides rules
regarding the recordkeeping required under section 987. Section 1.987-10
provides transition rules. Section 1.987-11 provides the effective date
of these regulations.
\(b\) [Scope of section 987 and definitions]{.underline}\--(1)
[Taxpayers subject to section 987]{.underline}\--(i) [In
general]{.underline}. Except as provided in paragraphs (b)(1)(ii) and
(iii) of this section, an individual or corporation is subject to
section 987 if such person is an owner (as defined in paragraphs (b)(4)
and (5) of this section) of an eligible QBU (as defined in paragraph
(b)(3) of this section) that is a section 987 QBU (as defined in
paragraph (b)(2) of this section). Such individual or corporation, and
any section 987 QBU owned by such person, must comply with these
regulations.
\(ii\) [De minimis rule for certain indirectly owned section 987
QBUs]{.underline}. An individual or corporation that owns a section 987
QBU indirectly through a section 987 partnership may elect not to apply
these regulations for purposes of taking into account the section 987
gain or loss of such section 987 QBU if the individual or corporation
owns, directly or indirectly, less than five percent of either the total
capital or the total profits interest in the section 987 partnership as
determined on the date of acquisition of such interest or on the date
such interest is increased or decreased. For purposes of this paragraph
(b)(1)(ii), ownership of a capital or profits interest in a partnership
shall be determined in accordance with the rules for constructive
ownership of stock provided in section 267(c), other than section
267(c)(3). See §1.987-3 for purposes of determining the section 987
taxable income or loss attributable to such section 987 QBU.
\(iii\) [Inapplicability to certain entities]{.underline}. These
regulations do not apply to banks, insurance companies and similar
financial entities (including, solely for purposes of section 987,
leasing companies, finance coordination centers, regulated investment
companies and real estate investment trusts). Further, these rules do
not apply to trusts, estates and S corporations.
\(2\) [Definition of a section 987 QBU]{.underline}\--(i) [In
general]{.underline}. A section 987 QBU is an eligible QBU, as defined
in paragraph (b)(3) of this section, that has a functional currency
different from its owner. The functional currency of an eligible QBU
shall be determined under §1.985-1, taking into account all of the QBU's
activities before the application of §1.987-7.
\(ii\) [Section 987 QBU grouping election]{.underline}\--(A) [In
general]{.underline}. Except as provided in paragraphs
(b)(2)(ii)(B)([1]{.underline}) through ([3]{.underline}) of this
section, an owner may elect pursuant to paragraph (f) of this section to
treat, solely for purposes of section 987, all section 987 QBUs with the
same functional currency as a single section 987 QBU.
\(B\) [Special grouping rules for section 987 QBUs owned indirectly
through a partnership]{.underline}\--([1]{.underline}) [In
general]{.underline}. An owner may elect to treat all section 987 QBUs
with the same functional currency owned indirectly though a single
section 987 partnership as a single section 987 QBU.
([2]{.underline}) [Election not available to group section 987 QBUs
owned indirectly through different partnerships]{.underline}. An owner
cannot elect to treat multiple section 987 QBUs with the same functional
currency as a single section 987 QBU if such QBUs are owned indirectly
through different section 987 partnerships.
([3]{.underline}) [Election not available to group section 987 QBUs
owned directly and indirectly]{.underline}. An owner cannot elect to
treat multiple section 987 QBUs with the same functional currency owned
directly, and indirectly through a section 987 partnership, as a single
section 987 QBU.
\(3\) [Definition of an eligible QBU]{.underline}\--(i) [In
general]{.underline}. The term [eligible QBU]{.underline} means
activities of an individual, corporation, partnership, or an entity
disregarded as an entity separate from its owner for U.S. Federal income
tax purposes (DE), if\--
\(A\) The activities constitute a trade or business as defined in
§1.989(a)-1(c);
\(B\) A separate set of books and records is maintained as defined in
§1.989(a)-1(d) with respect to the activities, and assets and
liabilities used in conducting such activities are reflected on such
books and records under §1.987-2(b); and
\(C\) The activities are not subject to the Dollar Approximate Separate
Transactions Method (DASTM) rules of §1.985-3.
\(ii\) [Exclusion of DEs and certain QBUs]{.underline}. A DE itself is
not an eligible QBU (even though a DE may have activities that qualify
as an eligible QBU). In addition, an eligible QBU shall include a QBU
defined in §1.989(a)-1(b) only if the requirements contained in
paragraphs (b)(3)(i)(A) through (C) of this section are satisfied with
respect to such QBU. Thus, for example, neither a corporation nor a
partnership itself is an eligible QBU (even though a corporation and a
partnership may have activities that qualify as an eligible QBU).
\(4\) [Definition of the term "owner"]{.underline}. For purposes of
section 987, only an individual or corporation may be an owner of an
eligible QBU. An individual or corporation is an owner of an eligible
QBU if\--
\(i\) [Direct ownership]{.underline}*.* The individual or corporation is
the tax owner of the assets and liabilities of an eligible QBU as
defined in paragraph (b)(3) of this section; or
\(ii\) [Indirect ownership]{.underline}. In the case of an individual or
corporation that is a partner in a partnership, the individual or
corporation is allocated, under §1.987-7, all or a portion of the assets
and liabilities of an eligible QBU of such partnership.
\(5\) [Exception with respect to an eligible QBU or section 987 QBU of
an owner]{.underline}. The term [owner]{.underline} for section 987
purposes does not include an eligible QBU or a section 987 QBU of an
owner. For example, a section 987 branch, as defined in paragraph
(b)(6)(i) of this section is not an owner of another section 987 branch,
regardless of its functional currency.
\(6\) [Other definitions]{.underline}. Solely for purposes of section
987, the following definitions shall apply.
\(i\) [Section 987 branch]{.underline}. A section 987 branch is an
eligible QBU of an individual, partnership, DE, or corporation, all or a
portion of which is a section 987 QBU. Assets and liabilities of an
eligible QBU of a partnership that are allocated to a partner under
§1.987-7 are considered to be a section 987 QBU of such partner,
provided such partner has a functional currency different from that of
such eligible QBU.
\(ii\) [Section 987 partnership]{.underline}. A section 987 partnership
is a partnership that has one or more section 987 branches.
\(iii\) [Section 987 DE]{.underline}. A section 987 DE is a DE that has
one or more section 987 branches.
\(7\) [Examples]{.underline}. The following examples illustrate the
principles of paragraph (b) of this section. Except as otherwise
provided, the following facts are assumed for purposes of these
examples. X is a domestic corporation, has the U.S. dollar as its
functional currency, and uses the calendar year as its taxable year.
Business A and Business B are eligible QBUs, maintain books and records
that are separate from the books and records of the entity that owns
such eligible QBUs, and have the euro and the Japanese yen,
respectively, as their functional currencies. Finally, DE1 and DE2 are
entities that are disregarded as entities separate from their owner for
U.S. tax purposes, have no assets or liabilities, and conduct no
activities.
[Example 1]{.underline}. (i) [Facts]{.underline}. X owns Business A and
the interests in DE1. DE1 maintains a separate set of books and records
that are kept in British pounds. DE1 owns British pounds and 100% of the
stock of a foreign corporation, FC. DE1 is liable on a pound-denominated
obligation to a lender that was incurred to acquire the stock of FC. The
FC stock, the pounds, and the liability incurred to acquire the FC stock
are recorded on DE1's separate books and records. DE1 has no other
assets or liabilities and conducts no activities (other than holding the
FC stock and servicing its liability).
\(ii\) [Analysis]{.underline}. (A) Pursuant to paragraph (b)(4)(i) of
this section, X is the direct owner of Business A because it is the tax
owner of the assets and liabilities of such business. Because Business A
is an eligible QBU with a functional currency that is different from the
functional currency of its owner, X, Business A is a section 987 QBU, as
defined in paragraph (b)(2) of this section. As a result, X and its
section 987 QBU, Business A, are subject to section 987.
\(B\) Holding the stock of FC and pounds, and servicing a single
liability, does not constitute a trade or business within the meaning of
§1.989(a)-1(c). Because the activities of DE1 do not constitute a trade
or business within the meaning of §1.989(a)-1(c), such activities are
not an eligible QBU. In addition, pursuant to paragraph (b)(3)(ii) of
this section, DE1 is not an eligible QBU. As a result, neither DE1 nor
its activities qualify as a section 987 QBU of X. Therefore, neither the
activities of DE1 nor DE1 are subject to section 987. For the foreign
currency treatment of payments on DE1's pound-denominated liability, see
§§1.987-2(b)(4) and 1.988-1(a)(4).
[Example 2]{.underline}. (i) [Facts]{.underline}. X owns the interests
in DE1. DE1 owns Business A and the interests in DE2. The only
activities of DE1 are Business A activities and holding the interests in
DE2. DE2 owns Business B and Business C. For purposes of this example,
Business B does not maintain books and records that are separate from
its owner, DE2. Instead, the activities of Business B are reflected on
the books and records of DE2, which are maintained in Japanese yen. In
addition, Business C has the U.S. dollar as its functional currency,
maintains books and records that are separate from the books and records
of DE2, and is an eligible QBU.
\(ii\) [Analysis]{.underline}. (A) Pursuant to paragraph (b)(3)(ii) of
this section, DE1 and DE2 are not eligible QBUs. Pursuant to paragraph
(b)(3)(i) of this section, the Business B and Business C activities of
DE2, and the Business A activities of DE1, are eligible QBUs. Moreover,
pursuant to paragraph (b)(4) this section, DE1 is not the owner of the
Business A, Business B, or Business C eligible QBUs, and DE2 is not the
owner of the Business B or Business C eligible QBUs. Instead, pursuant
to paragraph (b)(4)(i) of this section, X is the direct owner of the
Business A, Business B, and Business C eligible QBUs.
\(B\) Because Business A and Business B are eligible QBUs with
functional currencies that are different than the functional currency of
X, Business A and Business B are section 987 QBUs as defined in
paragraph (b)(2) of this section. Therefore, X, and these QBUs, are
subject to section 987. Under paragraph (b)(6)(iii) of this section, DE1
and DE2 are section 987 DEs.
\(C\) The Business C eligible QBU has the same functional currency as X.
Therefore, the Business C eligible QBU is not a section 987 QBU. As a
result, X is not subject to section 987 with respect to its Business C
eligible QBU.
[Example 3]{.underline}. (i) [Facts]{.underline}. X owns DE1. DE1 owns
Business A and Business B. For purposes of this example, assume Business
B has the euro as its functional currency.
\(ii\) [Analysis]{.underline}. (A) Pursuant to paragraph (b)(3)(ii) of
this section, DE1 is not an eligible QBU. Moreover, pursuant to
paragraph (b)(4) of this section, DE1 is not the owner of the Business A
or Business B eligible QBUs. Instead, pursuant to paragraph (b)(4)(i) of
this section, X is the direct owner of the Business A and Business B
eligible QBUs.
\(B\) Business A and Business B constitute two separate eligible QBUs
with the euro as their respective functional currency. Accordingly,
Business A and Business B are section 987 QBUs of X. X may elect to
treat Business A and Business B as a single section 987 QBU pursuant to
paragraph (b)(2)(ii)(A) of this section. If such election is made,
pursuant to paragraph (b)(4)(i) of this section, X is the direct owner
of the Business AB section 987 QBU that includes the activities of both
the Business A section 987 QBU and the Business B section 987 QBU. In
addition, pursuant to paragraph (b)(4) of this section, DE1 is not
treated as the owner of the Business AB section 987 QBU. X, and its AB
section 987 QBU, are subject to section 987. Under paragraph (b)(6)(iii)
of this section, DE1 is a section 987 DE.
[Example 4]{.underline}. (i) [Facts]{.underline}. X is a partner in P, a
partnership. FC, a controlled foreign corporation (as defined in section
957(a)) of X with the Japanese yen as its functional currency, is the
only other partner in P. P owns DE1 and Business A. DE1 owns Business B.
\(ii\) [Analysis]{.underline}. (A) Pursuant to paragraph (b)(3)(ii) of
this section, P and DE1 are not eligible section 987 QBUs. Moreover,
pursuant to paragraph (b)(4) of this section, neither P nor DE1 is the
owner of the Business A eligible QBU or the Business B eligible QBU for
section 987 purposes. Instead, pursuant to paragraph (b)(4)(ii) of this
section, X and FC are indirect owners of the Business A eligible QBU and
the Business B eligible QBU to the extent they are allocated assets and
liabilities of such businesses under §1.987-7. Under paragraphs
(b)(6)(ii) and (iii) of this section, respectively, P is a section 987
partnership and DE1 is a section 987 DE.
\(B\) Because Business A and Business B are eligible QBUs with a
different functional currency than X, the portions of Business A and
Business B allocated to X under §1.987-7 are section 987 QBUs of X. As a
result, X and its section 987 QBUs are subject to section 987.
\(C\) Because the Business A eligible QBU has a different functional
currency than FC, the portion of the Business A eligible QBU that is
allocated to FC under §1.987-7 is a section 987 QBU, and FC and its
section 987 QBU are subject to section 987. However, the Business B
eligible QBU has the same functional currency as FC. Therefore, the
portion of the Business B eligible QBU that is allocated to FC, under
§1.987-7, is not a section 987 QBU. As a result, FC is not subject to
section 987 with respect to its Business B eligible QBU.
[Example 5]{.underline}. (i) [Facts]{.underline}. X owns all of the
interests in DE1. DE1 owns Business A. DE1 owns all of the interests in
DE2. DE2 owns Business B. DE2 owns all of the interests in DE3, an
entity disregarded as an entity separate from its owner. DE3 owns
Business C, which is an eligible QBU with the Russian ruble as its
functional currency.
\(ii\) [Analysis]{.underline}. Pursuant (b)(3)(ii) of this section, DE1,
DE2 and DE3 are not eligible QBUs. Pursuant to paragraph (b)(3)(i) of
this section, the Business A, Business B and Business C activities are
eligible QBUs. Moreover, pursuant to paragraph (b)(4) of this section, X
is the direct owner of the Business A, Business B and Business C
eligible QBUs. Pursuant to paragraph (b)(5) of this section, an eligible
QBU is not an owner of another eligible QBU. Accordingly, the Business A
eligible QBU is not the owner of the Business B eligible QBU, and the
Business B eligible QBU is not the owner of the Business C eligible QBU.
Since the Business A, Business B, and Business C eligible QBUs each has
a different functional currency than X, such eligible QBUs are section
987 QBUs of X. As a result, X and its section 987 QBUs are subject to
section 987. Under paragraphs (b)(6)(iii) of this section, DE1, DE2 and
DE3 are section 987 DEs.
\(c\) [Exchange rates]{.underline}. Solely for purposes of section 987,
the following definitions shall apply.
\(1\) [Spot rate]{.underline}\--(i) [In general]{.underline}. Except as
otherwise provided in this section, the [spot rate]{.underline} means
the rate determined under the principles of §1.988-1(d)(1), (2) and (4)
on the relevant day.
\(ii\) [Election to use a spot rate convention]{.underline}\--(A) [In
general]{.underline}. In lieu of the spot rate determined in paragraph
(c)(1)(i) of this section, an owner may elect under paragraph (f) of
this section to use a spot rate convention that reasonably approximates
the rate in paragraph (c)(1)(i) of this section. A spot rate convention
may be determined with respect to a rate at the beginning of a
reasonable period, the end of a reasonable period, an average of spot
rates for a reasonable period, or by reference to spot and forward rates
for a reasonable period. For example, in lieu of the spot rate
determined in paragraph (c)(1)(i) of this section, the spot rate for all
transactions during a monthly period can be determined pursuant to the
following conventions: the spot rate at the beginning of the current
month or at the end of the preceding month; the monthly average of daily
spot rates for the current or preceding month; or an average of the
beginning and ending spot rates for the current or preceding month.
Similarly, in lieu of the spot rate determined in paragraph (c)(1)(i) of
this section, the spot rate can be determined pursuant to an average of
the spot rate and the 30-day forward rate on a day of the preceding
month. Use of a spot rate convention that is consistent with the owner's
convention used for financial accounting purposes is presumed to
reasonably approximate the rate in paragraph (c)(1)(i) of this section.
The Commissioner can rebut this presumption if use of such a convention
results in a significant distortion of income or loss under the facts
and circumstances.
\(B\) [Election does not apply with respect to section 988
transactions]{.underline}. The election to use a spot rate convention
set forth in paragraph (c)(1)(ii)(A) of this section does not apply to
section 988 transactions of a section 987 QBU.
\(2\) [Yearly average exchange rate]{.underline}. Notwithstanding
§1.989(b)-1, for purposes of section 987, the yearly average exchange
rate is a rate determined by the owner that represents an average
exchange rate for the taxable year (or, if the section 987 QBU is sold
or terminated prior to the close of the taxable year, such portion of
the taxable year) computed under any reasonable method. For example, an
owner may determine the yearly average exchange rate based on a daily,
monthly or quarterly averaging convention, whether weighted or
unweighted, and may take into account forward rates for a period not to
exceed three months. The method for determining the yearly average
exchange rate must be consistently applied by the taxpayer.
\(3\) [Historic exchange rate]{.underline}\--(i) [In
general]{.underline}. Except as otherwise provided in these regulations,
the historic exchange rate shall be\--
\(A\) In the case of an asset that is transferred to a section 987 QBU,
the spot rate as defined in paragraphs (c)(1)(i) and (ii) of this
section on the day of transfer;
\(B\) In the case of an asset that is acquired by a section 987 QBU
(other than by a transfer to a section 987 QBU described in paragraph
(c)(3)(i)(A) of this section), the spot rate as defined in paragraphs
(c)(1)(i) and (ii) of this section on the day the asset is acquired;
\(C\) In the case of a liability that is entered into by a section 987
QBU, the spot rate as defined in paragraphs (c)(1)(i) and (ii) of this
section on the day the liability is entered into; and
\(D\) In the case of a liability that is transferred to a section 987
QBU, the spot rate as defined in paragraphs (c)(1)(i) and (ii) of this
section on the day the liability is transferred.
\(ii\) [Changed functional currency]{.underline}. In the case of a
section 987 QBU that previously changed its functional currency,
§1.985-5 shall be taken into account in determining the historic
exchange rate for an item.
\(d\) [Section 987 marked item]{.underline}. A section 987 marked item
is an asset (section 987 marked asset) or liability (section 987 marked
liability) that\--
\(1\) Is reflected on the books and records of a section 987 QBU under
§1.987-2(b);
\(2\) Would be a section 988 transaction if such item were held or
entered into directly by the owner of the section 987 QBU; and
\(3\) Is not a section 988 transaction with respect to the section 987
QBU.
\(e\) [Section 987 historic item]{.underline}\--(1) [In
general]{.underline}. A section 987 historic item is an asset (section
987 historic asset) or liability (section 987 historic liability)
that---
\(i\) Is reflected on the books and records of a section 987 QBU under
§1.987-2(b); and
> \(ii\) Is not a section 987 marked item as defined in paragraph (d) of
> this section.
\(2\) [Example]{.underline}. The following example illustrates the
application of paragraphs (d) and (e) of this section:
[Example]{.underline}. X is a domestic corporation with the dollar as
its functional currency. X owns all the interests in UK DE, a section
987 DE that owns a section 987 branch having the pound as its functional
currency. Items reflected on the branch's balance sheet include £100 of
cash, \$25 dollars of cash, a building with a basis of £1,000, a truck
with a basis of £75, a computer with a basis of £10, a 60 day receivable
for ¥15 and a note payable of £500. Under paragraph (d) of this section,
the £100 of cash and the £500 note payable are section 987 marked items.
The other items are section 987 historic items under this paragraph (e).
\(f\) [Elections]{.underline}\--(1) [In general]{.underline}. Elections
made under section 987 shall be treated as methods of accounting and,
except as otherwise provided in this paragraph (f), are governed by the
general rules concerning changes in methods of accounting.
\(2\) [Persons making the election]{.underline}\--(i) [In
general]{.underline}. Except as provided in paragraphs (f)(2)(ii) and
(iii) of this section, elections regarding section 987 shall be made by
the owner as defined in paragraph (b)(4) of this section.
\(ii\) [Controlled foreign corporations]{.underline}. Where a section
987 QBU is held by a controlled foreign corporation, elections shall be
made in accordance with §§1.952-2(c)(2)(iv) and 1.964-1(c) by its
controlling U.S. shareholders.
\(iii\) [Foreign corporations that are not controlled foreign
corporations]{.underline}. Where a section 987 QBU is held by a foreign
corporation that is not a controlled foreign corporation, elections
shall be made in accordance with the principles of §1.964-1(c) by the
majority domestic corporate shareholders.
\(3\) [When elections must be made]{.underline}. An election under
section 987 must be made with respect to a section 987 QBU for the first
taxable year in which the election is relevant in determining the
section 987 taxable income or loss, or section 987 gain or loss, of the
section 987 QBU.
\(4\) [Manner of making elections]{.underline}. Elections shall be made
under section 987 by attaching a statement to the timely filed tax
return of the owner, or other applicable person, for the first taxable
year in which the owner intends the election to be effective. The
statement must be dated and titled "Election(s) Under Section 987," must
indicate the regulation section that authorizes the election(s), and
must clearly describe the election(s) being made. Each section 987
election must remain a part of the books and records of the taxpayer and
be available to the IRS upon request.
\(5\) [Consent of the Commissioner]{.underline}. Elections made in
accordance with the rules of this paragraph (f) shall be considered made
with the consent of the Commissioner.
\(6\) [Failure to make election]{.underline}. If an owner is permitted
to file an election pursuant to this paragraph (f), but fails to make
such election in a timely manner, the owner shall be considered to have
satisfied the timeliness requirement with respect to such election if
the owner is able to demonstrate to the Area Director, Field
Examination, Small Business/Self Employed or the Director, Field
Operations, Large and Mid-Size Business (Director) having jurisdiction
of the taxpayer's return for the taxable year, that such failure was due
to reasonable cause and not willful neglect. The previous sentence shall
only apply if, once the owner becomes aware of the failure, the owner
attaches the election, as well as a written statement setting forth the
reasons for the failure to timely comply, to an amended income tax
return that amends the return to which the election should have been
attached under the rules of this paragraph (f). In determining whether
the owner has reasonable cause, the Director shall consider whether the
taxpayer acted reasonably and in good faith. Whether the taxpayer acted
reasonably and in good faith will be determined after considering all
the facts and circumstances. The Director shall notify the owner in
writing within 120 days of the filing if it is determined that the
failure to comply was not due to reasonable cause, or if additional time
will be needed to make such determination. If the Director fails to
notify the owner within 120 days of the filing, the owner shall be
considered to have demonstrated to the Director that such failure was
due to reasonable cause and not willful neglect.
\(7\) [Revocation of election]{.underline}\--(i) [In
general]{.underline}. Elections under section 987 cannot be revoked
without the consent of the Commissioner. The Commissioner will consider
allowing the revocation of an election if the taxpayer can demonstrate
significantly changed circumstance or such other circumstances that in
the judgment of the Commissioner clearly demonstrates a substantial
non-tax business reason for revoking the election.
\(ii\) [Exception in the case of certain acquisitions]{.underline}.
\[Reserved\].
[§1.987-2 Attribution of items to a section 987 QBU; the definition of a
transfer and]{.underline}
[related rules]{.underline}.
\(a\) [Scope and general principles]{.underline}. Paragraph (b) of this
section provides rules for attributing assets and liabilities, and items
of income, gain, deduction, and loss, to an eligible QBU and a section
987 QBU. Assets and liabilities are attributed to an eligible QBU, all
or a portion of which is a section 987 QBU for purposes of section 987.
Items of income, gain, deduction, and loss are attributed to an eligible
QBU all or a portion of which is a section 987 QBU for purposes of
computing the section 987 taxable income of such section 987 QBU, and of
the owner of such section 987 QBU. Paragraph (c) of this section defines
a transfer for purposes of section 987. Paragraph (d) of this section
provides translation rules for transfers to a section 987 QBU.
\(b\) [Attribution of items to an eligible QBU]{.underline}\--(1)
[General rules]{.underline}. Except as provided in paragraphs (b)(2) and
(3) of this section, items are attributable to an eligible QBU to the
extent they are reflected on the separate set of books and records, as
defined in §1.989(a)-1(d), of the eligible QBU. For purposes of this
section, the term "item" refers to assets and liabilities, and items of
income, gain, deduction, and loss. Items that are attributed to an
eligible QBU pursuant to this section must be adjusted to conform to
U.S. tax principles as provided in §1.987-4(e). These attribution rules
apply solely for purposes of section 987. For example, the allocation
and apportionment of interest expense under section 864(e) is
independent of the rules under section 987.
\(2\) [Exceptions for non-portfolio stock, interests in partnerships,
and certain acquisition indebtedness]{.underline}\--(i) [General
rule]{.underline}. Except as provided in paragraph (b)(2)(ii) of this
section, the following shall not be considered to be on the books and
records of a an eligible QBU:
\(A\) Stock of a corporation (whether domestic or foreign).
\(B\) An interest in a partnership (whether domestic or foreign).
\(C\) A liability that was incurred to acquire the stock or an interest
in a partnership described in paragraphs (b)(2)(i)(A) or (B) of this
section, respectively.
\(D\) Income, gain, deduction, or loss arising from the items described
in paragraphs (b)(2)(i)(A) through (C) of this section. For example, a
section 951 inclusion with respect to stock of a foreign corporation
that is described in paragraph (b)(2)(i)(A) of this section shall not be
considered to be on the books and records of the eligible QBU.
\(ii\) [Portfolio stock]{.underline}. Paragraph (b)(2)(i)(A) of this
section shall not apply to stock of a corporation (whether domestic or
foreign) reflected on the books and records, within the meaning of
paragraph (b)(1) of this section, of an eligible QBU provided the owner
of the eligible QBU owns less than 10 percent of the total voting power
or value of all classes of stock of such corporation. For purposes of
this paragraph (b)(2)(ii), section 318(a) shall be applied in
determining ownership, except that in applying section 318(a)(2)(C), the
phrase "10 percent" is used instead of the phrase "50 percent."
\(3\) [Adjustments to items reflected on the books and
records]{.underline}\--(i) [General rule]{.underline}. If a principal
purpose of recording (or failing to record) an item on the books and
records of an eligible QBU is the avoidance of U.S. tax under section
987, the Commissioner may allocate any item between or among the
eligible QBU, the owner of such eligible QBU, and any other persons,
entities (including disregarded entities), or other QBUs within the
meaning of §1.989(a)-1(b) (including eligible QBUs). A transaction may
have such a principal purpose even though the tax avoidance purpose is
outweighed by other purposes when taken together. For purposes of this
paragraph (b)(3)(i), relevant factors for determining whether such U.S.
tax avoidance is a principal purpose of recording (or failing to record)
an item on the books and records of an eligible QBU shall include, but
are not limited to, the factors set forth in paragraphs (b)(3)(ii) and
(iii) of this section. The presence or absence of any factor, or of a
particular number of factors, is not determinative. Moreover, the weight
given to any factor (whether or not set forth in paragraphs (b)(3)(ii)
and (iii) of this section) depends on the particular case.
\(ii\) [Factors indicating no tax avoidance]{.underline}. For purposes
of paragraph (b)(3)(i) of this section, relevant factors which may
indicate that the recording (or failing to record) an item on the books
and records of an eligible QBU does not have as a principal purpose the
avoidance of U.S. tax under section 987 include the recording (or not
recording) of an item:
\(A\) For a significant and bona fide business purpose.
\(B\) In a manner that is consistent with the economics of the
underlying transaction.
\(C\) In accordance with generally accepted accounting principles (or
similar comprehensive body of professional accounting standards).
\(D\) In a manner that is consistent with the treatment of similar items
from year to year.
\(E\) In accordance with accepted conditions or practices in the
particular trade or business of the eligible QBU.
\(F\) In a manner that is consistent with an explanation of existing
internal accounting policies that is evidenced by documentation
contemporaneous with the timely filing of a return for the taxable year.
\(G\) As a result of a transaction between legal entities (that is, the
transfer of an asset, or the assumption of a liability), even if such
transaction is not regarded for Federal tax purposes (that is, a
transaction between a DE and its owner).
\(iii\) [Factors indicating tax avoidance]{.underline}. For purposes of
paragraph (b)(3)(i) of this section, relevant factors which may indicate
that a principal purpose of recording (or failing to record) an item on
the books and records of an eligible QBU is the avoidance of U.S. tax
under section 987 are\--
\(A\) The presence or absence of an item on the books and records that
is disregarded as transitory due to a circular flow of cash or other
property;
\(B\) The presence or absence of an item on the books and records that
is the result of one or more transactions that do not have economic
substance;
\(C\) The presence or absence of an item on the books and records that
results in the taxpayer (or person related to the taxpayer as defined in
section 267(b) or 707(b)) having offsetting positions in the functional
currency of a section 987 QBU; and
\(D\) The absence of any or all of the factors listed in paragraphs
(b)(3)(ii)(A) through (E) of this section.
\(4\) [Assets and liabilities of a partnership or DE that are not
attributed to an eligible QBU]{.underline}. Neither a partnership nor a
DE is an eligible QBU and, thus, cannot be a section 987 QBU. See
§1.987-1(b)(2) and (3). As a result, a partnership or DE may own assets
and liabilities that are not attributed to an eligible QBU (or a section
987 QBU) as provided under this paragraph (b) and, therefore, are not
subject to section 987. For the foreign currency treatment of such
assets or liabilities, see §1.988-1(a)(4).
\(c\) [Transfers to and from section 987 QBUs]{.underline}\--(1) [In
general]{.underline}. The following rules apply for purposes of
determining whether there is a transfer of an asset or a liability from
the owner to a section 987 QBU, or from such section 987 QBU to the
owner. These rules apply solely for purposes of section 987.
\(2\) [Disregarded transactions]{.underline}\--(i) [General
rule]{.underline}. Solely for purposes of section 987, an asset or
liability shall be treated as transferred to a section 987 QBU if, as a
result of a disregarded transaction, such asset or liability is
reflected on the books and records of the section 987 QBU within the
meaning of paragraph (b) of this section. Similarly, an asset or
liability shall be treated as transferred from a section 987 QBU if, as
a result of a disregarded transaction, such asset or liability is not
reflected on the books and records of the section 987 QBU within the
meaning of paragraph (b) of this section.
\(ii\) [Definition of a disregarded transaction]{.underline}. For
purposes of this section, the term [disregarded transaction]{.underline}
means a transaction that is not regarded for U.S. Federal tax purposes.
For purposes of this paragraph (c), a disregarded transaction shall be
treated as including the recording of an asset or liability on one set
of books and records, if the recording is the result of such asset or
liability being removed from another set of books and records of the
same person or entity (including a DE or partnership).
\(iii\) [Items derived from disregarded transactions
ignored]{.underline}. For purposes of section 987, disregarded
transactions shall not give rise to items of income, gain, deduction, or
loss that must be taken into account in determining section 987 taxable
income or loss under §1.987-3.
\(3\) [Transfers of assets to and from indirectly owned section 987
QBUs]{.underline}\--(i) [Contributions to partnerships]{.underline}.
Solely for purposes of section 987, an asset shall be treated as
transferred to an indirectly owned section 987 QBU if, and to the
extent, the asset is contributed to the section 987 partnership that
carries on the section 987 QBU provided that immediately following such
contribution, the asset is reflected on the books and records of the
section 987 QBU within the meaning of paragraph (b) of this section. For
purposes of this paragraph (c)(3)(i), deemed contributions under section
752 shall be disregarded.
\(ii\) [Distributions from partnerships]{.underline}*.* Solely for
purposes of section 987, an asset shall be treated as transferred from
an indirectly owned section 987 QBU if, and to the extent, the section
987 partnership that carries on the section 987 QBU distributes the
asset to a partner provided that, immediately prior to such
distribution, the asset was reflected on the books and records of such
section 987 QBU within the meaning of paragraph (b) of this section. For
purposes of this paragraph (c)(3)(ii), deemed distributions under
section 752 shall be disregarded.
\(4\) [Transfers of liabilities to and from indirectly owned section 987
QBUs]{.underline}\--(i) [Assumptions of partner
liabilities]{.underline}. Solely for purposes of section 987, a
liability shall be treated as transferred to an indirectly owned section
987 QBU if, and to the extent, the section 987 partnership assumes such
liability, provided that immediately following such assumption, the
liability is reflected on the books and records of the section 987 QBU
within the meaning of paragraph (b) of this section.
\(ii\) [Assumptions of partnership liabilities]{.underline}. Solely for
purposes of section 987, a liability shall be treated as transferred
from an indirectly owned section 987 QBU if, and to the extent, the
owner assumes such liability of the section 987 partnership provided
that immediately prior to such assumption, the liability was reflected
on the books and records of the section 987 QBU within the meaning of
paragraph (b) of this section.
\(5\) [Acquisitions and dispositions of interests in DEs and
partnerships]{.underline}. Solely for purposes of section 987, an asset
or liability shall be treated as transferred to a section 987 QBU if, as
a result of an acquisition (including by contribution) or disposition of
an interest in a section 987 partnership or section 987 DE, such asset
or liability is reflected on the books and records of the section 987
QBU. Similarly, an asset or liability shall be treated as transferred
from a section 987 QBU if, as a result of an acquisition or disposition
of an interest in a section 987 partnership or section 987 DE, the asset
or liability is not reflected on the books and records of the section
987 QBU.
\(6\) [Changes in form of ownership]{.underline}. For purposes of this
paragraph (c), mere changes in form of ownership of an eligible QBU
shall not result in a transfer to or from a section 987 QBU. Instead,
the determination of whether a transfer has occurred in such case shall
be made under paragraph (c)(5) of this section. For example, a
transaction with respect to an eligible QBU that causes a direct owner
of the eligible QBU to become an indirect owner of such eligible QBU,
shall not, except to the extent provided in paragraph (c)(5) of this
section, result in a transfer to or from a section 987 QBU. See for
example, Rev. Rul. 99-5 (1999-1 CB 434), Rev. Rul. 99-6 (1999-1 CB 432),
see §601.601(d)(2) of this chapter, and section 708 and the applicable
regulations.
\(7\) [Application of general tax law principles]{.underline}. General
tax law principles, including the circular cash flow, step-transaction,
and substance-over-form doctrines, apply for purposes of determining
whether there is a transfer of an asset or liability under this
paragraph (c).
\(8\) [Interaction with §1.988-1(a)(10)]{.underline}. See
§1.988-1(a)(10) for rules regarding the treatment of an intra-taxpayer
transfer of a section 988 transaction.
\(9\) [Examples]{.underline}. The following examples illustrate the
principles of this paragraph (c). For purposes of these examples, it is
assumed that X and Y are domestic corporations, have the dollar as their
functional currency, and use the calendar year as their taxable year. It
is also assumed that Business A and Business B are eligible QBUs,
maintain books and records that are separate from the books and records
of the entity that owns such eligible QBUs, and have the euro and the
yen, respectively, as their functional currencies. Finally, it is
assumed that DE1 and DE2 are entities that are disregarded as entities
separate from their owner for U.S. tax purposes. For purposes of
determining whether any of the transfers in these examples result in
remittances, see §1.987-5.
[Example 1]{.underline}. [Transfer to a directly owned section 987
QBU]{.underline}. (i) [Facts]{.underline}. X owns 100 percent of the
interests in DE1. DE1 owns Business A. X owns €100 that are not
reflected on the books and records of Business A. Business A is in need
of additional capital and, as a result, X loans the €100 to DE1 (to be
used in Business A) in exchange for a note.
\(ii\) [Analysis]{.underline}. (A) The loan from X to DE1 is not
regarded for U.S. federal tax purposes and therefore is a disregarded
transaction. As a result, the Business A note held by X, and the
liability of DE1 under the note, are not taken into account under this
section. However, the €100 of cash that was loaned from X to DE1 (and
used in Business A) pursuant to the note must be taken into account
under this paragraph (c).
\(B\) The loan of €100 from X to DE1 is a disregarded transaction and,
as a result of such disregarded transaction, the €100 is reflected on
the books and records of Business A. Therefore, there has been a
transfer of €100 from X to Business A. See §1.988-1(a)(10)(ii) for the
application of section 988 to X as a result of the loan.
[Example 2]{.underline}. [Transfer to a directly owned section 987
QBU]{.underline}. (i) [Facts]{.underline}. X owns Business A and
Business B. X owns equipment that is used in Business A and is reflected
on the books and records of Business A. Because Business A has excess
manufacturing capacity and X intends to expand the manufacturing
capacity of Business B, the equipment formerly used in Business A
discontinues being used in Business A and begins being used in Business
B. As a result of such equipment being used by Business B, the equipment
is removed from the books and records of Business A, and is recorded on
the books and records of Business B.
\(ii\) [Analysis]{.underline}. As a result of Business B using the
equipment formerly used by Business A, the equipment ceases to be
reflected on the books and records of Business A, and becomes reflected
on the books and records of Business B. As a result, such entries
constitute a disregarded transaction. Therefore, there has been a
transfer of the equipment from the Business A section 987 QBU to X, and
a transfer by X of such equipment to the Business B section 987 QBU.
[Example 3]{.underline}. [Intercompany sale of property between two
section 987 QBUs]{.underline}. (i) [Facts]{.underline}. X owns DE1 and
DE2. DE1 and DE2 own Business A and Business B, respectively. DE1 owns
equipment that is used in Business A and is reflected on the books and
records of Business A. For business reasons, DE1 sells a portion of the
equipment used in Business A to DE2 for cash. The cash used by DE2 to
acquire the equipment was generated by Business B and was reflected on
Business B's books and records. Following the sale, the cash and
equipment will be used in Business A and Business B, respectively. As a
result of such sale, the equipment is removed from the books and records
of Business A, and is recorded on the books and records of Business B.
Similarly, as a result of the sale, the cash is removed from the books
and records of Business B, and is recorded on the books and records of
Business A.
\(ii\) [Analysis]{.underline}. (A) The sale of equipment between DE1 and
DE2 is not regarded for Federal tax purposes and therefore is a
disregarded transaction. As a result, such sale is not taken into
account under this section and does not give rise to an item of income,
gain, deduction or loss pursuant to paragraph (c)(2)(iii) of this
section. However, the cash and equipment exchanged by DE1 and DE2 in
connection with the sale must be taken into account under this paragraph
(c).
\(B\) The sale of the equipment is a disregarded transaction and, as a
result of such disregarded transaction, the equipment ceases to be
reflected on the books and records of Business A, and becomes reflected
on the books and records of Business B. Therefore, there has been a
transfer of the equipment from DE1's Business A section 987 QBU owned by
X to X, and a subsequent transfer of such equipment from X to DE2's
Business B section 987 QBU, owned by X.
\(C\) As a result of the sale of equipment (that is, the disregarded
transaction), the cash proceeds cease to be reflected on the books and
records of Business B, and become reflected on the books and records of
Business A. Therefore, there has been a transfer of the cash from DE2's
Business B section 987 QBU owned by X to X, and a subsequent transfer of
such cash from X to DE1's Business A section 987 QBU, owned by X.
[Example 4]{.underline}. [Transactions between directly and indirectly
owned section 987 QBUs]{.underline}. (i) [Facts]{.underline}. X owns 50%
of the interest in P, a partnership. Y owns the other 50% interest in P.
P owns 100% of the interests in DE1 and DE2. DE1 owns Business A and DE2
owns Business B. X and Y each have a 50% allocable share of the assets
and liabilities of Business A and Business B, as determined under
§1.987-7, that constitute section 987 QBUs. In connection with Business
A, DE1 licenses intangible property to both DE2 and X. X enters into the
license agreement in a transaction other than in its capacity as a
partner of P and, therefore, the license is considered as occurring
between P and one who is not a partner within the meaning of section
707(a). DE2 uses the intangible property in Business B. Pursuant to the
license agreement, X and DE2 pay a €30 and €50 royalty, respectively, to
DE1.
\(ii\) [Analysis]{.underline}. (A) The license from DE2 to DE1 is not
regarded for U.S. tax purposes and, as a result, royalty payments under
the license are disregarded transactions. Thus, neither the payment nor
the receipt of the royalty pursuant to the license agreement gives rise
to an item of income, gain, deduction or loss pursuant to paragraph
(c)(2)(iii) of this section. However, the €50 of cash that is paid from
DE2 to DE1 pursuant to the license agreement must be taken into account
under this paragraph (c).
\(B\) As a result of the royalty payment from DE2 to DE1, €50 ceases
being reflected on the books and records of Business B, and becomes
reflected on the books and records of Business A. Accordingly, there has
been a transfer of €25 from the Business B section 987 QBUs of X and Y,
to X and Y, respectively. Similarly, there has been a transfer of €25
from X and Y to their respective Business A section 987 QBUs.
\(C\) The €30 royalty payment from X to DE1 is not a disregarded
transaction because it is regarded for U.S. Federal tax purposes. As a
result, it gives rise to an item of income and deduction that must be
taken into account in computing taxable income or loss of Business A
pursuant to §1.987-3. In addition, the payment does not give rise to a
transfer as defined in this paragraph (c).
[Example 5]{.underline}. [Acquisition of an interest in a
partnership]{.underline}. (i) [Facts]{.underline}. X owns 50% of the
interest in P, a partnership. Y owns the other 50% interest in P. P owns
Business A. X and Y each have a 50% allocable share of the assets and
liabilities of Business A as determined under §1.987-7, that constitute
section 987 QBUs. On December 31, year 1, Z, a domestic corporation with
the dollar as its functional currency, contributes cash to P in exchange
for a 20% interest in P. The cash Z contributes to P is not used in
Business A and is not reflected on Business A's books and records (but
is instead reflected on P's books and records). Immediately after Z's
contribution of cash to P, Z has a 20% allocable share of the assets and
liabilities of Business A as determined under §1.987-7. In addition,
immediately following such contribution X and Y each own a 40% interest
in P and have a 40% allocable share of the assets and liabilities of
Business A, as determined under §1.987-7, that constitute section 987
QBUs.
\(ii\) [Analysis]{.underline}. (A) As a result of Z's acquisition of an
interest in P, a section 987 partnership, 10% of the assets and
liabilities of Business A ceased being reflected on the books and
records of both X's and Y's section 987 QBUs. As a result, such amounts
are treated as if they are transferred from such section 987 QBUs to X
and Y.
\(B\) As a result of Z's acquisition of the interest in P, a section 987
partnership, Z was allocated 20% of the assets and liabilities of
Business A. Because Z and Business A have different functional
currencies, Z's portion of the Business A assets and liabilities
constitutes a section 987 QBU. Moreover, 20% of the assets and
liabilities of Business A are reflected on the books and records of Z's
section 987 QBU as a result of Z's acquisition of the interest in P.
Therefore, 20% of the assets and liabilities of Business A are treated
as transferred from Z to Z's section 987 QBU.
[Example 6]{.underline}. [Conversion of a DE to a partnership through a
sale of an interest]{.underline}. (i) [Facts]{.underline}. X owns 100%
of the interests in DE1. DE1 owns Business A. On December 31, year 1, Y
acquires 50% of the DE1 interests from X for cash. Immediately after
such acquisition, Y has a 50% allocable share of the assets and
liabilities of Business A as determined under §1.987-7.
\(ii\) [Analysis]{.underline}. (A) For Federal tax purposes DE1 is
converted to a partnership when Y purchases the 50% interest in DE1. Y's
purchase of 50% of X's interest in DE1 is treated as the purchase of 50%
of Business A, which is treated as held directly by X for Federal tax
purposes. Immediately after the deemed purchase of 50% of Business A, X
and Y are treated as contributing their respective interests in Business
A to a partnership. See Rev. Rul. 99-5 (situation 1), (1999-1 CB 434).
See §601.601(d)(2) of this chapter. For purposes of this paragraph (c),
these deemed transactions are not taken into account.
\(B\) As a result of Y's acquisition of 50% of X's interest in DE1, a
section 987 DE, 50% of the assets and liabilities of Business A ceased
being reflected on the books and records of X's section 987 QBU. As a
result, such amounts are treated as if they are transferred from X's
section 987 QBU to X.
\(C\) As a result of Y's acquisition of 50% of the interest in DE1, a
section 987 DE, Y was allocated 50% of the assets and liabilities of
Business A. Because Y and Business A have different functional
currencies, Y's portion of the Business A assets and liabilities
constitutes a section 987 QBU. Moreover, 50% of the assets and
liabilities of Business A are reflected on the books and records of Y's
section 987 QBU as a result of Y's acquisition of the 50% interest in
DE1. Therefore, 50% of the assets and liabilities of Business A are
treated as transferred by Y to Y's section 987 QBU.
[Example 7]{.underline}. [Conversion of a DE to a partnership through a
contribution]{.underline}. (i) [Facts]{.underline}. X owns 100% of the
interests in DE1. DE1 owns Business A. On December 31, year 1, Y
contributes property to DE1 in exchange for an interest in DE1. The
property transferred by Y to DE1 is used in Business A and is reflected
on the books and records of Business A. Immediately after such
contribution, X and Y each have a 50% allocable share of the assets and
liabilities of Business A as determined under §1.987-7.
\(ii\) [Analysis]{.underline}. (A) For Federal tax purposes DE1 is
converted to a partnership when Y contributes property to DE1 in
exchange for a 50% interest in DE1. Y's contribution is treated as a
contribution to a partnership in exchange for an ownership interest in
the partnership. X is treated as contributing all of Business A to the
partnership in exchange for a partnership interest. See Rev. Rul. 99-5
(situation 2), (1999-1 CB 434). See §601.601(d)(2) of this chapter. For
purposes of this paragraph (c), these deemed transactions are not taken
into account.
\(B\) As a result of Y's acquisition of a 50% interest in DE1, 50% of
the assets and liabilities of Business A ceased being reflected on the
books and records of X's section 987 QBU, and 50% of the assets
contributed by Y to DE1 are reflected on the books and records of such
section 987 QBU. As a result, 50% of the Business A assets are treated
as if they are transferred from X's section 987 QBU to X. Further, 50%
of the assets contributed by Y to DE1 are treated as if they are
transferred by X to X's section 987 QBU.
\(C\) Because Y and Business A have different functional currencies, Y's
portion of the Business A assets and liabilities (including the property
contributed by Y that is used in Business A) constitutes a section 987
QBU. As a result of Y's acquisition of a 50% interest in DE1, 50% of the
assets and liabilities of Business A are reflected on the books and
records of Y's section 987 QBU and, therefore, are treated as if they
are transferred by Y to such section 987 QBU.
[Example 8]{.underline}. [Termination of a partnership under section
708(b)]{.underline}. (i) [Facts]{.underline}. X owns 60% of the interest
in P, a partnership. Y owns the other 40% interest in P. P owns Business
A. X and Y have a 60% and 40% allocable share of the assets and
liabilities of Business A, respectively, as determined under §1.987-7,
that constitute section 987 QBUs. On December 31, year 1, X sells a 50%
interest in P to Y. After such sale, X and Y own 10% and 90%,
respectively, in P. In addition, after such sale, X and Y have a 10% and
90% allocable share of the assets and liabilities of Business A,
respectively, as determined under §1.987-7.
\(ii\) [Analysis]{.underline}. (A) X's sale of 50% of the interests in P
to Y causes P to terminate pursuant to section 708(b). As a result of
such termination, P is treated as if it contributes all of its assets
and liabilities to a new partnership in exchange for an interest in the
new partnership; and, immediately thereafter, P distributes 10% and 90%
of the interests in the new partnership to X and Y, respectively, in
liquidation of P. See §1.708-1(b)(4). For purposes of this paragraph
(c), these deemed transactions are not taken into account.
\(B\) As a result of Y's acquisition of a 50% interest in P from X, 50%
of the assets and liabilities of Business A ceased being reflected on
the books and records of X's section 987 QBU and become reflected on the
books and records of Y's section 987 QBU. As a result, 50% of the
Business A assets are treated as if they are transferred from X's
section 987 QBU to X. Further, 50% of the Business A assets are treated
as if they are transferred by Y to Y's section 987 QBU.
[Example 9]{.underline}. [Transfer of section 987 QBU to a
partnership]{.underline}. (i) [Facts]{.underline}. X owns Business A. On
December 31, year 1, X and Y form P, a partnership. X transfers Business
A to P in exchange for a 50% interest in P. Y transfers property to P in
exchange for the other 50% interest in P. The property Y transfers to P
is not used in Business A and is not reflected on the books and records
of Business A (but is instead reflected on the books and records of P).
After the formation of P, Business A continues to be an eligible QBU. In
addition, after the formation of P, X and Y each have a 50% allocable
share of the assets and liabilities of Business A, respectively, as
determined under §1.987-7.
\(ii\) [Analysis]{.underline}. As a result of X contributing Business A
to P, 50% of the assets and liabilities of Business A ceased being
reflected on the books and records of X's section 987 QBU, and became
reflected on the books and records of Y's section 987 QBU. As a result,
50% of the Business A assets are treated as if they are transferred from
X's section 987 QBU to X. Further, 50% of the Business A assets are
treated as if they are transferred from Y to Y's section 987 QBU.
[Example 10]{.underline}. [Contribution of assets to a
corporation]{.underline}. (i) [Facts]{.underline}. X owns Business A. On
December 31, year 1, X forms Z, a domestic corporation. X and Z do not
file a consolidated tax return. X contributes 50% of its Business A
assets and liabilities to Z in exchange for 100% of the stock of Z. The
Z stock is recorded on the books and records of Business A. After the
contribution, X continues to operate Business A, and Business A
continues to maintain separate books and records from X.
\(ii\) [Analysis]{.underline}. Even though the Z stock is recorded on
the books and records of Business A, it is not reflected on the books
and records for purposes of section 987 pursuant to paragraph (b)(2) of
this section. As a result, there has been a transfer of 50% of the
assets and liabilities of Business A to X, and a subsequent transfer of
such assets and liabilities to Z. The answer would be the same even if X
and Z filed a consolidated return.
[Example 11]{.underline}. [Transfers pursuant to general tax
principles]{.underline}. (i) [Facts]{.underline}. X owns 100 percent of
the stock of Y. Y owns 100 percent of the interests in DE1. DE1 owns
Business A. X owns €100. Because Business A is in need of additional
capital, X transfers the €100 to Y as a contribution to capital and, as
a result of such transfer, Business A records €100 on its separate books
and records. Y did not record the €100 on its separate books and
records.
\(ii\) [Analysis]{.underline}. As a result of the contribution of €100
from X to Y, the €100 is reflected on the books and records of Business
A. Pursuant to paragraph (c)(7) of this section, the €100 is treated as
if it was transferred first from X to Y. Therefore, the €100 recorded on
the books and records of Business A is treated as a transfer from Y to
Business A, even though there was no transaction between Y and Business
A. See also §1.988-1(a)(10)(ii) for the application of section 988 to Y
as a result of the transaction.
[Example 12]{.underline}. [Circular transfers]{.underline}. (i)
[Facts]{.underline}. X owns Business A. On December 30, year 1, Business
A purports to transfer €100 to X. On January 2, year 2, X purports to
transfer €50 to Business A. On January 4, year 2, X purports to transfer
another €50 to Business A. As of the end of year 1, X has an
unrecognized section 987 loss with respect to Business A, such that a
remittance, if respected, would result in recognition of a foreign
currency loss under section 987.
\(ii\) [Analysis]{.underline}. Because the transfers by Business A are
offset by a transfer from X that occurred in close temporal proximity,
pursuant to paragraph (c) of this section the IRS will scrutinize the
transaction and may disregard the purported transfers to and from
Business A for purposes of [section
987](http://www.lexis.com/research/buttonTFLink?_m=70c62933c149021f45c872a30c5dc789&_xfercite=<cite cc%3D"USA"><!%5BCDATA%5BNotice 2000-20%5D%5D><%2Fcite>&_butType=4&_butStat=0&_butNum=71&_butInline=1&_butinfo=26 U.S.C. 987&_fmtstr=FULL&docnum=1&_startdoc=1&wchp=dGLbVtz-zSkAW&_md5=30ec256d071a7ea3515542a8553f6b46).
[Example 13]{.underline}. [Transfers without economic
substance]{.underline}. (i) Facts. X owns Business A and Business B. On
January 1, year 1, Business A purports to transfer €100 to X. On January
4, year 1, X purports to transfer €100 to Business B. The account in
which Business B deposited the €100 is used to pay the operating
expenses and other costs of Business A. As of the end of year 1, X has
an unrecognized section 987 loss with respect to Business A, such that a
remittance, if respected, would result in recognition of a foreign
currency loss under section 987.
\(ii\) [Analysis]{.underline}. Because Business A continues to have use
of the transferred property, pursuant to paragraph (c) of this section,
the IRS will scrutinize the transaction and may disregard the €100
purported transfer from Business A to X for purposes of [section
987](http://www.lexis.com/research/buttonTFLink?_m=70c62933c149021f45c872a30c5dc789&_xfercite=<cite cc%3D"USA"><!%5BCDATA%5BNotice 2000-20%5D%5D><%2Fcite>&_butType=4&_butStat=0&_butNum=72&_butInline=1&_butinfo=26 U.S.C. 987&_fmtstr=FULL&docnum=1&_startdoc=1&wchp=dGLbVtz-zSkAW&_md5=2032f3e81dab3cd9888e509c93b83fb5).
[Example 14]{.underline}. [Offsetting positions in section 987
QBUs]{.underline}. (i) [Facts]{.underline}. X owns Business A and
Business B. Business A and Business B each has the euro as its
functional currency. X has not made a grouping election under
§1.987-1(b)(2)(ii). On January 1, year 1, X borrowed €1,000 from a third
party lender, recorded the liability with respect to the borrowing on
the books and records of Business A, and recorded the €1,000 of borrowed
cash on the books and records of Business B. On December 31, year 2,
when Business A has \$100 of net unrecognized section 987 loss and
Business B has \$100 of net unrecognized section 987 gain resulting from
the change in exchange rates with respect to the liability and the
€1,000 cash, X terminates the Business A section 987 QBU.
\(ii\) [Analysis]{.underline}. Because Business A and Business B have
offsetting positions in the euro, the IRS will scrutinize the
transaction to determine if a principal purpose of recording the
euro-denominated liability and the borrowed euros on the books and
records of Business A and Business B, respectively, was the avoidance of
tax under section 987. If such a principal purpose is present, the
Commissioner may reallocate the items (that is, the euros and the
euro-denominated liability) between Business A, Business B, and X, to
reflect the economic substance of the transaction.
[Example 15]{.underline}. [Offsetting positions with respect to a
section 987 QBU and a section 988 transaction]{.underline}. (i)
[Facts]{.underline}. X owns DE1, and DE1 owns Business A. On January 1,
year 1, X borrows €1,000 from a third party lender and records the
liability with respect to the borrowing on its books and records. X
contributes the €1,000 loan proceeds to DE1 and the €1,000 are reflected
on the books and records of Business A. On December 31, year 2, when
Business A has \$100 of net unrecognized section 987 loss resulting from
the €1,000 cash received from the borrowing, and the euro-denominated
borrowing, if repaid, would result in \$100 of gain under section 988, X
terminates the Business A section 987 QBU.
\(ii\) [Analysis]{.underline}. Because X and Business A have offsetting
positions in euro, the Internal Revenue Service will scrutinize the
transaction to determine whether a principal purpose of recording the
borrowed euros on the books and records of Business A, or not recording
the corresponding euro-denominated liability on the books and records of
Business A, was the avoidance of tax under section 987. If such a
principal purpose is present, the Commissioner may reallocate the items
(that is, the euros and the euro-denominated liability) between Business
A and X to reflect the economic substance of the transaction.
\(d\) [Translation of items transferred to a section 987
QBU]{.underline}\--(1) [In general]{.underline}\--(i)
[Assets]{.underline}. Except as otherwise provided in this section, the
adjusted basis of an asset transferred to a section 987 QBU shall be
translated into the section 987 QBU's functional currency at the spot
rate as defined in §1.987-1(c)(1)(i) and (ii) on the day of transfer. If
the asset transferred is denominated in (or determined by reference to)
the functional currency of the section 987 QBU (for example, cash or
note denominated in the functional currency of the section 987 QBU), no
translation is required.
\(ii\) [Liabilities]{.underline}. Except as otherwise provided in this
section, a liability of the owner that is transferred to a section 987
QBU, shall be translated into the section 987 QBU's functional currency
at the spot rate (as defined in §1.987-1(c)(1)(i) and (ii)) on the day
of transfer. If the liability transferred is denominated in (or
determined by reference to) the functional currency of the section 987
QBU, no translation is required.
\(2\) [Items denominated in the owner's functional
currency]{.underline}. Transactions described in section 988(c)(1)(i)
and (ii) and section 988(c)(1)(C) that are denominated in (or determined
by reference to) the owner's functional currency and that are
attributable to a section 987 QBU under paragraph (b) of this section,
shall not be translated and shall be carried on the balance sheet
described in §1.987-4(e) in the owner's functional currency.
[§1.987-3 Determination of section 987 taxable income or loss of an
owner of a section]{.underline}
[987 QBU]{.underline}.
\(a\) [Determination of the section 987 taxable income or loss of an
owner of a section 987 QBU]{.underline}. Except as otherwise provided in
this section, the section 987 taxable income or loss of an owner with
respect to a section 987 QBU shall be determined in accordance with
paragraphs (a)(1) and (a)(2) of this section.
\(1\) [In general]{.underline}\--(i) [Determination of each item of
income, gain, deduction or loss in the section 987 QBU's functional
currency]{.underline}*.* Except as otherwise provided in this section,
the section 987 QBU shall determine each item of income, gain, deduction
or loss attributable to such QBU under §1.987-2(b) in its functional
currency under U.S. tax principles.
\(ii\) [Translation of items into the owner's functional
currency]{.underline}*.* The owner shall translate each item determined
under this paragraph (a)(1) into its functional currency as provided in
paragraph (b) of this section.
\(2\) [Determination in the case of a section 987 QBU owned indirectly
through a partnership]{.underline}\--(i) [In general]{.underline}.
Except as otherwise provided in this paragraph (a)(2), the taxable
income or loss of a section 987 partnership, and the distributive share
of any owner that is a partner in such partnership, shall be determined
in accordance with the provisions of subchapter K of this chapter.
\(ii\) [Determination of each item of income, gain, deduction or loss in
the eligible QBU's functional currency]{.underline}. Except as otherwise
provided in this section, the section 987 partnership shall determine
each item of income, gain, deduction or loss reflected on the books and
records of each of its eligible QBUs under §1.987-2(b) in the functional
currency of each such QBU.
\(iii\) [Allocation of items of income, gain, deduction or loss of an
eligible QBU]{.underline}*.* The section 987 partnership shall allocate
the items of income, gain, deduction or loss of each eligible QBU among
its partners in accordance with each partner's distributive share of
such income, gain, deduction, or loss as determined under subchapter K
of this chapter.
\(iv\) [Translation of items into the owner's functional
currency]{.underline}. To the extent such items are reflected on the
books and records of a section 987 QBU of a partner to whom they are
allocated, the partner shall adjust the items to conform to U.S. tax
principles and translate the items into the partner's functional
currency as provided in paragraph (b) of this section.
\(b\) [Exchange rates to be used in translating items of income, gain,
deduction or loss of a section 987 QBU into the owner's functional
currency]{.underline}\--(1) [In general]{.underline}. Except as
otherwise provided in this section, the exchange rate to be used by an
owner in translating an item of income, gain, deduction, or loss of a
section 987 QBU as determined in §1.987-2(b) into the owner's functional
currency shall be the yearly average exchange rate as defined in
§1.987-1(c)(2) for the taxable year. Alternatively, the owner may elect
under §1.987-1(f) to use the spot rate as defined in §1.987-1(c)(1)(i)
and (ii) for the day each item is properly taken into account.
\(2\) [Exceptions]{.underline}\--(i) [Depreciation, depletion, and
amortization deductions]{.underline}. The exchange rate to be used by
the owner in translating deductions allowable with respect to section
987 historic assets (as defined in §1.987-1(e)) for depreciation,
depletion, and amortization under the pertinent provisions of the Code
shall be the historic exchange rate as determined under §1.987-1(c)(3)
for the property to which such deductions are attributable.
\(ii\) [Gain or loss from the sale of property]{.underline}. In the case
of gain or loss recognized on a sale or other disposition of property
that is reflected on the books and records of a section 987 QBU during
the taxable year, the following exchange rates shall apply with respect
to such sale or other disposition:
\(A\) [Amount realized]{.underline}\--([1]{.underline}) [In
general]{.underline}. Except as otherwise provided in paragraph
(b)(2)(ii)(A)([2]{.underline}), the exchange rate to be used in
translating the amount realized of such property shall be the rate
provided in paragraph (b)(1) of this section for the taxable year.
([2]{.underline}) [Certain section 987 marked assets]{.underline}. In
the case of a section 987 marked asset (other than cash) that was held
on the first day of the taxable year, the exchange rate to be used in
translating the amount realized shall be the rate used for such asset in
determining the owner functional currency net value of the section 987
QBU under §1.987-4(d)(1)(i)(B) for the preceding taxable year. However,
in the case of a section 987 marked asset (other than cash) transferred
to the section 987 QBU or acquired by the section 987 QBU during the
taxable year, the exchange rate to be used in translating the amount
realized shall be the spot rate, as defined in §1.987-1(c)(1)(i) and
(ii), for the day transferred or acquired.
\(B\) [Adjusted basis]{.underline}\--([1]{.underline}) [In
general]{.underline}. Except as otherwise provided in paragraph
(b)(2)(ii)(B)([2]{.underline}), the exchange rate to be used in
translating the adjusted basis of such property shall be the historic
exchange rate as determined under §1.987-1(c)(3) for such asset.
([2]{.underline}) [Certain section 987 marked assets]{.underline}. In
the case of a section 987 marked asset (other than cash) that was held
on the first day of the taxable year, the exchange rate to be used in
translating its adjusted basis shall be the rate used for such asset in
determining the owner functional currency net value of the section 987
QBU under §1.987-4(d)(1)(i)(B) for the preceding taxable year. However,
in the case of a section 987 marked asset (other than cash) transferred
to the section 987 QBU or acquired by the section 987 QBU during the
taxable year, the exchange rate to be used in translating the adjusted
basis of such asset shall be the spot rate, as defined in
§1.987-1(c)(1)(i) and (ii), for the day transferred or acquired.
([3]{.underline}) [Gain or loss on the sale, exchange or other
disposition of an interest in a section 987 partnership]{.underline}.
For purposes of determining the adjusted basis of a partner's interest
in a section 987 partnership and computing gain or loss recognized on
the sale, exchange or other disposition of such interest, see §1.987-7.
\(c\) [Items of income, gain, deduction or loss that are denominated in
the functional currency of the owner]{.underline}. An item of income,
gain, deduction or loss attributable to a section 987 QBU under
§1.987-2(b) that is denominated in (or determined by reference to) the
owner's functional currency shall not be translated and shall be taken
into account by the section 987 QBU under U.S. tax principles in the
owner's functional currency.
\(d\) [Items of income, gain, deduction or loss that are denominated in
a nonfunctional currency (other than the functional currency of the
owner)]{.underline}. An item of income, gain, deduction or loss
attributable to a section 987 QBU under §1.987-2(b) that is denominated
in (or determined by reference to) a nonfunctional currency (other than
the owner's functional currency) shall be translated into the section
987 QBU's functional currency at the spot rate as defined in
§1.987-1(c)(1)(i) and (ii) on the day such item is properly taken into
account.
\(e\) [Section 988 transactions]{.underline}\--(1) [In
general]{.underline}. Except as provided in paragraph (e)(2) of this
section, section 988 shall apply to the section 988 transactions
attributable to a section 987 QBU under §1.987-2(b), and the timing of
any gain or loss shall be determined under the applicable provisions of
the Internal Revenue Code. Such transactions are section 987 historic
items as defined in §1.987-1(e).
\(2\) [Certain transactions denominated in (or determined by reference
to) the owner's functional currency are not section 988
transactions]{.underline}. Transactions described in section
988(c)(1)(A)(i) and (ii) and section 988(c)(1)(C) that are denominated
in (or determined by reference to) the owner's functional currency and
that are attributable to a section 987 QBU under §1.987-2(b) shall not
be treated as section 988 transactions to such QBU. Thus, no currency
gain or loss shall be recognized by a section 987 QBU under section 988
with respect to such items.
\(f\) [Examples]{.underline}. The following examples illustrate the
application of this section:
[Example 1]{.underline}. (i) U.S. Corp is a domestic corporation with
the dollar as its functional currency. U.S. Corp owns French DE, a
section 987 DE that has a section 987 branch with the euro as its
functional currency. For purposes of paragraph (b)(1) of this section,
U.S. Corp uses the yearly average exchange rate under §1.987-1(c)(2) to
translate items of income, gain, deduction or loss where such rate is
appropriate. U.S. Corp also properly elects to use a spot rate
convention under §1.987-1(c)(1)(ii) where the spot rate is otherwise
required. Under this convention, items booked during a particular month
are translated at the average of the spot rates on the first and last
day of the preceding month (the "convention rate"). Accordingly, gross
sales income is translated at the yearly average exchange rate and under
paragraph (b)(2)(ii)(B) of this section the basis of assets acquired
during a month is translated into dollars at the convention rate. Assume
that the yearly average exchange rate for 2009 is €1 = \$1.05. For the
taxable year 2009, French DE sells 1,200 units of inventory for a sales
price of €3 per unit. Assume that the purchase price for each inventory
unit is €1.50. Thus, French DE's dollar gross sales will be computed as
follows:
**Gross Sales**
[Month]{.underline} [\# of units]{.underline} [€]{.underline} [€/\$ 2009
ave. exchange rate]{.underline} [\$]{.underline}
Jan 100 €300 €1=\$1.05 \$315
Feb 200 600 €1=\$1.05 630
March 0 0 €1=\$1.05 0
April 200 600 €1=\$1.05 630
May 100 300 €1=\$1.05 315
June 0 0 €1=\$1.05 0
July 100 300 €1=\$1.05 315
Aug 100 300 €1=\$1.05 315
Sept 0 0 €1=\$1.05 0
Oct 0 0 €1=\$1.05 0
Nov 100 300 €1=\$1.05 315
Dec [300]{.underline} [900]{.underline} €1=\$1.05 [945]{.underline}
1,200 €3,600 \$3,780
# **Opening Inventory and Purchases**
[Month]{.underline} [\# of units]{.underline} [€]{.underline} [€/\$
convention exchange rate]{.underline} [\$]{.underline}
[Opening]{.underline}
[inventory]{.underline}
[from 2008]{.underline} [100]{.underline} [€150]{.underline} €1=\$1.00
[\$150]{.underline}
[Purchases]{.underline}
Jan 300 €450 €1=\$1.00 \$450
Feb 0 0 €1=\$1.05 0
March 0 0 €1=\$1.03 0
April 300 450 €1=\$1.02 459
May 0 0 €1=\$1.04 0
June 0 0 €1=\$1.05 0
July 300 450 €1=\$1.06 477
Aug 0 0 €1=\$1.05 0
Sept 0 0 €1=\$1.06 0
Oct 0 0 €1=\$1.07 0
Nov 300 450 €1=\$1.08 486
Dec [0]{.underline} [0]{.underline} €1=\$1.08 [0]{.underline}
[Total]{.underline}
[Purchases]{.underline} 1,200 €1,800 \$1,872
\(ii\) French DE uses a first in first out method of accounting for
inventory (FIFO). Thus, for 2009, French DE is considered to have sold
the 100 units of opening inventory (\$150), the 300 units purchased in
January (\$450), the 300 units purchased in April (\$459), the 300 units
purchased in July (\$477) and 200 of the 300 units purchased in November
(\$324). Thus, French DE's cost of goods sold is \$1,860. French DE's
opening inventory for 2010 is 100 units of inventory with a dollar basis
of \$162.
\(iii\) Accordingly, for purposes of section 987 French DE has gross
income in dollars of \$1,920 (\$3,780 - \$1,860).
[Example 2]{.underline}. (i) The facts are the same as in [Example
1]{.underline} except that for purposes of paragraph (b)(1) of this
section, U.S. Corp properly elects to use a spot rate convention under
§1.987-1(c)(1)(ii) to translate items of income, gain, deduction or loss
where such rate is appropriate. Thus, French DE's dollar gross sales
will be computed as follows:
**Gross Sales**
[Sales]{.underline} \# of units [€]{.underline} [€/\$ convention
exchange rate]{.underline} [\$]{.underline}
Jan 100 €300 €1=\$1.00 \$300
Feb 200 600 €1=\$1.05 630
March 0 0 €1=\$1.03 0
April 200 600 €1=\$1.02 612
May 100 300 €1=\$1.04 312
June 0 0 €1=\$1.05 0
July 100 300 €1=\$1.06 318
Aug 100 300 €1=\$1.05 315
Sept 0 0 €1=\$1.06 0
Oct 0 0 €1=\$1.07 0
Nov 100 300 €1=\$1.08 324
Dec [300]{.underline} [900]{.underline} €1=\$1.08 [972]{.underline}
1,200 €3,600 \$3,783
#
# (ii) As in Example 1, French DE's cost of goods sold is \$1,860.
\(iii\) Accordingly, for purposes of section 987 French DE has gross
income in dollars of \$1,923 (\$3,783 - \$1,860).
[Example 3]{.underline}. The facts are the same as in [Example
1]{.underline} except that French DE sold raw land on November 1, 2009
for €10,000. The yearly average rate for 2009 was €1=\$1.05. The land
was purchased on October 16, 2007 for €8,000 when the convention rate
was €1=\$1.00. Under paragraph (a)(1) of this section, French DE will
determine the amount realized and basis in euros. Under paragraph
(a)(1)(ii) of this section, the amount realized is translated into
dollars at the yearly average exchange rate for 2009 as provided in
paragraph (b)(2)(ii)(A) of this section (€10,000 x \$1.05 = \$10,500)
and the basis at the convention rate for 2007 as provided in paragraph
(b)(2)(ii)(B) of this section and §1.987-1(c)(3) (€8,000 x \$1 =
\$8,000). Accordingly, the amount of gain reported by U.S. Corp on the
sale of the land is \$2,500 (\$10,500 - \$8,000).
[Example 4]{.underline}. The facts are the same as in [Example
3]{.underline} except that U.S. Corp properly elects under paragraph
(b)(1) of this section to use the spot rate to translate items of
income, gain, deduction or loss. Accordingly, the amount realized will
be translated at the convention rate on the day of sale. Assume that the
convention rate for November 2009 is €1=\$1.08. Under these facts, the
amount realized is \$10,800 (€10,000 x \$1.08) and the basis on the day
of purchase \$8,000 (€8,000 x \$1.00). The amount of gain reported by
U.S. Corp on the sale of the land is \$2,800 (\$10,800 - \$8,000).
[Example 5]{.underline}. The facts are the same as in [Example
1]{.underline} except that on September 15, 2009, French DE provides
services to an unrelated customer and receives a cash payment of €2,000
on that day. Under paragraph (b)(1) of this section, U.S. Corp
translates the €2,000 item of income into dollars at the yearly average
exchange rate of €1= \$1.05. Accordingly, U.S. Corp will report income
of \$2,100 from providing services.
[Example 6]{.underline}. The facts are the same as in [Example
5]{.underline} except that U.S. Corp properly elects under paragraph
(b)(1) of this section to use the spot rate to translate items of
income, gain, deduction or loss. Assume that the convention rate for
September 2009 is €1=\$1.06. Under these facts, U.S. Corp translates the
€2,000 item of income into dollars at the convention rate of €1=\$1.06.
Accordingly, U.S. Corp will report income of \$2,120 from providing
services.
[Example 7]{.underline}. The facts are the same as in [Example
1]{.underline} except that on March 31, 2009, French DE incurs €500 of
rental expense, €300 of salary expense and €100 of utilities expense.
Under paragraph (b)(1) of this section, U.S. Corp translates these items
of expense at the yearly average exchange rate of €1=\$1.05. Accordingly
the expenses are translated as follows: rental expense of \$525, salary
expense of \$315 and utilities expense of \$105.
[Example 8]{.underline}. The facts are the same as in [Example
7]{.underline} except that U.S. Corp properly elects under paragraph
(b)(1) of this section to use the spot rate to translate items of income
and expense. Assume that the convention rate for March 2009 is
€1=\$1.03. Under these facts, U.S. Corp translates the €500 of rental
expense, €300 of salary expense and €100 of utilities expense at the
convention rate of €1=\$1.03. Accordingly, the expenses are translated
as follows: rental expense of \$515, salary expense of \$309 and
utilities expense of \$103.
[Example 9]{.underline}*.* The facts are the same as in [Example
1]{.underline} except that during 2009, French DE incurred €100 of
depreciation expense with respect to a truck. The truck was purchased on
January 15, 2008, when the convention rate was €1=\$1.02. Under
paragraph (b)(2)(i) of this section, the €100 of depreciation is
translated into dollars at the historic exchange rate. Since U.S. Corp
has properly elected to use a spot rate convention, depreciation will be
translated in accordance with the convention. Accordingly, U.S. Corp
translates the €100 of depreciation to equal \$102.
[Example 10]{.underline}. (i) The facts are the same as in [Example
1]{.underline} except that on January 12, 2009, French DE performed
services for a U.K. person and received £10,000 in compensation. The
exchange rate on January 12, 2009, was £1=€1.25. Under paragraph (d) of
this section, French DE will translate such income into euros at the
spot rate on January 12, 2009. Accordingly, French DE will take into
account €12,500 of income from services in 2009. Under paragraph (b)(1)
of this section, U.S. Corp translates the €12,500 item of income into
dollars at the yearly average euro to dollar exchange rate. Assume that
such exchange rate is €1=\$1.10. Accordingly, U.S. Corp translates the
€12,500 income from services to equal \$13,750.
\(ii\) On October 16, 2009, French DE disposes of the £10,000 for
€10,000. Under section 988(c)(1)(C), the disposition is a section 988
transaction. Under §1.988-2(a)(2), French DE will realize a loss of
€2,500 (€10,000 amount realized less €12,500 basis). Under paragraph
(b)(1) of this section, U.S. Corp translates the €2,500 loss into
dollars at the yearly average euro to dollar exchange rate. Assume that
such exchange rate is €1=\$1.05. Accordingly, U.S. Corp translates the
€2,500 section 988 loss to equal \$2,625.
[§1.987-4 Determination of net unrecognized section 987 gain or loss of
a section 987]{.underline}
[QBU]{.underline}.
\(a\) [In general]{.underline}. The net unrecognized section 987 gain or
loss of a section 987 QBU shall be determined by the owner annually as
provided in paragraph (b) of this section in the owner's functional
currency. Only assets and liabilities reflected on the books and records
of the section 987 QBU under §1.987-2(b) shall be taken into account.
\(b\) [Calculation of net unrecognized section 987 gain or loss of a
section 987 QBU]{.underline}. Net unrecognized section 987 gain or loss
of a section 987 QBU for a taxable year shall equal the sum of\--
\(1\) The section 987 QBU's net accumulated unrecognized section 987
gain or loss for all prior taxable years to which these regulations
apply as determined in paragraph (c) of this section; and
\(2\) The section 987 QBU's unrecognized section 987 gain or loss for
the current taxable year as determined in paragraph (d) of this section.
\(c\) [Net accumulated unrecognized section 987 gain or loss for all
prior taxable years]{.underline}. A section 987 QBU's net accumulated
unrecognized section 987 gain or loss for all prior taxable years is the
aggregate of the amounts determined under paragraph (d) of this section
for all prior years to which these regulations apply, reduced by the
amounts taken into account under §1.987-5 upon a remittance for all such
prior taxable years. This amount shall include amounts appropriately
considered as net unrecognized exchange gain or loss under the
transition rules of §1.987-10.
\(d\) [Calculation of unrecognized section 987 gain or loss of a section
987 QBU for a taxable year]{.underline}*.* The unrecognized section 987
gain or loss of a section 987 QBU for a taxable year shall be determined
under paragraphs (d)(1) through (7) of this section as follows:
\(1\) [Step 1: Determine the change in the owner functional currency net
value of the section 987 QBU for the taxable year]{.underline}\--(i) [In
general]{.underline}. The change in the owner functional currency net
value of the section 987 QBU for the taxable year shall equal\--
\(A\) The owner functional currency net value of the section 987 QBU,
determined in the functional currency of the owner under paragraph (e)
of this section, on the last day of the current taxable year; less
\(B\) The owner functional currency net value of the section 987 QBU,
determined in the functional currency of the owner under paragraph (e)
of this section on the last day of the preceding taxable year. This
amount shall be zero in the case of the QBU's first taxable year.
\(ii\) [Year section 987 QBU is terminated]{.underline}. If a section
987 QBU is terminated under the rules of §1.987-8 during an owner's
taxable year, the owner functional currency net value of the section 987
QBU as provided in paragraph (d)(1)(i)(A) of this section shall be
determined on the day the section 987 QBU is terminated.
\(2\) [Step 2: Increase the aggregate amount determined in step 1 by the
assets transferred from the section 987 QBU to its
owner]{.underline}\--(i) [In general]{.underline}*.* The aggregate
amount determined in paragraph (d)(1) of this section shall be increased
by the total amount of assets described in paragraph (d)(2)(ii) of this
section transferred from the section 987 QBU to the owner during the
taxable year translated into the owner's functional currency as provided
in paragraph (d)(2)(iii) of this section.
\(ii\) [Assets transferred from the section 987 QBU to the owner during
the taxable year]{.underline}. The assets transferred from the section
987 QBU to the owner for the taxable year shall equal the aggregate
of\--
\(A\) The amount of the section 987 QBU's functional currency and the
adjusted basis of any section 987 marked asset (as defined in
§1.987-1(d)) transferred from the section 987 QBU to the owner during
the taxable year determined in the functional currency of the section
987 QBU and translated into the owner's functional currency as provided
in paragraph (d)(2)(iii)(A) of this section; and
\(B\) The adjusted basis of any section 987 historic asset (as defined
in §1.987-1(e)) transferred to the owner during the taxable year
determined in the functional currency of the section 987 QBU and
translated into the owner's functional currency as provided in paragraph
(d)(2)(iii)(B) of this section. Such amount shall be adjusted to take
into account the proper translation of depreciation, depletion and
amortization as provided in §1.987-3(b)(2)(i).
\(iii\) [Translation of amounts transferred from the section 987 QBU to
the owner]{.underline}. In the case of a transfer from the section 987
QBU to an owner of any asset the following exchange rates shall be used:
\(A\) In the case of an amount described in paragraph (d)(2)(ii)(A) of
this section, the spot exchange rate, as defined in §1.987-1(c)(1), on
the day of transfer.
\(B\) In the case of a transfer of a section 987 historic asset, the
historic exchange rate for such asset as defined in §1.987-1(c)(3).
\(3\) [Step 3: Decrease the aggregate amount determined in steps 1 and 2
by the owner's transfers to the section 987 QBU]{.underline}\--(i) [In
general]{.underline}. The aggregate amount determined in paragraphs
(d)(1) and (d)(2) of this section shall be decreased by the total amount
of assets transferred from the owner to the section 987 QBU during the
taxable year determined in the functional currency of the owner as
provided in paragraph (d)(3)(ii) of this section.
\(ii\) [Total of all amounts transferred from the owner to the section
987 QBU during the taxable year]{.underline}. The total amount of assets
transferred from the owner to the section 987 QBU for the taxable year
shall equal the aggregate of\--
\(A\) The total amount of functional currency of the owner transferred
to the section 987 QBU during the taxable year; and
\(B\) The adjusted basis, determined in the functional currency of the
owner, of any asset transferred to the section 987 QBU during the
taxable year (after taking into account §1.988-1(a)(10)).
\(4\) [Step 4: Decrease the aggregate amount determined in steps 1
through 3 by the amount of liabilities transferred from the section 987
QBU to the owner]{.underline}. The aggregate amount determined in
paragraphs (d)(1) through (d)(3) of this section shall be decreased by
the aggregate amount of liabilities transferred from the section 987 QBU
to the owner. The amount of such liabilities shall be translated into
the functional currency of the owner at the spot exchange rate, as
defined in §1.987-1(c)(1), on the day of transfer.
\(5\) [Step 5: Increase the aggregate amount determined in steps 1
through 4 by amount of liabilities transferred from the owner to the
section 987 QBU]{.underline}. The aggregate amount determined in
paragraphs (d)(1) through (d)(4) of this section shall be increased by
the aggregate amount of liabilities transferred by the owner to the
section 987 QBU. The amount of such liabilities shall be translated into
the functional currency of the owner, if required, at the spot exchange
rate, as defined in §1.987-1(c)(1)(i) and (ii), on the day of transfer.
\(6\) [Step 6: Increase the aggregate amount determined in steps 1
through 5 by the section 987 taxable loss of the section 987 QBU for the
taxable year]{.underline}. In the case of a section 987 taxable loss of
the section 987 QBU computed under §1.987-3 for the taxable year, the
aggregate amount determined in paragraphs (d)(1) through (d)(5) of this
section shall be increased by such section 987 taxable loss.
\(7\) [Step 7: Decrease the aggregate amount determined in steps 1
through 5 by the section 987 taxable income of the section 987 QBU for
the taxable year]{.underline}*.* In the case of section 987 taxable
income of the section 987 QBU computed under §1.987-3 for the taxable
year, the aggregate amount determined in paragraphs (d)(1) through
(d)(5) of this section shall be decreased by such section 987 taxable
income.
\(e\) [Determination of the owner functional currency net value of a
section 987 QBU]{.underline}\--(1) [In general]{.underline}. The owner
functional currency net value of a section 987 QBU on the last day of a
taxable year shall equal the aggregate amount of the QBU's functional
currency and the basis of each asset on the section 987 QBU's balance
sheet on that day, less the aggregate amount of each liability on the
section 987 QBU's balance sheet on that day translated, if necessary,
into the owner's functional currency as provided in paragraph (e)(2) of
this section. Such amount shall be determined as follows:
\(i\) The owner, or section 987 QBU on behalf of the owner, shall
prepare a balance sheet for the relevant date from the section 987 QBU's
books and records (within the meaning of §1.989(a)-1(d)) as recorded in
the section 987 QBU's functional currency showing all assets and
liabilities reflected on such books and records as provided in
§1.987-2(b). Assets and liabilities denominated in the functional
currency of the owner shall be reflected on the balance sheet in the
owner's functional currency.
\(ii\) The owner, or section 987 QBU on behalf of the owner, shall make
adjustments necessary to conform the items reflected on the balance
sheet described in paragraph (e)(1)(i) of this section to United States
generally accepted accounting principles and tax accounting principles.
\(iii\) The owner, or section 987 QBU on behalf of the owner, shall
translate the asset and liability amounts on the adjusted balance sheet
described in paragraph (e)(1)(ii) of this section into the functional
currency of the owner in accordance with paragraph (e)(2) of this
section. Assets and liabilities denominated in the functional currency
of the owner are not translated.
\(2\) [Translation of balance sheet items into the owner's functional
currency]{.underline}. The amount of the section 987 QBU's functional
currency, the basis of an asset, or the amount of a liability (other
than an asset or liability reflected on the balance sheet in the
functional currency of the owner) shall be translated as follows:
\(i\) [Section 987 marked item]{.underline}. A section 987 marked item
as defined in §1.987-1(d) shall be translated into the owner's
functional currency at the spot exchange rate as defined in
§1.987-1(c)(1)(i) and (ii) on the last day of the taxable year.
\(ii\) [Section 987 historic item]{.underline}. A section 987 historic
item as defined in §1.987-1(e) shall be translated into the owner's
functional currency at the historic exchange rate as defined in
§1.987-1(c)(3).
\(f\) [Examples]{.underline}*.* The provisions of this section are
illustrated by the following examples. Unless otherwise indicated, all
items are assumed to be reflected on the books and records, within the
meaning of §1.987-2(b), of the relevant section 987 QBU.
[Example 1]{.underline}*.* (i) U.S. Corp is a calendar year domestic
corporation with the dollar as its functional currency. On July 1, 2009,
U.S. Corp establishes Japan Branch that has the yen as its functional
currency. Japan Branch is a section 987 QBU of U.S. Corp. U.S. Corp
properly elects to use a spot rate convention under §1.987-1(c)(1)(ii)
with respect to Japan Branch. Under this convention, the spot rate for
any transaction occurring during a month is the spot rate on the first
day of the month. U.S. Corp also elects under §1.987-3(b)(1) to use this
convention to translate items of income, gain, deduction, or loss into
dollars. On July 1, 2009, when \$1 = ¥100 (or ¥1 = \$0.01), U.S. Corp
transfers \$1,000 to Japan Branch and raw land with a basis of \$500.
Japan Branch immediately purchases ¥100,000 with the \$1,000. On the
same day, Japan Branch borrows ¥10,000. Assume that for the taxable year
2009, Japan Branch earns ¥2,000 per month (total of ¥12,000 for the six
month period from July 1, 2009, through December 31, 2009) for providing
services and incurs ¥333.33 per month (total of ¥2,000 when rounded for
the six month period from July 1, 2009, through December 31, 2009) of
related expenses. Assume that all items of income earned and expenses
incurred by Japan Branch during 2009 are received and paid,
respectively, in yen. Further, assume that the ¥12,000 of income when
properly translated under the monthly convention equals \$109.08 and
that the ¥2,000 of related expenses equal \$18.18. Thus, Japan Branch's
income translated into dollars equals \$90.90. Assume that the spot
exchange rate on the December 1, 2009, is \$1=¥120 (¥1= \$0.00833).
\(ii\) Under paragraph (a) of this section, U.S. Corp must compute the
net unrecognized section 987 gain or loss of Japan Branch for 2009.
Since this is Japan Branch's first taxable year, the net unrecognized
section 987 gain or loss as defined under paragraph (b) of this section
is the branch's unrecognized section 987 gain or loss for 2009 as
determined in paragraph (d) of this section. The calculation under
paragraph (d) of this section is made as follows:
\(iii\) [Step 1]{.underline}. Under paragraph (d) of this section, U.S.
Corp must determine the change in the owner functional currency net
value of Japan Branch for the year 2009 in dollars. The change in the
owner functional currency net value of Japan Branch for 2009 is equal to
the owner functional currency net value of Japan Branch determined in
dollars on the last day of 2009, less the owner functional currency net
value of Japan Branch determined in dollars on the last day of the
preceding taxable year.
\(A\) The owner functional currency net value of Japan Branch determined
in dollars on the last day of the current taxable year is determined
under paragraph (e) of this section. Such amount is the aggregate of the
basis of each asset on Japan Branch's balance sheet on December 31,
2009, less the aggregate of the amount of each liability on the Japan
Branch's balance sheet on that day, translated into dollars as provided
in paragraph (e)(2) of this section.
\(B\) For this purpose, Japan Branch will show the following assets and
liabilities on its balance sheet for December 31, 2009:
\(1\) Cash of ¥120,000 \[(\$1,000 transferred and immediately converted
to ¥100,000) + ¥10,000 borrowed + ¥12,000 income from services - ¥2,000
of expenses\].
\(2\) Raw land with a basis of ¥50,000.
\(3\) Liabilities of ¥10,000.
\(C\) Under paragraph (e)(2) of this section, U.S. Corp will translate
these items as follows. The cash of ¥120,000 is a section 987 marked
asset and the ¥10,000 liability is a section 987 marked liability as
defined in §1.987-1(d). These items are translated into dollars on
December 31, 2009, using the spot rate on December 1, 2009 of
¥1=\$0.00833. The raw land is a section 987 historic asset as defined in
§1.987-1(e) and is translated into the dollars at the convention rate
for the day of transfer (¥1= \$0.01). Thus, the owner functional
currency net value of Japan Branch on December 31, 2009, in dollars is
\$1,416.60 determined as follows:
[Asset]{.underline} [Amount in ¥]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Cash ¥ 120,000[^4] 12/01/09 spot convention rate on 12/31/09 of
¥1=\$0.00833 \$ 999.60
Land [¥ 50,000]{.underline} Historic rate on 7/1/09 of [\$
500.00]{.underline}
¥1=\$0.01
**Total assets** **\$ 1,499.60**
[Liability]{.underline} [Amount in ¥]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Bank Loan [¥ 10,000]{.underline} 12/01/09 spot convention rate on
12/31/09 of ¥1 = \$0.00833 [\$ 83.30]{.underline}
**Total liabilities** **\$ 83.30**
[Owner functional currency net value of Japan Branch]{.underline}
[on December 31, 2009 in dollars]{.underline} **\$ 1,416.30**
\(D\) Under paragraph (d)(1) of this section, the change in owner
functional currency net value of Japan Branch for 2009 is equal to the
owner functional currency net value of the branch determined in dollars
on December 31, 2009 (\$1,416.30) less the owner functional currency net
value of the branch determined in dollars on the last day of the
preceding taxable year. Since this is the first taxable year of Japan
Branch, the owner functional currency net value of Japan Branch
determined in dollars on the last day of the preceding taxable year is
zero under paragraph (d)(1)(i)(B) of this section. Accordingly, the
change in owner functional currency net value of Japan Branch for 2009
is \$1,416.30.
\(iv\) [Step 2]{.underline}. Under paragraph (d)(2) of this section, the
aggregate amount determined in paragraph (d)(1) of this section (step 1)
is increased by the total amount of assets described in paragraph
(d)(2)(ii) of this section transferred from the section 987 QBU to the
owner during the taxable year translated into the owner's functional
currency as provided in paragraph (d)(2)(iii) of this section. Since no
such amounts were transferred under these facts, there is no change in
the \$1,416.30 determined in step 1.
\(v\) [Step 3]{.underline}. Under paragraph (d)(3) of this section, the
aggregate amount determined in paragraphs (d)(1) and (2) of this section
(steps 1 - 2) is decreased by the total amount of assets transferred
from the owner to the section 987 QBU during the taxable year as
determined in paragraph (d)(3)(ii) of this section in dollars. On July
1, 2009, U.S. Corp transferred to Japan Branch \$1,000 (which Japan
Branch immediately converted into ¥100,000) and raw land with a basis of
\$500 (equal to ¥50,000 on the day of transfer). Thus, the step 2 amount
of \$1,416.30 is reduced by \$1,500.00 to equal (\$83.70).
\(vi\) [Steps 4, 5 and 6]{.underline}. Since no liabilities were
transferred by U.S. Corp to Japan Branch or vice versa, the amount
determined after applying paragraphs (d)(1) through (d)(5) of this
section is (\$83.70). Further, paragraph (d)(6) of this section does not
apply since Japan Branch does not have a section 987 taxable loss.
\(vii\) [Step 7]{.underline}. Under paragraph (d)(7) of this section,
the aggregate amount determined after applying paragraphs (d)(1) through
(d)(5) of this section (steps 1-5) is decreased by the section 987
taxable income of Japan Branch of \$90.90. Accordingly, the unrecognized
section 987 loss of Japan Branch for 2009 is \$174.60 (-\$83.70 -
\$90.90).
[Example 2]{.underline}*.* (i) U.S. Corp, a calendar year domestic
corporation with the dollar as its functional currency, operates in the
United Kingdom through UK Branch. UK Branch has the pound as its
functional currency and is a section 987 QBU. U.S. Corp properly elects
to use a spot rate convention under §1.987-1(c)(1)(ii). Under this
convention, the spot rate for any transaction occurring during a month
is the average of the pound spot rate and the 30-day forward rate for
pounds on the next-to-last Thursday of the preceding month. Pursuant to
§1.987-3(b)(1), U.S. Corp uses the yearly average exchange rate as
defined in §1.987-1(c)(2) to translate items of income, gain, deduction,
or loss into dollars for the taxable year, where appropriate. The yearly
average exchange rate for 2009 was £1 = \$1.05. The closing balance
sheet of UK Branch for the prior year (2008) reflected the following
assets and liabilities. With respect to assets, UK Branch held\--
\(A\) Cash of £100;
\(B\) Plant purchased in May 2007 with an adjusted basis of £1000;
\(C\) A machine purchased in May 2007 with an adjusted basis of £200;
\(D\) Inventory of 100 units manufactured in December 2008 with a basis
of £100;
\(E\) Portfolio stock (as defined in §1.987-2(b)(2)(ii)) in ABC
Corporation purchased in September 2008 with a basis of £158; and
\(F\) \$50 acquired in 2008 (and held in a non-interest bearing
account).
With respect to liabilities, UK Branch has £50 of long-term debt entered
into in 2007 with F Bank, an unrelated bank. The plant, machine,
inventory, stock and dollars are section 987 historic assets as defined
in §1.987-1(e). The cash of £100 and long-term debt are section 987
marked items as defined under §1.987-1(d). Assume the U.S. Corp
translated UK Branch's 2008 closing balance sheet as follows:
[Assets]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
£ Cash £ 100 Spot convention rate in Dec. 2008 £1 = \$1 \$100.00
Plant £1,000 Historic rate-2007 May convention rate £1= \$0.90 \$900.00
Machine £ 200 Historic rate-2007 May convention rate £1= \$0.90 \$180.00
Stock £ 158 Historic rate-2008 Sept. convention rate £1= \$.95 \$150.00
Inventory £ 100 Historic rate-2008 Dec. convention rate £1= \$1 \$100.00
Dollars [\$ 50]{.underline} Dollars are not translated [\$
50.00]{.underline}
Total assets \$1,480.00
[Liabilities]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Bank Loan [£ 50]{.underline} Spot convention rate in
[\$50.00]{.underline}
> Dec. 2008 £1 = \$1
Total liabilities \$50.00
2008 ending
owner functional
currency net value
(in dollars) \$ 1,430
\(ii\) UK Branch uses the first in first out method of accounting for
inventory. In 2009, UK Branch sold 100 units of inventory for a total of
£300 and purchased another 100 units of inventory in December 2009 for
£100. Assume that the dollar basis of the inventory purchased in
December 2009 when translated at the December 2009 monthly convention
rate is \$110; that depreciation with respect to the plant is £33 and
for the machine £40[^5]; and that UK Branch incurred £30 of business
expenses during 2009. Assume all items of income earned and expenses
incurred during 2009 are received and paid, respectively, in pounds. The
yearly average exchange rate for 2009 is £1 = \$1.05. Under §1.987-3, UK
Branch's section 987 taxable income or loss is determined as follows:
[Item]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Gross receipts £300 2009 yearly ave. rate £1 = \$1.05 \$315.00
Less: COGS ([£100)]{.underline} Historic rate-Dec. 2008 convention rate
£1= \$1 [(\$100.00)]{.underline}
Gross income £200 \$ 215.00
Dep: Plant (£ 33) Historic rate-May 2007 convention rate £1= \$0.90 (\$
29.70)
Machine (£ 40) Historic rate-May 2007 convention rate £1= \$0.90 (\$
36.00)
Other expenses [(£ 30]{.underline}) 2009 yearly ave. rate £1 = \$1.05
[(\$ 31.50)]{.underline}
Total expenses \$ 97.20
Section 987 taxable income \$117.80
Accordingly, UK Branch has \$117.80 of section 987 taxable income.
\(iii\) Assume that in December 2009, UK Branch transferred \$20 and £30
to U.S. Corp and that U.S. Corp transferred a computer with a basis of
\$10 to UK Branch. The convention exchange rate for December 2009 is £1
= \$1.10. Finally, assume that U.S. Corp's net accumulated unrecognized
section 987 gain or loss for all prior taxable years as determined in
paragraph (c) of this section is \$30.
\(iv\) The unrecognized section 987 gain or loss of UK Branch for 2009
is determined as follows:
\(A\) [Step 1: Determine the change in owner functional currency net
value of UK Branch]{.underline}. Under paragraph (d)(1) of this section,
the change in owner functional currency net value for the taxable year
must be determined. This amount is equal to the owner functional
currency net value of UK Branch determined under paragraph (e) of this
section on the last day of 2009, less the owner functional currency net
value of UK Branch determined on the last day of 2008. The owner
functional currency net value of UK Branch on December 31, 2009, and the
change in owner functional currency net value is determined as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Cash £ 240[^6] Spot convention rate in Dec. 2009 £1 = \$1.10 \$ 264.00
Plant £ 967[^7] Historic rate-May 2007 convention rate £1= \$0.90 \$
870.30
Machine £ 160[^8] Historic rate-May 2007 convention rate £1= \$0.90 \$
144.00
Inventory £ 100 Historic rate- Dec. 2009 convention rate \$ 110.00
> £1 = \$1.10
Computer £ 9 Historic rate- Dec. 2009 convention rate \$ 10.00
> £1 = \$1.10
Stock £ 158 Historic rate- Sept. 2008 \$ 150.00
> convention rate £1= \$.95
Dollars [\$ 30]{.underline}[^9] Dollars are not translated [\$
30.00]{.underline}
Total assets \$ 1,578.30
[Liability]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Bank Loan [£ 50]{.underline} Spot convention rate in Dec. 2009 £1 =
\$1.10 [\$ 55.00]{.underline}
Total liabilities \$ 55.00
2009 ending
owner functional
currency net value
(in dollars) \$1,523.30
Less: 2008 ending
owner functional
currency net value
(in dollars) ([\$1,430.00)]{.underline}
Change in
owner functional
currency
net value \$ 93.30
\(B\) [Step 2: Increase the aggregate amount described in step 1 by each
owner's share of assets transferred by the section 987 QBU to its
owners]{.underline}. Under paragraph (d)(2) of this section, the
aggregate amount determined in step 1 must be increased by the total
amount of assets described in paragraph (d)(2)(ii) of this section
transferred from UK Branch to U.S. Corp during the taxable year,
translated into U.S. Corp's functional currency as provided in paragraph
(d)(2)(iii) of this section. The amount of assets transferred from UK
Branch to U.S. Corp during 2009 is determined as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
£30 currency £30 Spot convention rate in Dec. 2009 £1 = \$1.10 \$33.00
\$20 currency \$20 Dollars are not translated [\$20.00]{.underline}
Total \$53.00
\(C\) [Step 3: Decrease the aggregate amount described in steps 1 and 2
by the owner's transfers to the section 987 QBU]{.underline}. Under
paragraph (d)(3) of this section, the aggregate amount determined in
steps 1 and 2 must be decreased by the total amount of all assets
transferred from U.S. Corp to UK Branch during the taxable year as
determined in paragraph (d)(3)(ii) of this section. The amount of assets
transferred from U.S. Corp to UK Branch is determined as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Computer £9 Spot convention rate in Dec. 2009 £1 = \$1.10 \$10.00
Total \$10.00
\(D\) [Step 4: Decrease the aggregate amount determined in steps 1
through 3 by the amount of liabilities transferred by the section 987
QBU to the owner]{.underline}. Under paragraph (d)(4) of this section,
the aggregate amount determined in steps 1 through 3 must be decreased
by the aggregate amount of liabilities transferred by UK Branch to U.S.
Corp. Under these facts, such amount is \$0.
\(E\) [Step 5: Increase the aggregate amount determined in steps 1
through 4 by the amount of liabilities transferred by the owner to the
section 987 QBU]{.underline}. Under paragraph (d)(5) of this section,
the aggregate amount determined in steps 1 through 4 must be increased
by the aggregate amount of liabilities transferred by U.S. Corp to UK
Branch. Under these facts, such amount is \$0.
\(F\) [Step 6: Increase the aggregate amount determined in steps 1
through 5 by the section 987 taxable loss of the section 987 QBU for the
taxable year]{.underline}. Under paragraph (d)(6) of this section, the
aggregate amount determined in steps 1 through 5 must be increased by
the section 987 taxable loss of UK Branch. Since UK Branch had no such
taxable loss in 2009, paragraph (d)(6) of this section does not apply.
\(G\) [Step 7: Decrease the aggregate amount determined in steps 1
through 5 by the section 987 taxable income of the section 987 QBU for
the taxable year]{.underline}. Under paragraph (d)(7) of this section,
the aggregate amount determined in steps 1 through 5 must be decreased
by the section 987 taxable income of UK Branch. The amount of UK
Branch's taxable income, as determined above, is \$117.80.
\(v\) [Summary]{.underline}. Taking steps 1 through 7 into account, the
amount of U.S. Corp's unrecognized section 987 gain or loss with respect
to UK Branch in 2009 is computed as follows:
[Step]{.underline} [Amount in \$]{.underline} [Balance]{.underline}
1 + \$ 93.30 \$ 93.30
2 + \$ 53.00 \$ 146.30
3 - \$ 10.00 \$ 136.30
4 - 0 \$ 136.30
5 + 0 \$ 136.30
6 + 0 \$ 136.30
7 - \$117.80 \$ 18.50
Thus, U.S. Corp's unrecognized section 987 gain in 2009 with respect to
UK Branch is \$18.50. As of the end of 2009, before taking into account
the recognition of any section 987 gain or loss under §1.987-5, U.S.
Corp's net unrecognized section 987 gain is \$48.50 (i.e., \$30
accumulated from prior years, plus \$18.50 in 2009).
[§1.987-5 Recognition of section 987 gain or loss]{.underline}.
\(a\) [Recognition of section 987 gain or loss by the owner of a section
987 QBU]{.underline}. The taxable income of an owner of a section 987
QBU shall include the owner's section 987 gain or loss recognized with
respect to the section 987 QBU for the taxable year. For any taxable
year, the owner's section 987 gain or loss recognized with respect to a
section 987 QBU shall be equal to\--
\(1\) The owner's net unrecognized section 987 gain or loss of the
section 987 QBU determined under §1.987-4 on the last day of such
taxable year (or, if earlier, on the day the section 987 QBU is
terminated under §1.987-8); multiplied by
\(2\) The owner's remittance proportion for the taxable year, as
determined under paragraph (b) of this section.
\(b\) [Remittance proportion]{.underline}. The owner's remittance
proportion with respect to a section 987 QBU for a taxable year is the
quotient, equal to\--
\(1\) The remittance, as determined under paragraph (c) of this section,
to the owner from the section 987 QBU for such taxable year; divided by
\(2\) The total adjusted basis of the gross assets of the section 987
QBU as of the end of the taxable year (or, if terminated prior to the
end of such taxable year under §1.987-8, the day of termination) that
are reflected on its year-end balance sheet (or, if terminated prior to
the end of such taxable year under §1.987-8, the balance sheet on the
day terminated), translated into the owner's functional currency as
provided in §1.987-4(e)(2) and increased by the amount of the
remittance.
\(c\) [Remittance]{.underline}\--(1) [Definition]{.underline}. A
remittance shall be determined in the owner's functional currency and
shall equal the excess, if any, of\--
\(i\) The total of all amounts transferred from the section 987 QBU to
the owner during the taxable year, as determined in paragraph (d) of
this section; over
\(ii\) The total of all amounts transferred from the owner to the
section 987 QBU during the taxable year, as determined in paragraph (e)
of this section.
\(2\) [Day when a remittance is determined]{.underline}. An owner's
remittance from a section 987 QBU shall be determined on the last day of
the owner's taxable year (or, if earlier, on the day the section 987 QBU
is terminated under §1.987-8).
\(3\) [Termination]{.underline}. A termination of a section 987 QBU as
determined under §1.987-8 is treated as a remittance of all the gross
assets of the section 987 QBU to the owner on the date of such
termination. See §1.987-8(d). Accordingly, the remittance proportion in
the case of a termination is 1.
\(d\) [Total of all amounts transferred from the section 987 QBU to the
owner for the taxable year]{.underline}. For purposes of paragraph
(c)(1)(i) of this section, the total of all amounts transferred from the
section 987 QBU to the owner for the taxable year shall be determined in
the owner's functional currency under §1.987-4(d)(2) with reference to
the adjusted basis of the assets transferred. Solely for this purpose,
the amount of liabilities transferred from the owner to the section 987
QBU determined under §1.987-4(d)(5) shall be treated as a transfer of
assets from the section 987 QBU to the owner in an amount equal to the
amount of such liabilities.
\(e\) [Total of all amounts transferred from the owner to the section
987 QBU for the taxable year]{.underline}. For purposes of paragraph
(c)(1)(ii) of this section, the total of all amounts transferred from
the owner to the section 987 QBU for the taxable year shall be
determined in the owner's functional currency under §1.987-4(d)(3) with
reference to the adjusted basis of the assets transferred. Solely for
this purpose, the amount of liabilities transferred from the section 987
QBU to the owner determined under §1.987-4(d)(4) shall be treated as a
transfer of assets from the owner to the section 987 QBU in an amount
equal to the amount of such liabilities.
\(f\) [Determination of owner's adjusted basis in transferred
assets]{.underline}\--(1) [In general]{.underline}. The owner's adjusted
basis in an asset received in a transfer from the section 987 QBU
(whether or not such transfer is made in connection with a remittance as
defined in paragraphs (c) of this section) shall be determined under the
rules prescribed in paragraphs (f)(2) through (f)(4) of this section.
\(2\) [Section 987 marked asset]{.underline}. The basis of a section 987
marked asset shall be determined in the owner's functional currency and
shall be the same as the amount determined under §1.987-4(d)(2)(ii)(A).
\(3\) [Section 987 historic asset]{.underline}. The basis of a section
987 historic asset shall be determined in the owner's functional
currency and shall be the same as the amount determined under
§1.987-4(d)(2)(ii)(B).
\(4\) [Partner's adjusted basis in distributed assets]{.underline}. See
also section 732 and §1.987-7 for purposes of determining an owner's
adjusted basis of an asset distributed from a section 987 QBU owned
indirectly through a section 987 partnership.
\(g\) [Examples]{.underline}*.* The following examples illustrate the
calculation of section 987 gain or loss under this section:
[Example 1]{.underline}*.* (i) U.S. Corp, a calendar year domestic
corporation with the dollar as its functional currency, operates in the
U.K. through U.K. DE, an entity disregarded as an entity separate from
its owner under §§301.7701-1 through 301.7701-3 of this chapter. U.K. DE
has a section 987 branch (U.K. section 987 branch) with the pound as its
functional currency. During year 2, the following transfers took place
between U.S. Corp and U.K. section 987 branch. On January 5, year 2,
U.S. Corp transferred to U.K. section 987 branch \$300 (which the branch
used during the year to purchase services). On March 5, year 2, U.K.
section 987 branch transferred a machine to U.S. Corp. Assume that the
pound adjusted basis of the machine when properly translated into
dollars under §§1.987-4(d)(2)(ii)(B) and paragraph (d) of this section
is \$500. On November 1, year 2, U.K. section 987 branch transferred
pound cash to U.S. Corp. Assume that the dollar amount of the pounds
when properly translated under §1.987-4(d)(2)(ii)(A) and paragraph (d)
of this section is \$2,300. On December 7, year 2, U.S Corp transferred
a truck to U.K. section 987 branch with an adjusted basis of \$2,000.
\(ii\) Assume that at the end of year 2, U.K. section 987 branch holds
assets, properly translated into the owner's functional currency
pursuant to §1.987-4(e)(2), consisting of a computer with a pound
adjusted basis equivalent to \$500, a truck with a pound adjusted basis
equivalent to \$2,000, and pound cash equivalent to \$2,850. In
addition, assume that U.K. section 987 branch has a pound liability
entered into in year 1 with Bank A. The liability, when translated into
the owner functional currency pursuant to §1.987-4(e)(2), is equivalent
to \$200. All such assets and liabilities are reflected on the books and
records of U.K. section 987 branch. Assume that the net unrecognized
section 987 gain for U.K. section 987 branch as determined under
§1.987-4 as of the last day of year 2 is \$80.
\(iii\) U.S. Corp's section 987 gain with respect to U.K. section 987
branch is determined as follows:
\(A\) [Computation of amount of remittance]{.underline}. Under
paragraphs (c)(1) and (2) of this section, U.S. Corp must determine the
amount of the remittance for year 2 in the owner's functional currency
(dollars) on the last day of year 2. The amount of the remittance for
year 2 is \$500, determined as follows:
[Transfers from U.K. section 987 branch to U.S. Corp in
dollars:]{.underline}
Machine \$ 500
Cash (U.K. pounds) [2,300]{.underline}
\$2,800
[Transfers from U.S. Corp to U.K. section 987 branch in
dollars]{.underline}*:*
Cash (U.S. dollars) \$ 300
Truck [2,000]{.underline} \$2,300
[Computation of amount of remittance]{.underline}*:*
Aggregate transfers from U.K. section 987 branch to U.S. Corp \$2,800
Less: aggregate transfers from U.S. Corp to U.K. section 987 branch
(\$[2,300)]{.underline}
[Total remittance]{.underline} \$500
\(B\) [Computation of branch gross assets plus remittance]{.underline}.
Under paragraph (b)(2) of this section, U.K. section 987 branch must
determine the total basis of its gross assets that are reflected on its
year-end balance sheet translated into the owner's functional currency,
and must increase this amount by the amount of the remittance.
[Total basis of U.K. section 987 branch's gross assets at end of year 2
plus remittance in dollars:]{.underline}
Computer \$500
Cash (U.K. pounds) 2,850
Truck [2,000]{.underline}
Total gross assets \$5,350
Remittance [500]{.underline}
Total gross assets + remittance \$5,850
\(C\) [Computation of remittance proportion]{.underline}. Under
paragraph (b) of this section, U.K. section 987 branch must compute the
remittance proportion as follows:
[Amount of remittance]{.underline} \$ 500
[Total basis of U.K. section 987]{.underline}
[branch's gross assets]{.underline} [at end]{.underline}
[of Year 2, increased by amount]{.underline}
[of remittance]{.underline} \$5,850
[Remittance/gross assets]{.underline} 0.085
[Remittance proportion]{.underline} 0.085
\(D\) [Computation of section 987 gain or loss]{.underline}. The amount
of U.S. Corp's section 987 gain or loss that must be recognized with
respect to U.K. section 987 branch is determined under paragraph (a) of
this section.
Net unrecognized
section 987 gain \$80
Remittance proportion x[0.085]{.underline}
U.S. Corp's section 987 gain for Year 2: \$6.80
[Example 2]{.underline}. U.S. Corp, a calendar year domestic corporation
with the dollar as its functional currency, operates in the U.K. through
U.K. DE, an entity disregarded as an entity separate from its owner.
U.K. DE has a section 987 branch (U.K. section 987 branch) with the
pound as its functional currency. During year 2, the following transfers
took place between U.S. Corp and U.K. section 987 branch. On March 1,
year 2, U.S. Corp transferred to U.K. section 987 branch a computer with
a basis of \$100. On November 1, year 2, U.K. section 987 branch
transferred pounds to U.S. Corp. Assume that the dollar amount of the
pounds when properly translated under §1.987-4(d)(2)(ii)(A) and
paragraph (d) of this section is \$300. On the same day, U.K. section
987 branch transferred of \$20 to U.S. Corp.
\(ii\) Assume that at the end of year 2, U.K. section 987 branch holds
assets translated (as necessary) into the owner functional currency
pursuant to §1.987-4(e)(2) consisting of a plant with a pound adjusted
basis equivalent \$1,000, pound cash equivalent to \$100, a machine with
a pound adjusted basis equivalent to \$200, portfolio stock (within the
meaning of §1.987-2(b)(2)(ii)) in ABC Corporation with a pound adjusted
basis equivalent to \$150, inventory of 100 units with an aggregate
pound adjusted basis equivalent to \$100 and a computer with a pound
adjusted basis equivalent to \$100. In addition, assume that U.K.
section 987 branch has a pound liability that it entered into with Bank
A in year 1. When properly translated into dollars pursuant to
§1.987-4(e)(2) the principal amount of the liability is equal to \$500.
All such assets and liabilities are reflected on the books and records
of U.K. section 987 branch. Assume that the net unrecognized 987 gain
for U.K. section 987 branch as determined under §1.987-4 as of the last
day of year 2 is \$100.
\(iii\) U.S. Corp's section 987 gain with respect to U.K. section 987
branch is determined as follows:
\(A\) [Computation of amount of remittance]{.underline}. Under
paragraphs (c)(1) and (2) of this section, U.S. Corp must determine the
amount of the remittance for year 2 in the owner's functional currency
on the last day of year 2. The amount of the remittance for year 2 is
\$220 determined as follows:
[Transfers from U.K. section 987 branch to U.S. Corp in
dollars:]{.underline}
Cash (U.K. pounds) \$ 300
Cash (U.S. dollars) [20]{.underline}
\$ 320
[Transfer from U.S Corp to U.K. section 987 branch in
dollars:]{.underline}
Computer \$ 100
[Computation of amount of remittance]{.underline}*:*
Aggregate transfers from U.K. section 987 branch to
U.S. Corp \$ 320
Less: aggregate transfers from U.S. Corp to U.K. branch (\$
[100)]{.underline}
[Total remittance]{.underline}: \$ 220
\(B\) [Computation of branch gross assets plus remittance]{.underline}.
Under paragraph (b)(2) of this section, U.K. section 987 branch must
determine the total basis of its gross assets as are reflected on its
year-end balance sheet translated into dollars and must increase this
amount by the amount of the remittance.
> [Total pound basis of U.K. section 987 branch's gross assets
> translated into dollars at end of Year 2]{.underline}:
Plant \$ 1,000
Cash (U.K. pounds) 100
Inventory 100
Machine 200
Computer 100
Portfolio Stock [150]{.underline}
[Total gross assets]{.underline} \$1,650
Remittance [220]{.underline}
Total gross assets + remittance \$1,870
\(C\) [Computation of remittance proportion]{.underline}. Under
paragraph (b) of this section, UK section 987 branch must compute the
remittance proportion as follows.
Amount of remittance \$ 220
Total basis of U.K. section 987 branch's gross assets
at end of year 2, increased
by amount of remittance \$1,870
Remittance/gross assets 0.118
Remittance proportion 0.118
\(D\) [Computation of section 987 gain or loss]{.underline}. The amount
of U.S. Corp's section 987 gain or loss that must be recognized with
respect to U.K. section 987 branch is determined under paragraph (a) of
this section.
Net unrecognized
section 987 gain \$ 100.00
Remittance proportion x [0.118]{.underline}
US Corp's section 987 gain
for year 2 \$ 11.80
[§1.987-6 Character and source of section 987 gain or loss]{.underline}.
\(a\) [Ordinary income or loss]{.underline}*.* Section 987 gain or loss
is ordinary income or loss for Federal income tax purposes.
\(b\) [Source and character of section 987 gain or
loss]{.underline}\--(1) [In general]{.underline}. Except as otherwise
provided in this section, the owner of a section 987 QBU must determine
the source and character of section 987 gain or loss in the year of a
remittance under the rules of this paragraph (b) for all purposes of the
Internal Revenue Code, including sections 904(d), 907 and 954.
\(2\) [Method required to characterize and source section 987 gain or
loss]{.underline}. The owner must use the asset method set forth in
§1.861-9T(g) to characterize and source section 987 gain or loss. The
modified gross income method described in §1.861-9T(j) cannot be used.
\(3\) [Method required to characterize and source section 987 gain or
loss with respect to regulated investment companies and real estate
investment trusts.]{.underline} \[Reserved\].
\(c\) [Example]{.underline}. The following example illustrates the
application of this section.
[Example.]{.underline} CFC is a controlled foreign corporation as
defined in section 957 with the Swiss franc (Sf) as its functional
currency. CFC holds all the interest in a section 987 DE as defined in
§1.987-1(b)(6)(iii) that has a section 987 branch with significant
operations in Germany (German Branch). German Branch has the euro as its
functional currency. For the year 2009, CFC recognizes section 987 gain
of Sf10,000 under §§1.987-4 and 1.987-5. Applying the rules of this
section, German Branch has total average assets of Sf1,000,000 which
generate income as follows: Sf750,000 of assets that generate foreign
source general limitation income under section 904(d)(1)(I), none of
which is subpart F income under section 952; and Sf250,000 of assets
that generate foreign source passive income under section 904(d)(1)(B),
all of which is subpart F income. Under paragraph (b) of this section,
Sf7,500 (Sf750,000/Sf1,000,000 x Sf10,000) of the section 987 gain will
be treated as foreign source general limitation income which is not
subpart F income and Sf2,500 (Sf250,000/Sf1,000,000 x Sf10,000) will be
treated as foreign source passive income which is subpart F income. All
of the section 987 gain is treated as ordinary income.
[§1.987-7 Section 987 partnerships]{.underline}.
\(a\) [In general]{.underline}*.* In the case of an owner that is a
partner in a section 987 partnership, this section provides rules for
determining the owner's share of assets and liabilities of a section 987
QBU owned indirectly, as described in §1.987-1(b)(4)(ii), through a
section 987 partnership. In addition, this section provides rules
coordinating these regulations with subchapter K of chapter 1 of the
Internal Revenue Code.
\(b\) [Assets and liabilities of an eligible QBU or a section 987 QBU
held indirectly through a partnership]{.underline}. A partner's share of
the assets and liabilities reflected under §1.987-2(b) on the books and
records of an eligible QBU or a section 987 QBU owned indirectly through
a partnership shall be determined in a manner that is consistent with
the manner in which the partners have agreed to share the economic
benefits and burdens (if any), corresponding to the assets and
liabilities, taking into account the rules and principles of sections
701 through 761, and the applicable regulations, including section
704(b) and §1.701-2.
\(c\) [Coordination with subchapter K]{.underline} (1) [Partner's
adjusted basis in its partnership interest]{.underline} (i) [In
general]{.underline}. Except as provided in this paragraph, a partner's
adjusted basis in its section 987 partnership interest shall be
maintained in the functional currency of that partner and shall not be
adjusted as a result of any fluctuations in the value of the partner's
functional currency and the functional currency of any section 987 QBU
owned indirectly through the section 987 partnership.
\(ii\) [Adjustments for section 987 taxable income or loss and section
987 gain or loss]{.underline}\--(A) [Section 987 taxable income or
loss]{.underline}*.* A partner's share of the items of income, gain,
deduction or loss taken into account in calculating section 987 taxable
income or loss of a section 987 QBU, determined under §1.987-3, held
indirectly through a section 987 partnership shall be treated as income
or loss of the section 987 partnership through which the partner
indirectly owns the interest. As a result, the partner's allocable share
of the items of income, gain, deduction or loss taken into account in
calculating section 987 taxable income or loss of the section 987 QBU
shall be taken into account, following conversion into the partner's
functional currency, in determining the appropriate adjustments to the
partner's adjusted basis in its partnership interest under section 705.
\(B\) [Section 987 gain or loss]{.underline}. Solely for purposes of
determining the appropriate adjustments to a partner's adjusted basis in
its interest in a section 987 partnership under section 705, an
individual or corporation that owns a section 987 QBU indirectly through
a section 987 partnership shall treat any section 987 gain or loss of
such section 987 QBU as gain or loss of the section 987 partnership. Any
adjustments to the adjusted basis of a partner's interest in such
section 987 partnership required under this paragraph (c)(1)(ii)(B) of
this section shall occur prior to determining the effect under the
Internal Revenue Code of any sale, exchange, distribution or other
event.
\(iii\) [Adjustments for contributions and distributions]{.underline}*.*
For purposes of making adjustments to the partner's adjusted basis in
its interest in a section 987 partnership, as a result of any
contributions or distributions (including deemed contributions and
distributions under section 752) between the section 987 partnership and
the owner of a section 987 QBU owned indirectly through the partnership,
such amounts will be taken into account in the owner's functional
currency.
\(iv\) [Determination of deemed distributions and contributions under
section 752]{.underline}*\--* (A) [Increase in partner's
liabilities]{.underline}*.* For purposes of determining the amount of
any increase in a partner's share of the liabilities of the partnership,
or any increase in the partner's individual liabilities by reason of the
assumption by such partner of a liability of the partnership, which are
reflected on the books and records of a section 987 QBU owned indirectly
through such partnership and which are denominated in a functional
currency different from the partner's, the amount of such liabilities
shall be translated into the functional currency of the partner using
the spot rate (as defined in §1.987-1(c)(1)(i) and (ii)) on the date of
such increase.
\(B\) [Decrease in partner's liabilities]{.underline}*.* For purposes of
determining the amount of any decrease in a partner's share of the
liabilities of the partnership which were reflected on the books and
records of a section 987 QBU owned indirectly through such partnership
and which are denominated in a functional currency different from the
partner's functional currency, the amount of such liabilities shall be
translated into the functional currency of the partner using the
historic rate (as defined in §1.987-1(c)(3)) for the date on which such
liabilities increased the partner's adjusted basis in its partnership
interest under section 752.
\(2\) [Special rule for determining gain or loss on the sale, exchange
or other disposition of an interest in a section 987
partnership]{.underline}. For purposes of determining the amount
realized by a partner in a section 987 partnership on the sale,
exchange, or other disposition of that partner's interest in such
partnership, the amount of liabilities reflected on the books and
records of a section 987 QBU (in a functional currency different from
such partner) from which that partner is relieved as a result of such
disposition, and which are included in the amount realized pursuant to
section 752(d), shall be translated into the partner's functional
currency using the historic exchange rate (as determined under
§1.987-1(c)(3)) for the date on which such liabilities increased the
partner's adjusted basis in its partnership interest under section 752.
\(d\) [Examples]{.underline}. The purpose of the following examples is
to illustrate the application of section 987 to partnerships and their
partners. The examples are not meant to be a comprehensive
interpretation of the step-by-step computations involved in computing
net unrecognized section 987 gain or loss. Thus, for the sake of
simplicity, the examples only calculate section 987 gain or loss by
reference to certain identified assets and liabilities, rather than by
all the assets and liabilities of the section 987 QBU (as is required
under these regulations). See §1.987-4 and the examples therein for
step-by-step computations for determining the unrecognized section 987
gain or loss of the owner of a section 987 QBU.
[Example 1]{.underline}. [Computation of an owner's net unrecognized
section 987 gain or loss]{.underline}. (i) [Facts]{.underline}. PRS is a
partnership which owns QBUx, an eligible QBU, operating in the United
Kingdom. QBUx has the pound as its functional currency determined under
§1.985-1 taking into account all of QBUx's activities before application
of this section. PRS has two equal partners that are domestic
corporations, A and B, each with the U.S. dollar as its functional
currency. The portions of QBUx allocated to A and B under paragraph (b)
of this section are section 987 QBUs of A and B because under
§1.987-1(b)(2), such portions are allocated from an eligible QBU with a
different functional currency than A and B, respectively. Assume that
PRS has no items of section 987 taxable income or loss for 2007. On
January 1, 2007, A and B each contribute \$50 to PRS. PRS immediately
converts the \$100 into £100. The £100 is reflected, in accordance with
§1.987-2(b), on the books and records of QBUx. On January 1, 2007, the
spot rate is \$1 = £1. On December 31, 2007, the spot rate is \$1.50 =
£1. Pursuant to §1.987-3(b)(1), A and B use the yearly average exchange
rate, as defined in §1.987-1(c)(2), to translate items of income, gain,
deduction, or loss into dollars for the taxable year. Assume the yearly
average exchange rate is \$1.25 = £1 (\$1 = £.80). Under the PRS
partnership agreement, A and B each have an equal interest in all items
of partnership income and loss.
\(ii\) [Calculation of net unrecognized section 987 gain or
loss]{.underline}. Under paragraph (b) of this section, A and B are each
allocated £50 from eligible QBUx. This amount is reflected on the
balance sheet of the section 987 QBU of A and B, respectively, for
purposes of determining the unrecognized section 987 gain or loss under
§1.987-4. Pursuant to §1.987-4(d), the net unrecognized section 987 gain
of A's section 987 QBU and B's section 987 QBU is \$25.
[Example 2]{.underline}. [Computation of owner's net unrecognized
section 987 gain or loss]{.underline}. (i) [Facts]{.underline}. The
facts are the same as [Example 1]{.underline}, except that in addition
to the £100 contributed by A and B, PRS incurred a £50 recourse
liability from an unrelated third party on January 1, 2007. The
liability and the £50 are both reflected on the books and records of
QBUx under §1.987-2(b). Under section 752, and the regulations
thereunder, A and B bear the economic risk of loss with respect to the
£50 recourse debt equally.
\(ii\) [Calculation of net unrecognized section 987 gain or
loss]{.underline}. Under paragraph (b) of this section, A and B are each
allocated £75 from QBUx. In addition, under paragraph (b) of this
section, A and B are each allocated £25 of the liability of QBUx because
the economic burden of such liability, taking into account sections 701
through 761 of the Code, is borne equally by A and B. Under §1.987-4(d),
A and B each have net unrecognized section 987 gain of \$25.
\(iii\) [Determination of partner's adjusted basis in PRS]{.underline}.
Pursuant to paragraph (c)(1)(i) of this section and section 985(a), A
and B must determine the adjusted basis in their PRS partnership
interests in U.S. dollars. Under sections 722, 752(a) and paragraph
(c)(1)(iv)(A) of this section, the adjusted bases in such interests are
increased by the U.S. dollar amount of a deemed contribution determined
using the spot rate for the date on which such liability was incurred.
Therefore, A and B will increase the adjusted basis in their PRS
partnership interests by \$25.
[Example 3]{.underline}. [Computation of owner's net unrecognized
section 987 gain or loss]{.underline}. (i) [Facts]{.underline}. The
facts are the same as [Example 2]{.underline}, except as follows: On
January 1, 2007, instead of incurring a £50 recourse liability, PRS
incurred a £50 nonrecourse liability from an unrelated third party,
which was secured by and used to purchase non-depreciable real property
located in the United Kingdom. Under the partnership agreement, A and B
agree to share all items of partnership income and loss equally, except
that A guaranteed the nonrecourse liability and, in addition, the
partnership agreement provides that A will be allocated any gain from
the sale or exchange of the non-depreciable property. Further, the
partnership agreement provides that in the event the partnership
liquidates prior to satisfying the liability, the non-depreciable
property shall be distributed to A.
\(ii\) [Calculation of net unrecognized section 987 gain or
loss]{.underline}. Under paragraph (b) of this section, A and B are each
allocated £50 from eligible QBUx. In addition, because A bears the
economic burden of the nonrecourse liability incurred by PRS and the
economic benefits of the non-depreciable property securing such
liability, both of which are reflected on the books and records of QBUx
under §1.987-2(b), A is allocated, for purposes of applying §1.987-4(d),
both the £50 liability and the non-depreciable property with an adjusted
tax basis of £50. Under §1.987-4(d), A's net unrecognized section 987
gain is \$0, and B's net unrecognized section 987 gain is \$25.
\(iii\) [Determination of partner's adjusted basis in PRS]{.underline}.
Pursuant to paragraph (c)(1)(i) of this section and section 985(a), A
and B must determine the adjusted bases in their PRS partnership
interests in U.S. dollars. Under sections 722, 752(a) and paragraph
(c)(1)(iv) of this section, A's adjusted basis is increased by the U.S.
dollar amount of the deemed contribution determined using the spot rate
for the date on which such liability was incurred. Therefore, A will
increase the adjusted basis in its PRS partnership interest by \$50.
[Example 4]{.underline}. [Computation of owner's share of items of
section 987 taxable income]{.underline}. (i) [Facts]{.underline}. The
facts are the same as in [Example 1]{.underline}, except that during
2007 PRS earns £50 which are reflected on the books and records of QBUx.
In accordance with the partnership agreement, the £50 are allocated
equally between A and B.
\(ii\) [Calculation of section 987 taxable income or loss]{.underline}.
Under §1.987-3, A and B's allocable share of the taxable income of QBUx,
as determined by PRS, and adjusted to conform to U.S. tax principles, is
£25 each. Under §1.987-3, A and B must convert their allocable share of
the £25 into U.S. dollars using the yearly average exchange rate for the
year, in accordance with §1.987-1(c)(2). As a result, A and B each take
into account as their respective distributive share of PRS income
\$31.25. Under paragraph (c)(1)(ii)(A) of this section, section 985(a)
and section 705, such amounts, as reflected in U.S. dollars, will be
taken into account in determining any adjustments to the adjusted bases
of A's and B's partnership interests. In addition, such amounts will be
taken into account in calculating, under §1.987-4, the unrecognized
section 987 gain or loss of the section 987 QBUs of A and B.
[Example 5]{.underline}. [Computation of owner's share of items of
section 987 taxable income]{.underline}. (i) [Facts]{.underline}. The
facts are the same as in [Example 4]{.underline}, except A and B agree
to allocate the £50 of income to A. Assume for purposes of this example
that such allocation has substantial economic effect as provided under
section 704(b).
\(ii\) [Calculation of section 987 taxable income or loss]{.underline}.
Under §1.987-3, A and B's allocable share of the taxable income of QBUx,
as determined by PRS, and adjusted to conform to U.S. tax principles, is
£50 and £0, respectively. Under §1.987-3, A and B must convert their
allocable share into U.S. dollars using the yearly average exchange rate
for the year, in accordance with §1.987-1(c)(2). As a result, A and B
must each take into account as their respective distributive share of
PRS income \$62.50 and \$0, respectively. Under paragraph (c)(1)(ii)(A)
of this section, section 985(a) and section 705, such amounts, as
reflected in U.S. dollars, will be taken into account in determining any
adjustments to the adjusted bases of A's and B's respective partnership
interests. In addition, such amounts will be taken into account in
calculating, under §1.987-4, the unrecognized section 987 gain or loss
of the section 987 QBUs of A and B.
[Example 6]{.underline}. [Election by de minimis partner to not take
into account section 987 gain or loss]{.underline}. (i)
[Facts]{.underline}. The facts are the same as in [Example
1]{.underline}, except assume that A owns, directly or indirectly, less
than 5% of the total capital and profits interest in PRS and, as a
result, is eligible to elect, under §1.987-1(b)(1)(ii) not to apply the
provisions of the regulations under section 987 for purposes of taking
into account the section 987 gain or loss of A's section 987 QBU. Assume
further that A makes such election. On January 1, 2008, A sells its
interest to an unrelated third party, C, for \$75.
\(ii\) [Determination of partner's adjusted basis in PRS]{.underline}.
Pursuant to paragraph (c)(1)(i) of this section and section 985(a), A
must determine the adjusted basis of its PRS partnership interest in
U.S. dollars. A's basis in PRS is \$50, the amount of its contribution
to PRS.
\(iii\) [Sale of partnership interest by A]{.underline}. Under section
1001, A's amount realized on the sale of the partnership interest to C
is \$75. A's adjusted basis of its PRS partnership interest is \$50, the
amount of A's contribution to PRS, unadjusted by the fluctuations
between the pound and the U.S. dollar. A's gain on the sale of the
partnership interest is \$25.
[§1.987-8 Termination of a section 987 QBU]{.underline}.
\(a\) [Scope]{.underline}. This section provides rules regarding the
termination of a section 987 QBU. Paragraph (b) of this section provides
general rules for determining when a termination occurs. Paragraph (c)
of this section provides exceptions to the general termination rules for
certain transactions described in section 381(a). Paragraph (d) of this
section provides certain effects of terminations. Paragraph (e) of this
section contains examples that illustrate the principles of this
section.
\(b\) [In general]{.underline}. Except as provided in paragraph (c) of
this section, a section 987 QBU terminates when\--
\(1\) Its activities cease, such that it no longer meets the definition
of an eligible QBU as defined in §1.987-1(b)(3);
\(2\) Substantially all (within the meaning of section 368(a)(1)(C)) of
the section 987 QBU's assets are transferred from such section 987 QBU
to its owner, as provided under §1.987-2(c). For purposes of this
paragraph (b)(2), the amount of assets transferred from the section 987
QBU to its owner as a result of a transaction (for example, a
contribution of property to a DE or a partnership) as provided under
§1.987-2(c) shall be reduced by assets that are transferred from the
owner to such section 987 QBU, as provided under §1.987-2(c), pursuant
to the same transaction;
\(3\) A foreign corporation that is a controlled foreign corporation (as
defined in section 957) that is the owner of a section 987 QBU ceases to
be a controlled foreign corporation; or
\(4\) The owner of such section 987 QBU ceases to exist (including in
connection with a transaction described in section 381(a)).
\(c\) [Transactions described in section 381(a)]{.underline}\--(1)
[Liquidations]{.underline}. A termination does not occur when the owner
of a section 987 QBU ceases to exist in a liquidation described in
section 332, except in the following cases:
\(i\) The distributor is a domestic corporation and the distributee is a
foreign corporation.
\(ii\) The distributor is a foreign corporation and the distributee is a
domestic corporation.
\(iii\) The distributor and the distributee are both foreign
corporations and the functional currency of the distributee is the same
as the functional currency of the distributor's section 987 QBU.
\(2\) [Reorganizations]{.underline}. A termination does not occur when
the owner of the section 987 QBU ceases to exist in a reorganization
described in section 381(a)(2), except in the following cases:
\(i\) The transferor is a domestic corporation and the acquiring
corporation is a foreign corporation.
\(ii\) The transferor is a foreign corporation and the acquiring
corporation is a domestic corporation.
\(iii\) The transferor is a controlled foreign corporation immediately
before the transfer and the acquiring corporation is a foreign
corporation that is not a controlled foreign corporation immediately
after the transfer.
\(iv\) The transferor and the acquiring corporation are foreign
corporations and the functional currency of the acquiring corporation is
the same as the functional currency of the transferor's section 987 QBU.
\(d\) [Effect of terminations]{.underline}. A termination of a section
987 QBU as determined in this section is treated as a remittance of all
the gross assets of the section 987 QBU to its owner. As a result, any
net unrecognized section 987 gain or loss of the section 987 QBU is
recognized. See §1.987-5. For purposes of the preceding sentence, the
amount of net unrecognized section 987 gain or loss is determined as of
the date of termination by closing the books and records of the section
987 QBU on that date.
\(e\) [Examples]{.underline}. The following examples illustrate the
principles of this section:
[Example 1]{.underline}. [Cessation of operations]{.underline}. (i)
[Facts]{.underline}. DC, a domestic corporation, has a sales office in
Country X (Country X Branch) that is a section 987 QBU. DC closes its
Country X Branch.
\(ii\) [Analysis]{.underline}. The cessation of the activities of the
Country X Branch causes a termination of the section 987 QBU under
paragraph (b)(1) of this section.
[Example 2]{.underline}. [Incorporation of section 987 QBU]{.underline}.
(i) [Facts]{.underline}. DC, a domestic corporation, has a branch in
Country X (Country X Branch) that is a section 987 QBU. DC transfers all
the assets and liabilities of Country X Branch to DS, a domestic
corporation, in exchange for stock of DS in a transaction qualifying
under section 351.
\(ii\) [Analysis]{.underline}. Country X Branch terminates pursuant to
paragraph (b)(1) of this section because the Country X Branch ceases to
be an eligible QBU of DC.
[Example 3]{.underline}. [Cessation of controlled foreign corporation
status]{.underline}. (i) [Facts]{.underline}. DC, a domestic
corporation, owns all of the stock of FC, a controlled foreign
corporation as defined in section 957. FC has a section 987 QBU. FA, a
foreign corporation owned solely by foreign persons, purchases all of
the FC stock. FC will not constitute a controlled foreign corporation
after the transaction.
\(ii\) [Analysis]{.underline}. Because FC ceases to qualify as a
controlled foreign corporation after the sale of the FC stock, FC's
section 987 QBU terminates pursuant to paragraph (b)(3) of this section.
[Example 4]{.underline}. [Section 332 liquidation]{.underline}. (i)
[Facts]{.underline}. DC, a domestic corporation, operates in Country X
through FC, a wholly-owned foreign corporation organized under the laws
of Country X. FC also has a branch in Country Y (Country Y Branch) that
is a section 987 QBU. Pursuant to a liquidation described in section
332, FC transfers all of its assets and liabilities to DC.
\(ii\) [Analysis]{.underline}. FC's liquidation is a termination as
provided in paragraph (b)(4) of this section because FC ceases to exist.
The exception for certain section 332 liquidations provided under
paragraph (c)(1) of this section does not apply because DC is a domestic
corporation and FC is a foreign corporation. See paragraph (c)(1)(ii) of
this section.
[Example 5]{.underline}. [Transfers to and from section 987 QBU pursuant
to the same transaction]{.underline}. (i) [Facts]{.underline}. DC1, a
domestic corporation, owns Entity A, a DE. Entity A conducts a business
in Country X and that business is an eligible QBU and a section 987 QBU
(Country X QBU) of DC1. DC2, a domestic corporation, contributes
property to Entity A in exchange for a 95% interest in Entity A. The
property DC2 contributes to Entity A is used in the business conducted
by the Country X QBU and is reflected on its books and records as
provided under §1.987-2(b). Moreover, Entity A is converted to a
partnership as a result of the contribution. See Rev. Rul. 99-5
(situation 2), (1999-1 CB 434). See §601.601(d)(2) of this chapter.
Also, as a result of the contribution, and pursuant to §1.987-2(c)(5),
95% of the assets and liabilities on the books and records of DC1's
section 987 QBU are deemed to be transferred from such QBU to DC1, and
DC1 is deemed to transfer to such QBU 5% of the property, as determined
under §1.987-7, contributed by DC2 to Entity A.
\(ii\) [Analysis]{.underline}. As a result of the contribution of
property from DC2 to Entity A, assets were transferred from DC1's
section 987 QBU to DC1. Similarly, assets were transferred from DC1 to
its section 987 QBU as a result of the contribution. Accordingly, for
purposes of determining whether substantially all the assets of Country
X QBU were transferred from DC1's section 987 QBU as provided under
paragraph (b)(2) of this section, the assets transferred from DC1's
section 987 QBU to DC1 under §1.987-2(c) are reduced by the amount of
assets transferred from DC1 to such section 987 QBU pursuant to the
contribution.
[§1.987-9 Recordkeeping requirements]{.underline}.
\(a\) [In general]{.underline}. A taxpayer that is an owner of a section
987 QBU shall keep such reasonable records as are sufficient to
establish the QBU's section 987 taxable income or loss and section 987
gain or loss. See section 987 and section 6001 and the applicable
regulations.
\(b\) [Supplemental information]{.underline}. An owner's obligation to
maintain records under section 6001 and paragraph (a) of this section is
not satisfied unless the following information is maintained in such
records:
\(1\) The amount of the items of income, gain, deduction or loss
attributed to each section 987 QBU of the owner in the functional
currency of the section 987 QBU.
\(2\) The amount of assets and liabilities attributed to each section
987 QBU of the owner in the functional currency of the QBU.
\(3\) The exchange rates used to translate items of income, gain,
deduction or loss of each section 987 QBU into the owner's functional
currency. If a spot rate convention is used, the manner in which such
convention is determined.
\(4\) The exchange rates used to translate the assets and liabilities of
each section 987 QBU into the owner's functional currency. If a spot
rate convention is used, the manner in which such convention is
determined.
\(5\) The amount of the items of income, gain, deduction or loss
attributed to each section 987 QBU of the owner translated into the
functional currency of the owner.
\(6\) The amount of assets and liabilities attributed to each section
987 QBU of the owner translated into the functional currency of the
owner.
\(7\) The amount of assets and liabilities transferred by the owner to a
section 987 QBU determined in the functional currency of the owner.
\(8\) The amount of assets and liabilities transferred by the section
987 QBU to the owner determined in the functional currency of the owner.
\(9\) The amount of the unrecognized section 987 gain or loss for the
taxable year.
\(10\) The amount of the net unrecognized section 987 gain or loss at
the close of the taxable year.
\(11\) If a remittance is made, the average tax book value of assets as
determined under §1.861-9T(g).
\(12\) The transition information required to be determined under
§1.987-10(c)(2)(v).
\(c\) [Retention of records]{.underline}. The records required by this
section must be kept at all times available for inspection by the
Internal Revenue Service, and shall be retained so long as the contents
thereof may become material in the administration of the Internal
Revenue Code.
[§1.987-10 Transition rules]{.underline}.
\(a\) [Scope]{.underline}\--(1) [In general]{.underline}*.* These
transition rules shall apply to any taxpayer that is an owner of a
section 987 QBU pursuant to §1.987-1(b)(4) on the transition date (as
defined in paragraph (b) of this section). A taxpayer to whom this
section applies must transition from the method previously used by such
taxpayer to comply with section 987 (the "prior section 987 method") to
the method prescribed by these regulations pursuant to the rules set
forth in paragraph (c) of this section.
\(2\) [Limitation where the prior method was unreasonable]{.underline}.
Notwithstanding paragraph (a)(1) of this section, if the prior section
987 method was unreasonable (including the case where the taxpayer
failed to make the determinations required under section 987 for any
open taxable year), then the taxpayer must apply the rules of paragraph
(c)(4) of this section (and cannot apply the rules of paragraph (c)(3)
of this section) to transition to the method prescribed by these
regulations.
\(b\) [Transition date]{.underline}. The transition date is the first
day of the first taxable year to which these regulations apply to a
taxpayer.
\(c\) [Transition methods and corresponding rules]{.underline}\--(1) [In
general]{.underline}*.* Except as provided in paragraph (a)(2) of this
section, a taxpayer must transition from its prior method to the method
prescribed by these regulations under the "deferral transition method"
of paragraph (c)(3) of this section or the "fresh start transition
method" of paragraph (c)(4) of this section. If a taxpayer fails to
comply with the rules of this section, the Area Director, Field
Examination, Small Business/Self Employed or the Director, Field
Operations, Large and Mid-Size Business having jurisdiction of the
taxpayer's return for the taxable year shall determine the appropriate
transition method.
\(2\) [Conformity rules]{.underline}. The taxpayer (including all
members that file a consolidated return that includes that taxpayer),
and any controlled foreign corporation as defined in section 957 in
which the taxpayer owns more than 50 percent of the voting power or
stock (as determined in section 957(a)), must consistently apply the
same transition method for each qualified business unit subject to
section 987 owned on the transition date.
\(3\) [Deferral transition method]{.underline}\--(i) I[n
general]{.underline}. Pursuant to the deferral transition method
prescribed by this paragraph (c)(3), section 987 gain or loss must be
determined on the transition date under the taxpayer's prior section 987
method as if all qualified business units of the taxpayer subject to
section 987 (taking into account the conformity rules of paragraph
(c)(2) of this section) terminated on the last day of the taxable year
preceding the transition date. This deemed termination applies solely
for purposes of this section. Any section 987 gain or loss determined
with respect to a section 987 QBU under the preceding sentence shall not
be recognized on the transition date but shall be considered as net
unrecognized section 987 gain or loss of the section 987 QBU in the
first taxable year for which these regulations are effective (in
addition to any net unrecognized section 987 gain or loss otherwise
determined for such taxable year). Recognition of net unrecognized
section 987 gain or loss determined under the preceding sentence is
governed by §1.987-5 for periods after the transition date. The owner of
a qualified business unit that is deemed to terminate under these rules
is treated as having transferred all of the assets and liabilities
attributable to such qualified business unit to a new section 987 QBU on
the transition date.
\(ii\) [Translation rates used to determine the amount of assets and
liabilities transferred from the owner to the section 987 QBU for the
section 987 QBU's first taxable year beginning on the transition
date]{.underline}. The exchange rates used to determine the amount of
assets and liabilities transferred from the owner to the section 987 QBU
on the transition date (for example, for purposes of making calculations
under §1.987-4) under the deferral transition method in this paragraph
(c)(3) shall be determined with reference to the historic exchange rates
on the day the assets were acquired or liabilities entered into by the
qualified business unit deemed terminated, adjusted to take into account
any gain or loss determined under paragraph (c)(3)(i) of this section.
See [Examples 1]{.underline} and [2]{.underline} of paragraph (d) of
this section.
\(4\) [Fresh start transition method]{.underline}\--(i) [In
general]{.underline}. Pursuant to the fresh start transition method
prescribed by this paragraph (c)(4), on the transition date all
qualified business units of the taxpayer subject to section 987 (taking
into account the conformity rules of paragraph (c)(2) of this section)
are deemed terminated on the last day of the taxable year preceding the
transition date. This deemed termination applies solely for purposes of
this section. No section 987 gain or loss is determined or recognized on
such deemed termination. The owner of a qualified business unit that is
deemed to terminate under this method is treated as having transferred
all of the assets and liabilities attributable to such qualified
business unit to a section 987 QBU on the transition date.
\(ii\) [Translation rates used to determine the amount of assets and
liabilities transferred from the owner to the section 987 QBU for the
section 987 QBU's first taxable year on the transition
date]{.underline}. The exchange rates used to determine the amount of
assets and liabilities transferred from the owner to the section 987 QBU
on the transition date (for example, for purposes of making calculations
under §1.987-4) under the fresh start transition method of this
paragraph (c)(4) shall be determined with reference to the historic
exchange rates on the day the assets were acquired or liabilities
entered into by the qualified business unit deemed terminated. See
[Example 3]{.underline} of paragraph (d) of this section.
\(5\) [Double counting prohibited]{.underline}. The transition method
used by the taxpayer cannot result in taking into account section 987
gain or loss with respect to an asset or liability attributable to a
period prior to the transition date more than once.
\(6\) [Reporting]{.underline}. The taxpayer must attach a statement to
its return for the first taxable year beginning on the transition date
providing the following information:
\(i\) A description of each qualified business unit to which these rules
apply, the qualified business unit's owner and its principal place of
business, and a description of the prior method used by the taxpayer to
determine section 987 gain or loss with respect to such qualified
business unit.
\(ii\) The transition method used by the taxpayer under paragraph (c) of
this section for each qualified business unit.
\(iii\) If the taxpayer uses the deferral transition method prescribed
in paragraph (c)(3) of this section with respect to a qualified business
unit, an explanation of the method used to determine section 987 gain or
loss.
\(iv\) If the taxpayer uses the deferral transition method prescribed in
paragraph (c)(3) of this section with respect to a qualified business
unit, the amount treated as net unrecognized section 987 gain or loss
under paragraph (c)(3)(i) of this section.
\(v\) The method used by the taxpayer for determining the exchange rates
used to translate the basis of assets and the amount of liabilities of a
section 987 QBU into the functional currency of the owner on the
transition date as provided in paragraphs (c)(3)(ii) and (c)(4)(ii) of
this section for purposes of applying these regulations.
\(d\) [Examples]{.underline}. The principles of this section are
illustrated by the following examples:
[Example 1]{.underline}. [Deferral transition method]{.underline}. (i)
US Corp is a domestic corporation with the dollar as its functional
currency. US Corp owns UK Branch, a branch with the pound as its
functional currency. UK Branch was formed on January 1, 2006. US Corp
uses the method prescribed in the 1991 proposed section 987 regulations
to determine the section 987 gain or loss of UK Branch. US Corp
contributed £6,000 to UK Branch on January 1, 2006. On the same day, UK
Branch bought a truck for £4,000 and a computer for £1,000. Assume that
the spot rate on January 1, 2006, is £1 = \$1. UK Branch had profits
determined under §1.987-1(b)(1)(i) through (iii) of the 1991 proposed
section 987 regulations of £250 in each taxable year of 2006, 2007,
2008, and 2009. Assume that the average exchange rates used to translate
UK Branch's profits under the 1991 proposed section 987 regulations were
as follows: 2006\--£1 = \$1.10; 2007\--£1 = \$1.20; 2008\--£1 = \$1.30;
2009\--£1 = \$1.40. UK Branch makes no remittances to US Corp in any
year. On January 1, 2010, UK Branch transitions to the method provided
in §§1.987-1 through 1.987-11 of these regulations pursuant to paragraph
(a) of this section. US Corp chooses to use the deferral transition
method of paragraph (c)(3) of this section in transitioning from its
prior section 987 method (the method set forth in the 1991 proposed
section 987 regulations) to the method prescribed in the §§1.987-1
through 1.987-11 of these regulations. The spot rate on December 31,
2009, is £1=\$2.
\(ii\) Pursuant to paragraph (c)(3) of this section, US Corp must
determine UK Branch's section 987 gain or loss on January 1, 2010 using
its prior section 987 method (the method prescribed under the 1991
proposed section 987 regulations), as if UK Branch terminated on
December 31, 2009. On December 31, 2009, UK Branch has an equity pool of
£7,000 and a basis pool of \$7,250 determined under the 1991 proposed
section 987 regulations based on the following amounts:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Cash £1,000 Spot rate on 1/1/06 \$1,000
of £1=\$1
Cash £250 Ave. rate for 2006 \$275
of £1=\$1.10
Cash £250 Ave. rate for 2007 \$300
of £1=\$1.20
Cash £250 Ave. rate for 2008 \$325
of £1=\$1.30
Cash £250 Ave. rate for 2009 \$350
of £1=\$1.40
Truck £4,000\* Spot rate on 1/1/06 \$4,000
of £1=\$1
Computer £1,000\* Spot rate on 1/1/06 [\$1,000]{.underline}
of £1=\$1
**Total assets** **£7,000** **\$ 7,250**
Liabilities £0 \$0
\* Depreciation not taken into account for purposes of this example.
Accordingly, under §1.987-3(h)(3)(i) of the 1991 proposed section 987
regulations, UK Branch determines its section 987 gain or loss on
December 31, 2009, as follows:
Equity Pool on 12/31/09 £7,000
Multiplied by spot rate on date of deemed termination of £1=\$2. [x
\$2]{.underline}
\$14,000
Spot Value of Equity Pool \$14,000
Less 100% of Basis Pool [(\$7,250)]{.underline}
Section 987 gain \$6,750
\(iii\) Under paragraph (c)(3)(i) of this section, US Corp does not
recognize the \$6,750 of section 987 gain determined on the transition
date. Instead, the \$6,750 will be treated as net unrecognized section
987 gain of UK Branch for 2010 and subsequent years (in addition to any
net unrecognized section 987 gain or loss otherwise determined at the
close of 2010 and subsequent years). Recognition of net unrecognized
section 987 gain or loss is governed by §1.987-5.
\(iv\) Pursuant to paragraph (c)(3)(ii) of this section, when computing
the exchange rates used to determine the amount of assets and
liabilities transferred from US Corp to UK Branch on the transition
date, US Corp must adjust the historic exchange rates attributable to
such assets to take into account UK Branch's section 987 gain determined
under paragraph (c)(3) of this section. Under these facts, where all of
UK Branch's assets are considered to generate deferred section 987 gain,
US Corp takes into account this section 987 gain by translating the
assets deemed contributed by US Corp to UK Branch on the transition date
using the same spot rate it used to determine UK Branch's section 987
gain on the deemed termination date of December 31, 2009. Accordingly,
on January 1, 2010, US Corp translates the assets deemed contributed
(cash is segregated for ease of illustration) to UK Branch as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Cash £1,000 Spot rate on 12/31/09 \$2,000
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Truck £4,000 Spot rate on 12/31/09 \$8,000
of £1=\$2
Computer £1,000 Spot rate on 12/31/09 [\$2,000]{.underline}
of £1=\$2
**Total assets** **£7,000** **\$14,000**
Liabilities £0 \$0
[Example 2]{.underline}. [Deferral transition method]{.underline}. (i)
The facts are the same as in [Example 1]{.underline} except that US Corp
and UK Branch use an "earnings only" approach to determine section 987
gain or loss prior to the transition date. Under this approach, US Corp
maintains a basis and equity pool for UK Branch's earnings and a
separate basis and equity pool for UK Branch's capital. Section 987 gain
or loss is only recognized on remittances of earnings (but not with
respect to capital) under principles similar to those of the 1991
proposed section 987 regulations. Remittances are first considered as
distributed from the earnings equity pool and then from the capital
equity pool. For purposes of this example, this method is assumed to be
a reasonable section 987 method and does not violate §1.987-10(a)(2).
\(ii\) Using principles similar to those set forth in §1.987-2 of the
1991 proposed section 987 regulations, the earnings equity pool of UK
Branch is £1,000 (£250 earned in each taxable year of 2006, 2007, 2008
and 2009) and the corresponding earnings basis pool is \$1,250 (\$275 in
2006, \$300 in 2007, \$325 in 2008 and \$350 in 2009). The capital
equity pool is £6,000 and the corresponding capital basis pool is
\$6,000 (contributed cash of £6,000 translated to equal \$6,000\--which
US Corp can trace to contributed cash remaining of £1,000 with a
translated basis equal to \$1,000; a truck of £4,000 with a translated
basis equal to \$4,000; and a computer of £1,000 with a translated basis
equal to \$1,000).
\(iii\) Pursuant to paragraph (c)(3)(i) of this section, US Corp must
determine UK Branch's section 987 gain or loss on January 1, 2010, using
its prior section 987 method (the "earnings only" method), as if UK
Branch terminated on December 31, 2009. Using principles similar to
§1.987-3(h) of the 1991 proposed section 987 regulations with respect to
the earnings equity and basis pool, US Corp would determine \$750 of
section 987 gain as follows:
Earnings Equity Pool on 12/31/09 £1,000
Multiplied by spot rate on date of deemed termination of £1=\$2. [x
\$2]{.underline}
\$2,000
Spot Value of Earnings Equity Pool \$2,000
Less 100% of Earnings Basis Pool [(\$1,250)]{.underline}
Section 987 gain \$750
\(iv\) Under paragraph (c)(3)(i) of this section, US Corp does not
recognize the \$750 of section 987 gain determined on the transition
date. Instead, the \$750 will be treated as net unrecognized section 987
gain of UK Branch for 2010 and subsequent years (in addition to any net
unrecognized section 987 gain or loss otherwise determined at the close
of 2010 and subsequent years). Recognition of net unrecognized section
987 gain or loss is governed by §1.987-5.
\(v\) Pursuant to paragraph (c)(3)(ii) of this section, when computing
the exchange rates used to determine the amount of assets and
liabilities transferred from US Corp to UK Branch on the transition
date, US Corp must adjust the historic exchange rates attributable to
such assets to take into account UK Branch's section 987 gain determined
under paragraph (c)(3) of this section. Under these facts, US Corp may
reasonably take into account UK Branch's section 987 gain by translating
those UK Branch's assets that generated such gain using the same spot
rate it used to determine UK Branch's section 987 gain on the
termination date of December 31, 2009 and by determining the translation
rate of other assets by reference to the traced basis of such assets.
Accordingly, on January 1, 2010, US Corp translates the deemed
contributions to UK Branch as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Contributed
Cash £1,000 Spot rate on 1/1/06 \$1,000
of £1=\$1
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Cash £250 Spot rate on 12/31/09 \$500
of £1=\$2
Truck £4,000 Spot rate on 1/1/06 \$4,000
of £1=\$1
Computer £1,000 Spot rate on 1/1/06 [\$1,000]{.underline}
of £1=\$1
**Total assets** **£7,000** **\$ 8,000**
Liabilities £0 \$0
\(vi\) If UK Branch was not able to trace historic dollar basis as set
forth in paragraph (v) of this [Example 2]{.underline}, when translating
the assets deemed contributed to UK Branch on January 1, 2010, under
paragraph (c)(3)(ii) of this section, US Corp would be required to use
exchange rates that take into account a reasonable allocation of the
aggregate historic basis and the \$750 of deferred section 987 gain to
the UK Branch assets.
[Example 3. Fresh start transition method]{.underline}. (i) The facts
are the same as in [Example 1]{.underline}, except that US Corp chooses
to use the fresh start transition method of paragraph (c)(4) of this
section in transitioning from the 1991 proposed regulations to the
method prescribed in the current regulations. Pursuant to paragraph
(c)(4)(i) of this section, UK Branch is deemed to terminate on December
31, 2009. However, no section 987 gain or loss will be determined or
recognized. On January 1, 2010, when translating the assets deemed
contributed to UK Branch, US Corp will use the historic exchange rates
existing on the date the assets were acquired by UK Branch pursuant to
paragraph (c)(4)(ii) of this section. Accordingly, US Corp translates
the assets deemed contributed (cash is segregated for ease of
illustration) to UK Branch as follows:
[Asset]{.underline} [Amount in £]{.underline} [Translation
Rate]{.underline} [Amount in \$]{.underline}
Cash £1000 Spot rate on 1/1/06 \$1,000
of £1=\$1
Cash £250 Ave. rate for 2006 \$275
of £1=\$1.10
Cash £250 Ave. rate for 2004 \$300
of £1=\$1.20
Cash £250 Ave. rate for 2005 \$325
of £1=\$1.30
Cash £250 Ave. rate for 2006 \$350
of £1=\$1.40
Truck £4000 Spot rate on 1/1/06 \$4,000
of £1=\$1
Computer £1000 Spot rate on 1/1/06 [\$1,000]{.underline}
of £1=\$1
**Total assets** **£7000** **\$ 7,250**
Liabilities £0 \$0
\(ii\) If UK Branch was not able to trace historic dollar basis as set
forth in paragraph (i) of this [Example 3]{.underline}, when translating
the assets deemed contributed to UK Branch on January 1, 2010, under
paragraph (c)(3)(ii) of this section, US Corp would be required to use
exchange rates that take into account a reasonable allocation of the
aggregate historic basis of the UK Branch assets.
[§1.987-11 Effective date]{.underline}.
\(a\) [In general]{.underline}. Except as otherwise provided in this
section, these regulations shall apply to taxable years beginning one
year after the first day of the first taxable year following the date of
publication of a Treasury decision adopting this rule as a final
regulation in the **Federal Register**.
\(b\) [Election to apply these regulations to taxable years beginning
after the date of publication of a Treasury decision adopting this rule
as a final regulation in the **Federal Register**]{.underline}. A
taxpayer may elect to apply these regulations to taxable years beginning
after the date of publication of a Treasury decision adopting this rule
as a final regulation in the **Federal Register**. Such election shall
be binding on all members that file a consolidated return with the
taxpayer and any controlled foreign corporation, as defined in section
957, in which the taxpayer owns more than 50 percent of the voting power
or stock (as determined in section 957(a)). An election made under this
paragraph shall be made in accordance with §1.987-1(f).
Par. 6. Section 1.988-1 is amended by:
1\. Adding paragraphs (a)(3) and (a)(4).
2\. Revising paragraph (a)(10)(ii).
3\. Adding two sentences to the end of paragraph (i).
The additions and revision read as follows:
[§1.988-1 Certain definitions and special rules]{.underline}.
\* \* \* \* \*
\(a\) \* \* \*
\(3\) [Certain transactions of a section 987 QBU denominated in the
functional currency of the owner are not treated as section 988
transactions]{.underline}. Transactions described in §1.987-3(e)(2)
(regarding certain transactions that are denominated in the functional
currency of the owner of a section 987 QBU) are not treated as section
988 transactions to a section 987 QBU. Thus, no currency gain or loss
shall be recognized by a section 987 QBU under section 988 with respect
to such items.
\(4\) [Treatment of assets and liabilities of a partnership or DE that
are not attributed to an eligible QBU]{.underline}\--(i)
[Scope]{.underline}. This paragraph (a)(4) applies to assets and
liabilities of a partnership, or of an entity disregarded as an entity
separate from its owner for U.S. Federal income tax purposes (DE), that
are not attributable to an eligible QBU (within the meaning of
§1.987-1(b)(3)) as provided under §1.987-2(b).
\(ii\) [Partnerships]{.underline}. For purposes of applying section 988
and the applicable regulations to transactions involving the assets and
liabilities described in paragraph (a)(4)(i) of this section that are
held by a partnership, the owners of the partnership (within the meaning
of §1.987-1(b)(4)) shall be treated as owning their share of such assets
and liabilities. Section 1.987-7(b) shall apply for purposes of
determining an owner's share of such assets or liabilities.
\(iii\) [Disregarded entities]{.underline}. For purposes of applying
section 988 and the applicable regulations to transactions involving the
assets and liabilities described in paragraph (a)(4)(i) of this section
that are held by a DE, the owner of the DE (within the meaning of
§1.987-1(b)(4)) shall be treated as owning all of such assets and
liabilities.
\(iv\) [Example]{.underline}. The following example illustrates the
application of paragraph (a)(4) of this section:
[Example]{.underline}. [Liability held through a
partnership]{.underline}. (i) [Facts]{.underline}. P, a foreign
partnership, has two equal partners, X and Y. X is a domestic
corporation with the dollar as its functional currency. Y is a foreign
corporation that has the yen as its functional currency. On January 1,
year 1, P borrowed yen and issued a note to the lender that obligated P
to pay interest and repay principal to the lender in yen. Also on
January 1, year 1, P used the yen it borrowed from the lender to acquire
100% of the stock of F, a foreign corporation, from an unrelated person.
P also holds an eligible section 987 QBU (within the meaning of
§1.987-1(b)(3)) that has the yen as its functional currency. P maintains
one set of books and records. The assets and liabilities of the eligible
QBU are reflected on the P books and records as provided under
§1.987-2(b). The F stock held by P, and the yen liability incurred to
acquire the F stock, are also recorded on the books and records of P,
but are not reflected on such books and records for purposes of section
987 pursuant to §1.987-2(b)(2)(i)(A) and (C), respectively.
\(ii\) [Analysis]{.underline}. X's portion of the assets and liabilities
of the eligible QBU owned by P is a section 987 QBU. Y's portion of the
assets and liabilities of the eligible QBU owned by P is not a section
987 QBU because Y and the eligible QBU have the same functional
currency. Because the F stock and yen-denominated liability incurred to
acquire such stock are not reflected on the books and records of the
eligible QBU, they are not subject to section 987. In addition, because
the F stock and the yen-denominated liability incurred to acquire such
stock are held by P (but not attributable to P's eligible QBU), X and Y
are treated as owning their share of such stock and liability,
determined under §1.987-7(b), for purposes of applying section 988. As a
result, P's becoming the obligor under the portion of the
yen-denominated note that is treated as being an obligation of X is a
section 988 transaction pursuant to paragraphs (a)(1)(ii), (a)(2)(ii)
and (a)(3) of this section. Similarly, the disposition of yen on
payments of interest and principal on the liability, to the extent such
yen are treated as owned by X, are section 988 transactions under
paragraphs (a)(1)(i) and (a)(3) of this section. P's becoming the
obligor under Y's portion of the yen-denominated note, and Y's portion
of the yen disposed of in connection with payments on such note, are not
section 988 transactions because Y has the yen as its functional
currency.
\(5\) \[Reserved\].
\* \* \* \* \*
\(10\) \* \* \*
\(ii\) [Certain transfers]{.underline}. (A) Exchange gain or loss with
respect to nonfunctional currency or any item described in paragraph
(a)(2) of this section entered into with another taxpayer shall be
realized upon a transfer (as defined under §1.987-2(c)) of such currency
or item from an owner to a section 987 QBU or from a section 987 QBU to
the owner where as a result of such transfers the currency or other such
item\--
([i]{.underline}) Loses its character as nonfunctional currency or an
item described in paragraph (a)(2) of this section; or
([ii]{.underline}) Where the source of the exchange gain or loss could
be altered absent the application of this paragraph (a)(10)(ii).
\(B\) Such exchange gain or loss shall be computed in accordance with
§1.988-2 (without regard to §1.988-2(b)(8) as if the nonfunctional
currency or item described in paragraph (a)(2) of this section had been
sold or otherwise transferred at fair market value between unrelated
taxpayers. For purposes of the preceding sentence, a taxpayer must use a
translation rate that is consistent with the translation conventions of
the section 987 QBU to which or from which, as the case may be, the item
is being transferred. In the case of a gain or loss incurred in a
transaction described in this paragraph (a)(10)(ii) that does not have a
significant business purpose, the Commissioner, may defer such gain or
loss.
\* \* \* \* \*
\(i\) \* \* \* Generally, the revisions to paragraphs (a)(3), (a)(4),
(a)(5), and (a)(10)(ii) of this section shall apply to taxable years
beginning one year after the first day of the first taxable year
following the date of publication of a Treasury decision adopting this
rule as a final regulation in the **Federal Register**. If a taxpayer
makes an election under §1.987-11(b), then the effective date of the
revisions to paragraphs (a)(3), (a)(4), and (a)(10)(ii) of this section
with respect to the taxpayer shall be consistent with such election.
Par. 7. Section 1.988-4 is amended by revising paragraph (b)(2) to read
as follows:
[§1.988-4 Source of gain or loss realized on a section 988
transfer]{.underline}
\* \* \* \* \*
\(b\) \* \* \*
\(2\) [Proper reflection on the books of the taxpayer or qualified
business unit]{.underline}\--(i) [In general]{.underline}. For purposes
of paragraph (b)(1) of this section, the principles of §1.987-2(b) shall
apply in determining whether an asset, liability, or item of income or
expense is reflected on the books of a qualified business unit.
\(ii\) [Effective date]{.underline}. Generally, paragraph (b)(2)(i) of
this section shall apply to taxable years beginning one year after the
first day of the first taxable year following the date of publication of
a Treasury decision adopting this rule as a final regulation in the
**Federal Register**. If a taxpayer makes an election under
§1.987-11(b), then the effective date of paragraph (b)(2)(i) with
respect to the taxpayer shall be consistent with such election.
\* \* \* \* \*
Par. 8. Section 1.989(a)-1 is amended as follows:
1\. The last sentence of paragraph (b)(2)(i) is revised.
2\. Paragraph (b)(4) is added.
The revision and addition reads as follows:
[§1.989(a)-1 Definition of a qualified business unit]{.underline}.
\(b\) \* \* \*
\(2\) \* \* \*
\(i\) [Persons]{.underline}-*-* \* \* \* A trust or estate is a QBU of
the beneficiary.
\* \* \* \* \*
\(4\) [Effective date]{.underline}. Generally, the revisions to
paragraph (b)(2)(i) of this section shall apply to taxable years
beginning one year after the first day of the first taxable year
following the date of publication of a Treasury decision adopting this
rule as a final regulation in the **Federal Register**. If a taxpayer
makes an election under §1.987-11(b), then the effective date of the
revisions to paragraph (b)(2)(i) of this section with respect to the
taxpayer shall be consistent with such election.
\* \* \* \* \*
**§1.989(c)-1 \[Removed\]**
Par. 9. Section 1.989(c)-1 is removed.
Deputy Commissioner for Services and Enforcement.
[^1]: H. Rep. No. 99-426, 99^th^ Cong., 1^st^ Sess. (1985); 1986-3 CB
Vol 2, 449. S. Rep. No 99-313, 99^th^ Cong., 2d Sess. (1986); 1986-3
CB Vol. 3, 443. H.R. Conf. Rep. No. 99-841, 99^th^ Cong., 2d Sess.
(1986); 1986-3 CB Vol. 4, 659. Later citations are to the Cumulative
Bulletin. See §601.601(d)(2).
[^2]: Section 989(b)(4) provides that, "except as provided in
regulations," the appropriate exchange rate is the average exchange
rate for the taxable year of the QBU.
[^3]: Notably, because section 987 gain or loss may be derived from
assets acquired with earnings and capital of a section 987 QBU (or
from liabilities entered into by the QBU), using post-1986
accumulated earnings to characterize exchange gain or loss under
section 987 may not reflect all items giving rise to such gain or
loss.
[^4]: Opening cash of ¥100,000 + ¥ 10,000 borrowed + ¥12,000 income from
services - ¥2,000 expenses.
[^5]: The depreciation assumptions are for illustrative purposes only
and may not be consistent with true depreciation rates.
[^6]: £100 on the closing 2008 balance sheet plus £300 gross receipts
less £100 inventory cost, less £30 of additional expenses, less £30
transferred to U.S. Corp.
[^7]: £1,000 on the closing 2008 balance sheet less £33 depreciation.
[^8]: £200 on the closing 2008 balance sheet less £40 depreciation.
[^9]: Dollars are reduced by \$20 transferred to U.S. Corp.
| en |
converted_docs | 159867 | *Issues Workbook*
**Let's Get Started\...**
At this early stage of planning we are seeking your input via meetings,
this workbook, and any other written or verbal comments submitted to us.
We would like to hear directly from you - to learn how you feel about
the Refuge, any issues or concerns you have, and any suggestions you may
have about how to better accomplish our mission. We encourage you to
provide comments to us as soon as possible. The sooner we receive your
comments, the sooner we will be able to incorporate them into the
planning process.
Thanks for taking the time to give us your input!
**Questions on Values, Vision and the Service's Role**
1. What do you value most about the Connecticut River and its
watershed?
2. What do you consider to be the most important problem facing the
watershed?
3\. Which of the following Refuge-sponsored activities have you heard
about or participated in? Which do you think sound valuable? (Please
place an X in the box corresponding with your answer)
-------------------------------------------- --------- ---------------- --------------
**Activities** **Heard **Participated **Valuable**
About** In**
Exhibits at the Montshire Museum
Educational programs at Montshire Museum
Exhibits at the Great North Woods Visitor
Center
Programs at Great North Woods Visitor Center
Exhibits at Great Falls Discovery Center
Programs at Great Falls Discovery Center
Invasive plant control workshops for land
managers
Invasive plant conferences
Volunteer invasive plant control projects
Endangered species volunteer work
Technical assistance from Refuge staff
Financial assistance through grants
Cooperative projects with partners in land
protection
Cooperative projects with partners to
control invasive species
Hunting on Refuge lands
Fishing on Refuge lands
Walking/hiking/skiing/snowshoeing on Refuge
lands
Birding or other wildlife observation on
Refuge lands
Photography on Refuge lands
Environmental education/interpretation
programs on Refuge lands
Environmental education/interpretation
programs at other outdoor locations
sponsored by the Refuge
Snowmobiling on the Nulhegan Basin or
Pondicherry Divisions
-------------------------------------------- --------- ---------------- --------------
4\. Where have you heard of the Refuge's CCP efforts before?
**Questions on Conservation**
5\. Please keep in mind that the U.S. Fish and Wildlife Service
concentrates its efforts on migratory species and federally endangered
species. In your opinion, which species or habitats should be a priority
for the Refuge? Please rank the following in priority order (1 being the
highest priority, 2 being the second highest, and so on). If you do not
think we should be engaged in a choice, please place an X in the blank.
\_\_\_\_ declining songbird populations
\_\_\_\_ songbirds whose natural range is mostly in New England
\_\_\_\_ migratory fish (e.g. Atlantic salmon, American shad, river
herring, eels)
> \_\_\_\_ federally threatened and endangered species (piping plover,
> bald eagle, Puritan tiger beetle, dwarf wedge mussel, shortnose
> sturgeon. Jesup's milk-vetch, small-whorled pogonia, northeast
> bulrush)
\_\_\_\_ regionally declining plants
\_\_\_\_ state-listed threatened and endangered species
\_\_\_\_ rare habitats
\_\_\_\_ protection of large blocks of forest
\_\_\_\_ protection of large blocks of grassland
\_\_\_\_ restoration of floodplain forests
\_\_\_\_ protection/restoration of wetlands
\_\_\_\_ protection/restoration of riparian areas
\_\_\_\_ other \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
6\. Which tools should the Service use to help them conserve, protect,
and enhance priority species and habitats? Please rank the following
tools in priority order (1 being the highest priority, 2 being the
second highest, and so on). If you do not think we should be engaged in
a choice, please put an X in the blank.
\_\_\_\_ land acquisition from willing sellers at market value
> \_\_\_\_ focused land management on appropriate Refuge lands (to
> enhance conditions for priority species)
\_\_\_\_ conduct research on Refuge lands\
\
\_\_\_\_ conduct monitoring on Refuge lands\
\
\_\_\_\_ provide research and demonstration areas on Refuge lands
\_\_\_\_ technical assistance to encourage focused land management on
appropriate private lands
\_\_\_\_ purchase of development rights
\_\_\_\_ work with other agencies and conservation groups
\_\_\_\_ work with private landowners
\_\_\_\_ targeted education to decision makers and land managers
\_\_\_\_ work to remove barriers to fish passage
\_\_\_\_ work to improve in-stream habitats
\_\_\_\_ other (please
specify)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
7\. Which of the following issues should be a priority for the Refuge?
Please rank the following issues in priority order (1 being the highest
priority, 2 being the second highest, and so on). If you do not think we
should be engaged in an issue, please place an X in the blank.
\_\_\_\_ loss of habitat to suburban and industrial development
\_\_\_\_ fragmentation of habitats by roads and development
\_\_\_\_ lack of fish passage due to dams and culverts
\_\_\_\_ impacts of human activities to water quality and aquatic
habitats
\_\_\_\_ loss of surface water levels or flow reductions due to water
withdrawals
\_\_\_\_ effects of recreational use on wildlife habitats
\_\_\_\_ lack of management capability to maintain optimal habitats
\_\_\_\_ displacement of native species by invasive exotic plants and
animals
\_\_\_\_ threats to federal-listed species
\_\_\_\_ negative public sentiment toward certain management techniques
(e.g. forestry, burning, herbicides)
\_\_\_\_ other (please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**Questions on Education**
8\. Please rank the topics you think we should be teaching in priority
order (1 being the highest priority). If you do not think we should be
engaged in a choice, please place an x in the blank.
\_\_\_\_ general natural resource concepts
\_\_\_\_ wildlife/habitat concepts
\_\_\_\_ the needs of migratory species
\_\_\_\_ the problems faced by endangered species
\_\_\_\_ resource stewardship
\_\_\_\_ how to control invasive species
\_\_\_\_ how to manage land for wildlife
\_\_\_\_ impact of personal choices on ecosystem health
\_\_\_\_ value of biodiversity
\_\_\_\_ how to connect with/enjoy the outdoors
\_\_\_\_ others (please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
9\. Please rank the audiences you think we should be reaching in
priority order (1 being the highest priority). If you do not think we
should be engaged in a choice, please place an X in the blank.
\_\_\_\_ K-12th grade students
\_\_\_\_ teachers of K-12th grade students
\_\_\_\_ nature center staffs
> \_\_\_\_ special audiences that can influence/solve certain problems
> (landowners, foresters, recreational users, etc.)
\_\_\_\_ urban residents
\_\_\_\_ rural residents
\_\_\_\_ college students
\_\_\_\_ families
\_\_\_\_ others (please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
10\. Please rank the educational tools you think we should be using in
priority order (1 being the highest priority). If you do not think we
should be engaged in a choice, please place an X in the blank.
\_\_\_\_ articles in newspapers and magazines
\_\_\_\_ field trips and workshops
\_\_\_\_ general educational programs
\_\_\_\_ mobile exhibits that visit fairs, schools, nature centers
\_\_\_\_ demonstration projects
\_\_\_\_ others (please specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**\
Questions on Recreation and Public Access**
While natural diversity conservation and ecosystem health are the
Refuge's primary purposes, some public uses can be allowed when they do
not impact these resources. In fact, the National Wildlife Refuge System
Improvement Act of 1997 identifies six priority wildlife-dependent
public uses that are to receive enhanced consideration on national
wildlife refuges: environmental education, interpretation, fishing,
hunting, wildlife observation, and photography. These six uses will be
evaluated in this planning process.
Other uses must be evaluated by the refuge manager to see if they are
"appropriate" and "compatible." Such things as whether the activity
contributes to fulfilling the refuge's purposes, its consistency with
applicable laws, regulations and policies, whether it can be offered
consistent with public safety, whether the refuge has the budget and
staffing resources to administer the use, whether the activity will
impair the existing wildlife-dependent recreational uses, whether the
activity is available/can be done elsewhere, and anticipated impacts to
resources are all considered prior to allowing uses.\
\
11. Are any of these activities or current levels of use on the Refuge a
concern?
wildlife viewing \_\_\_ photography \_\_\_
environmental education \_\_\_ interpretation \_\_\_
hunting \_\_\_ fishing \_\_\_\
\
hiking \_\_\_ skiing/snowshoeing \_\_\_
snowmobile access \_\_\_ vehicle access \_\_\_
Please explain your concerns:
12\. In your opinion, what other activities should occur on Refuge
lands?
13\. Have you used any of our recreational facilities (visitor/education
centers, roads, trails, kiosks, other signage). Do they meet your needs?
14\. Do you have other comments on recreational use?
**That's it! Thank you for your time.**
IMPORTANT: Now that you are done, please separate pages 3-10 and mail
them back to us by April 13, 2007. We will summarize these public
comments and those received at the public meeting in our next
newsletter. Please help us keep our mailing list updated by completing
the following.
If you have specific challenges, needs, opportunities that you would
like to bring to our attention, please attach information or contact us
at anytime in the process.
If you wish to receive future "Planning Updates" about the Silvio O.
Conte National Fish and Wildlife Refuge comprehensive conservation plan,
please fill in the appropriate information below and return the with the
Issues Workbook.
> \_\_\_\_\_\_ (Yes) Keep me on your mailing list/add me to your mailing
> list
>
> \_\_\_\_\_\_ (No) Take me off your mailing list.
>
> Name:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
(Please Print)
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> City:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> State \_\_\_\_\_\_\_\_\_\_\_ Zip Code: \_\_\_\_\_\_\_\_\_\_\_
If you are acting in an official capacity as the representative of an
organization please complete the following two items.
Organization:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Title:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
IMPORTANT: Please note that names on the CCP mailing list become part of
the public record for this project. The Service must release names only,
if requested, under the provisions of the Freedom of Information Act of
1974. To retain you on our mailing list we need your permission. Please
sign below.
Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
U.S. Fish & Wildlife Service
{width="1.1111111111111112in"
height="0.6590277777777778in"}http://www.fws.gov
March 2007
| en |
markdown | 183800 | # Presentation: 183800
## Carrier Phase-Based GNSS: a university research agenda
**Chris Rizoz:**
**Chris Rizoz:**
**Chris Rizos**
- Satellite Navigation & Positioning (SNAP) Group, School of Surveying & Spatial Information Systems
- The University of New South Wales, Sydney, Australia
- Civil GPS Service Interface Committee Meeting10-11 February 2003, Melbourne, Australia
## GPS R&D: The Big Picture
University GPS Research Topics
The Australian Scene: CRC & NICTA
Directions in SNAP Research
- University GPS Research Topics
- The Australian Scene: CRC & NICTA
- Directions in SNAP Research
**Overview**
## GPS: Space-Based Positioning System of Unequalled Versatility
**Geodetic technique **--** *****accurate, low-cost, portable, massive ground infrastructure***
**Surveying tool **-- ***valuable addition to the surveyor's toolkit***
**Navigation technology **--** *****affordable, ubiquitous, impacting on all marine-air-land navigation practice***
**Consumer electronics **-- ***alter society's view of the world & influence the mobile services provided through wireless technologies***
## First civilian GPS (geodetic) receivers, early 1980s
***First civilian GPS (geodetic) receivers, early 1980s***
***First Australian GPS control survey, ******state of South Australia 1985***
## 1980s: military, surveying & geodesy
1990s: navigation users
2000s: consumer electronics, LBS
**1980s:**** military, surveying & geodesy**
**1990s:**** navigation users**
**2000s:**** consumer electronics, LBS**
***This has influenced the R&D trends...****** ******So what have the universities been doing?***
## Australian University GPS R&D (1)
**‘****Geodesy’ the primary driver since the mid-1980s**
**Concentrated in depts of surveying/geomatics**
**Algorithm development... *****CPH modelling & processing, AR, etc.***** **
**Applications focus... *****geodynamics, reference frame, surveying, “kinematic”, etc.***
**UNSW, CUT, UM, RMIT, USA, UT, UC, QUT**
***Has uni R&D focus evolved with application trends?***
## Australian University GPS R&D (2)
**Largely CPH-based... *****PR techniques & apps have been shunned***
**No hardware developments... *****EE skills lacking***
**No navigation technology ‘research culture’... *****EE depts totally indifferent to GNSS R&D***** **
**Industry dominated by SMEs... *****minor influence on university R&D***
***Can university R&D capability adapt to new challenges?***
## Convergence of Developments
- Wireless Communications
- Mobile Computing
- Mobile Positioning
- Spatial Database Servers
***Will the Uni R&D agenda reflect such mainstream technologies/apps, or remain focused on niches???***
## GPS: the “slow burn” technology
**At heart of convergence of ****crucial technologies: *****GPS the core technology***
**Low-cost, high-performance of GPS**
**GPS as infrastructure: *****a vital utility***
**Next generation GNSS: *****modernized GPS, Galileo, etc*****.**
**Massive potential for new ****products & services**
## GPS-Related Research Challenges (1)
- _Deformation/Geodynamics_:GPS HW/SW systems, coms issues, time series analysis, DInSAR/remote sensing, engineering apps, etc.
- _CGPS_:Base stn QC/ops, coms issues, web apps, scalability, servers, multi-functionality, new services, non-positioning apps, etc.
- _GPS Meteorology_:Ionospheric & tropospheric studies, ground & space-based, interaction with NWM, etc.
- _"Indirect" GPS_:Bistatic radar imaging, multipath analysis, ground & airborne systems, remote sensing apps, etc.
- _Long-Range Kinematic GPS_:Ocean buoy positioning, CGPS apps over long distances, coms issues, etc.
- _GPS/Glonass/Galileo_:Observation modelling, new data processing algorithms, multi-frequency OTF-AR, QC, new apps, receiver customisation, etc.
## GPS-Related Research Challenges (2)
- _Precise Navigation_:New apps, coms link issues, new instrumentation, new algorithms, etc.
- _Hazard Monitoring_:Volcanoes, landslides, structural integrity, ground subsidence, *which technology & processing strategies?*
- _GNSS Augmentations_:WAAS, WADGPS, RADGPS, *testing & advice on implementation issues*
- _GPS & Internet & Wireless_:Internet DGPS, RTK, processing engines, monitoring & control, etc.
- _Multi-Sensor Systems_:GPS+INS, LIDAR, CCD+, MEMS integration challenges.
- _MSS Applications_:Mobile mapping, augmented reality, robotics (guidance/control), etc.
- _New Technologies_:Pseudolites, receiver designs, mobilephone positioning, WLAN, etc.
- _Telegeoinformatics_:LBS, GIS, indoor positioning, *apps issues, mobile devices & wireless coms.*
## The Australian Scene
**GPS expertise concentrated in surveying/geomatics depts., *****not EE*****.**
**Applied/practical research is more valued by industry, *****but CPH-based research provides necessary challenges for academia*****.**
**Australian GPS R&D is worldclass (although predominantly focused on CPH-based tech/apps).**
***Cooperative Research Centre in Spatial Information (CRC-SI) to be established mid-2003.***
***National ICT Centre-of-Excellence established 2002.***
## CRC-SI (1)
**Industry, government & university consortium**
**To begin from mid-2003**
**Seven year funding **>$4m(cash),$10m(inkind) p.a.
**Focus on the science & applications of SI**
**Five research programs**
**Seven demonstrator projects**
***Commercialisation, advanced training & technology transfer ****from CRC to industry & government partners*
***First opportunity for university GNSS R&D agenda to be shaped by industry/users... ***
## CRC-SI (2)
**SME consortium**
**Public sector agencies: **Geosciences Australia, DIGO, DITM, Land Victoria, DOLA, AgWest, etc.
**Universities: **Univ. of Melbourne, UNSW, Curtin Univ., Charles Sturt Univ.
**Industry contributions: **ESRI, Intergraph, Raytheon, and others
**Headquarters at Univ. of Melbourne**
***Research programs headed by university****** researchers***
***Demonstrators link research to ******integrated outcomes***
## CRC-SI (3)
**Integrated Positioning & Mapping Systems - *****Chris Rizos (UNSW)****** ***** **
- Metric Imagery as a Spatial Information Source - *Clive Fraser (UM)*
- Spatial Information System Design & Spatial Data Infrastructures - *Ian Williamson (UM)*
- Earth Observation for Renewable Natural Resource Management - *Tony Milne (UNSW)*
- Modelling & Visualisation for Spatial Decision Support - *Ian Bishop (UM)*
## NICTA
**Recent announcement by Federal Government of ICT ‘centre of excellence’ to NSW-ACT consortium.**
**Universities: UNSW, ANU, Sydney Univ.**
**UNSW is lead institution.**
**Others: ACT, DITM, Lend Lease, ...**
**$130m over 5 years (matched by other funds).**
**>200 fulltime researchers & lots of graduate students.**
**Dominated by EE, Telecom Eng. & Comp. Sci.**
***Challenge: how to encourage R&D into SI Technology & Applications?***
## Satellite Navigation and Positioning (SNAP) Group
- Located within the School of Surveying & SIS, Faculty of Engineering, UNSW.
- Largest and most active academic GPS R&D group in Australia.
***Specialising in the theory, technology and applications of positioning using GPS and other navigation technologies.***
**http://www.gmat.unsw.edu.au/snap**
## Project Theme 1
**Project Theme 1**
- Indonesian volcano monitoring
- Singapore building monitoring
- Appin area subsidence monitoring
- Mixed receiver networks
- Integration of GPS & DInSAR
- Tectonic & geomorphological interpretation of ground deformation
- Meteorological studies
- Time series analysis
## Project Theme 2
- CPH-based GPS/Glonass/ Galileo positioning
- Stochastic modelling
- Ambiguity resolution & validation
- INS data modelling
- PL data modelling & issues
- Integration of GPS & INS & PL
- Integration of navigation & image sensor systems, & associated HW issues
- Kalman filtering algorithms/SW
## Project Theme 3
- RTK-GPS, single & network-based
- Algorithms for kinematic positioning
- Single-frequency algorithms
- Pseudolite development
- Receiver firmware customisation
- Industrial applications of RTK
- Coms link R&D, *incl. Internet, WLAN*
- Software-defined receivers
- Embedded processors & RTOS
- GPS Development Kits
## Project Theme 4
- GPS & UNSW microsatellite
- Indoor positioning options
- UNSW demonstrators
- GPS & mobilephone positioning
- Mobile GIS-based projects
- Augmented reality
- WLAN & Bluetooth developments
- New collaborations
## Current SNAP R&D
- GPS+InSAR deformation monitoring techniques
- SydNET network-based GPS infrastructure & apps
- Pseudolite(+ other sensors) technology & applications
- Receiver firmware customisation
- Low-cost CPH-based positioning systems
- High performance, CPH-based kinematic positioning systems
- Indoor positioning concepts & technologies
- Indirect GPS signals research
- Stochastic modelling & fundamental research
## SydNET - Nine Site
**SydNET** - Nine Site
- (15Km Radius)
- QSQR (LPI)
- PARR (LPI Parramatta)
- SUTH (Sutherland)
- HOXT (Liverpool)
- CAMD (Camden)
- PENR (Penrith)
- WIND (Hawkesbury)
- GALS (Hornsby)
- MONA (Pittwater)
## Uni R&D... From Geodesy to Telegeoinformatics?
**GPS-only algorithm research nearing the end, **some new 'lease-of-life' from Galileo & modernized GPS.
**Industry wants solutions, **hence core CPH competency must be preserved & made available for applications.
**Niche (precision) applications are still attractive, **but will increasingly involve system or sensor integration.
**Telegeoinformatics applications cannot be ignored, **being multi-disciplinary in nature, but more HW based.
**Days of ‘ivory tower’ R&D at unis are numbered, **must seek strategic partnerships for mutual benefit. | en |
log-files | 127633 | commit 0a2ce2ffc358da96792d514c1024b72c52be9cc1
Author: David Howells <dhowells@redhat.com>
Date: Wed May 28 16:49:01 2008 +0100
Fix FRV minimum slab/kmalloc alignment
> +#define ARCH_KMALLOC_MINALIGN (sizeof(long) * 2)
> +#define ARCH_SLAB_MINALIGN (sizeof(long) * 2)
This doesn't work if SLAB is selected and slab debugging is enabled as
these are passed to the preprocessor, and the preprocessor doesn't
understand sizeof.
Signed-off-by: Linus Torvalds <torvalds@linux-foundation.org>
commit b4412323cc954bd0a2144b1c2ed573dd2eddb32c
Merge: dc1d60a... d6de8be...
Author: Linus Torvalds <torvalds@linux-foundation.org>
Date: Wed May 28 08:00:51 2008 -0700
Merge branch 'for-linus' of git://git.kernel.dk/linux-2.6-block
* 'for-linus' of git://git.kernel.dk/linux-2.6-block:
cfq-iosched: fix RCU problem in cfq_cic_lookup()
block: make blktrace use per-cpu buffers for message notes
Added in elevator switch message to blktrace stream
Added in MESSAGE notes for blktraces
block: reorder cfq_queue to save space on 64bit builds
block: Move the second call to get_request to the end of the loop
splice: handle try_to_release_page() failure
splice: fix sendfile() issue with relay
commit dc1d60a014aa9614518f9856ff661716d0969ffd
Author: David Howells <dhowells@redhat.com>
Date: Wed May 28 15:36:34 2008 +0100
FRV: Specify the minimum slab/kmalloc alignment
Specify the minimum slab/kmalloc alignment to be 8 bytes. This fixes a
crash when SLOB is selected as the memory allocator. The FRV arch needs
this so that it can use the load- and store-double instructions without
faulting. By default SLOB sets the minimum to be 4 bytes.
Signed-off-by: David Howells <dhowells@redhat.com>
Signed-off-by: Linus Torvalds <torvalds@linux-foundation.org>
commit 5e55843bb8ed1ec7d134a759c53e34beb1618952
Author: Vegard Nossum <vegard.nossum@gmail.com>
Date: Wed May 28 13:55:24 2008 +0100
MN10300: Fix typo in header guard
Fix a typo in the header guard of asm/ipc.h.
Signed-off-by: Vegard Nossum <vegard.nossum@gmail.com>
Signed-off-by: David Howells <dhowells@redhat.com>
Signed-off-by: Linus Torvalds <torvalds@linux-foundation.org>
commit d6de8be711b28049a5cb93c954722c311c7d3f7f
Author: Jens Axboe <jens.axboe@oracle.com>
Date: Wed May 28 14:46:59 2008 +0200
cfq-iosched: fix RCU problem in cfq_cic_lookup()
cfq_cic_lookup() needs to properly protect ioc->ioc_data before
dereferencing it and also exclude updaters of ioc->ioc_data as well.
Also add a number of comments documenting why the existing RCU usage
is OK.
Thanks a lot to "Paul E. McKenney" <paulmck@linux.vnet.ibm.com> for
review and comments!
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit 64565911cdb57c2f512a9715b985b5617402cc67
Author: Jens Axboe <jens.axboe@oracle.com>
Date: Wed May 28 14:45:33 2008 +0200
block: make blktrace use per-cpu buffers for message notes
Currently it uses a single static char array, but that risks
being corrupted when multiple users issue message notes at the
same time. Make the buffers dynamically allocated when the trace
is setup and make them per-cpu instead.
The default max message size of 1k is also very large, the
interface is mainly for small text notes. So shrink it to 128 bytes.
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit 4722dc52a891ab6cb2d637ddb87233e0ce277827
Author: Alan D. Brunelle <Alan.Brunelle@hp.com>
Date: Tue May 27 14:55:00 2008 +0200
Added in elevator switch message to blktrace stream
Signed-off-by: Alan D. Brunelle <alan.brunelle@hp.com>
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit 9d5f09a424a67ddb959829894efb4c71cbf6d600
Author: Alan D. Brunelle <Alan.Brunelle@hp.com>
Date: Tue May 27 14:54:41 2008 +0200
Added in MESSAGE notes for blktraces
Allows messages to be inserted into blktrace streams.
Signed-off-by: Alan D. Brunelle <alan.brunelle@hp.com>
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit be754d2c2161c0cce11d62727016985ecb76831b
Author: Richard Kennedy <richard@rsk.demon.co.uk>
Date: Fri May 23 06:52:00 2008 +0200
block: reorder cfq_queue to save space on 64bit builds
saves 8 bytes of padding & increases objects/slab from 30 to 32 on my
AMD64 config
Signed-off-by: Richard Kennedy <richard@rsk.demon.co.uk>
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit 05caf8dbc1880415df3378cfd114d832c9618b60
Author: Zhang, Yanmin <yanmin_zhang@linux.intel.com>
Date: Thu May 22 15:13:29 2008 +0200
block: Move the second call to get_request to the end of the loop
In function get_request_wait, the second call to get_request could be
moved to the end of the while loop, because if the first call to
get_request fails, the second call will fail without sleep.
Signed-off-by: Zhang Yanmin <yanmin.zhang@intel.com>
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit ca39d651d17df49b6d11f851d56c0ce0ce01ea1a
Author: Jens Axboe <jens.axboe@oracle.com>
Date: Tue May 20 21:27:41 2008 +0200
splice: handle try_to_release_page() failure
splice currently assumes that try_to_release_page() always suceeds,
but it can return failure. If it does, we cannot steal the page.
Acked-by: Mingming Cao <cmm@us.ibm.com
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit a82c53a0e3f57f02782330372b7adad67b417645
Author: Tom Zanussi <zanussi@comcast.net>
Date: Fri May 9 13:28:36 2008 +0200
splice: fix sendfile() issue with relay
Splice isn't always incrementing the ppos correctly, which broke
relay splice.
Signed-off-by: Tom Zanussi <zanussi@comcast.net>
Tested-by: Dan Williams <dan.j.williams@intel.com>
Signed-off-by: Jens Axboe <jens.axboe@oracle.com>
commit 1ec7d99c16e69a9ed8ffeaa6c1846025b84bebad
Merge: 3dbfd08... 9e4f2e8...
Author: Linus Torvalds <torvalds@linux-foundation.org>
Date: Tue May 27 18:47:59 2008 -0700
Merge branch 'for-linus' of git://git.kernel.org/pub/scm/linux/kernel/git/jbarnes/pci-2.6
* 'for-linus' of git://git.kernel.org/pub/scm/linux/kernel/git/jbarnes/pci-2.6:
pciehp: add message about pciehp_slot_with_bus option
pci hotplug core: add check of duplicate slot name
pciehp: move msleep after power off
pciehp: poll cmd completion if hotplug interrupt is disabled
pciehp: fix slow probing
pciehp: fix NULL dereference in interrupt handler
shpchp: add message about shpchp_slot_with_bus option
PCI: don't enable ASPM on devices with mixed PCIe/PCI functions
commit 9e4f2e8d4ddb04ad16a3828cd9a369a5a5287009
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:07:33 2008 +0900
pciehp: add message about pciehp_slot_with_bus option
Some (broken?) platform assign the same slot name to multiple hotplug
slots. On such system, slot initialization would fail because of name
collision. The pciehp driver already have a "slot_with_bus" module
option which adds the bus number into the slot name. This patch adds
the message about this module option that will be displayed when slot
name collision is detected.
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit a86161b3134465f072d965ca7508ec9c1e2e52c7
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:07:01 2008 +0900
pci hotplug core: add check of duplicate slot name
Fix the following errors reported by Jan C. Nordholz in
http://bugzilla.kernel.org/show_bug.cgi?id=10751.
kobject_add_internal failed for 2 with -EEXIST, don't try to register things with the same name in the same directory.
Pid: 1, comm: swapper Tainted: G W 2.6.26-rc3 #1
[<c0266980>] kobject_add_internal+0x140/0x190
[<c0266afd>] kobject_init_and_add+0x2d/0x40
[<c027bc91>] pci_hp_register+0x81/0x2f0
[<c027fd07>] pciehp_probe+0x1a7/0x470
[<c01b3b84>] sysfs_add_one+0x44/0xa0
[<c01b3c1f>] sysfs_addrm_start+0x3f/0xb0
[<c01b497a>] sysfs_create_link+0x8a/0xf0
[<c0279570>] pcie_port_probe_service+0x50/0x80
[<c02e0545>] driver_sysfs_add+0x55/0x70
[<c02e0662>] driver_probe_device+0x82/0x180
[<c02e07cc>] __driver_attach+0x6c/0x70
[<c02dfe0a>] bus_for_each_dev+0x3a/0x60
[<c05db2d0>] pcied_init+0x0/0x80
[<c02e04e6>] driver_attach+0x16/0x20
[<c02e0760>] __driver_attach+0x0/0x70
[<c02e0341>] bus_add_driver+0x1a1/0x220
[<c05db2d0>] pcied_init+0x0/0x80
[<c02e09cd>] driver_register+0x4d/0x120
[<c05db050>] ibm_acpiphp_init+0x0/0x190
[<c0125aab>] printk+0x1b/0x20
[<c05db2d0>] pcied_init+0x0/0x80
[<c05db2de>] pcied_init+0xe/0x80
[<c05c751a>] kernel_init+0x10a/0x300
[<c0120138>] schedule_tail+0x18/0x50
[<c0103b9a>] ret_from_fork+0x6/0x1c
[<c05c7410>] kernel_init+0x0/0x300
[<c05c7410>] kernel_init+0x0/0x300
[<c010485b>] kernel_thread_helper+0x7/0x1c
=======================
pci_hotplug: Unable to register kobject '2'<3>pciehp: pci_hp_register failed with error -22
Slot with the same name can be registered multiple times if shpchp or
pciehp driver is loaded after acpiphp is loaded because ACPI based
hotplug driver and Native OS hotplug driver trying to handle the same
physical slot. In this case, current pci_hotplug core will call
kobject_init_and_add() muliple time with the same name. This is the
cause of this problem. To fix this problem, this patch adds the check
into pci_hp_register() to see if the slot with the same name.
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit 0711c70ec0e9d2c002b1e9b5fb9f21e49d77f4fd
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:06:22 2008 +0900
pciehp: move msleep after power off
According to the PCI Express specification, we must wait for at least
1 second after turning power off before taking any action that relies
on power having been removed from the slot/adapter. For this, current
pciehp wait for 1 second after issuing the power off command in
hpc_power_off_slot() function. But waiting for 1 second in
hpc_power_off_slot() can make pciehp probing slow-down because pciehp
probe code calls hpc_power_off_slot() if the slot is not occupied just
in case. We don't need to wait for 1 second at the pciehp probe time
because there is no action on that empty slot. So move 1 second wait
from hpc_power_off_slot() to the caller of hpc_power_off_slot().
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit 6592e02ae4bd7b277230aa0c5821588a13b9d8e3
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:05:26 2008 +0900
pciehp: poll cmd completion if hotplug interrupt is disabled
Fix improper long wait for command completion in pciehp probing.
As described in PCI Express specification, software notification is
not generated if the command that occurs as a result of a write to the
Slot Control register that disables software notification of command
completed events. Since pciehp driver doesn't take it into account,
such command is issued in pciehp probing, and it causes improper long
wait for command completion.
This patch changes the pciehp driver to take such command into
account.
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit 5808639bfa98d69f77a481d759570d85f164fea0
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:04:30 2008 +0900
pciehp: fix slow probing
Fix the "pciehp probing slow" problem reported from Jan C. Nordholz in
http://bugzilla.kernel.org/show_bug.cgi?id=10751.
The command completed bit in Slot Status register applies only to
commands issued to control the attention indicator, power indicator,
power controller, or electromechanical interlock. However, writes to
other parts of the Slot Control register would end up writing to the
control fields. Hence, any write to Slot Control register is
considered as a command. However, if the controller doesn't support
any of attention indicator, power indicator, power controller and
electromechanical interlock, command completed bit would not set in
writing to Slot Control register. In this case, we should not wait for
command completed bit set, otherwise all commands would be considered
not completed in timeout seconds (1 sec.).
The cause of the problem is pciehp driver didn't take this situation
into account. This patch changes pciehp to take it into account. This
patch also add the check for "No Command Completed Support" bit in
Slot Capability register. If it is set, we should not wait for command
completed bit set as well.
This problem seems to be revealed by the commit
c27fb883dffe11aa4cb35ecea1fa1832ba45d4da that fixed the bug that
pciehp did not wait for command completed properly (pciehp just
ignored the command completion event).
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit dbd79aed1aea2bece0bf43cc2ff3b2f9baf48a08
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:03:16 2008 +0900
pciehp: fix NULL dereference in interrupt handler
Fix the following NULL dereference problem reported from Pierre Ossman
and Ingo Molnar.
pciehp: HPC vendor_id 8086 device_id 27d0 ss_vid 0 ss_did 0
pciehp: pciehp_find_slot: slot (device=0x0) not found
BUG: unable to handle kernel NULL pointer dereference at 0000000000000070
IP: [<ffffffff80494a8b>] pciehp_handle_presence_change+0x7e/0x113
PGD 0
Oops: 0000 [1]
CPU 0
Modules linked in:
Pid: 1, comm: swapper Tainted: G W 2.6.26-rc3-sched-devel.git-00001-g2b99b26-dirty #170
RIP: 0010:[<ffffffff80494a8b>] [<ffffffff80494a8b>] pciehp_handle_presence_change+0x7e/0x113
RSP: 0000:ffff81003f83fbb0 EFLAGS: 00010046
RAX: 0000000000000039 RBX: 0000000000000000 RCX: 0000000000000000
RDX: 0000000000000000 RSI: 0000000000000001 RDI: 0000000000000046
RBP: ffff81003f83fbd0 R08: 0000000000000001 R09: ffffffff80245103
R10: 0000000000000020 R11: 0000000000000000 R12: ffff81003ea53a30
R13: 0000000000000000 R14: 0000000000000011 R15: ffffffff80495926
FS: 0000000000000000(0000) GS:ffffffff80be7400(0000) knlGS:0000000000000000
CS: 0010 DS: 0018 ES: 0018 CR0: 000000008005003b
CR2: 0000000000000070 CR3: 0000000000201000 CR4: 00000000000006a0
DR0: 0000000000000000 DR1: 0000000000000000 DR2: 0000000000000000
DR3: 0000000000000000 DR6: 00000000ffff0ff0 DR7: 0000000000000400
Process swapper (pid: 1, threadinfo ffff81003f83e000, task ffff81003f840000)
Stack: 0000000000000008 ffff81003f83fbf6 ffff81003ea53a30 0000000000000008
ffff81003f83fc10 ffffffff80495ab4 0000000000000011 0000000000000002
0000000000000202 0000000000000202 00000000fffffff4 ffff81003ea53a30
Call Trace:
[<ffffffff80495ab4>] pcie_isr+0x18e/0x1bc
[<ffffffff80260831>] request_irq+0x106/0x12f
[<ffffffff80495fb6>] pcie_init+0x15e/0x6cc
[<ffffffff804933a3>] pciehp_probe+0x64/0x541
[<ffffffff8048f4e7>] pcie_port_probe_service+0x4c/0x76
[<ffffffff8054af70>] driver_probe_device+0xd4/0x1f0
[<ffffffff8054b108>] __driver_attach+0x7c/0x7e
[<ffffffff8054b08c>] ? __driver_attach+0x0/0x7e
[<ffffffff8054a4b6>] bus_for_each_dev+0x53/0x7d
[<ffffffff8054ad3c>] driver_attach+0x1c/0x1e
[<ffffffff8054a9c2>] bus_add_driver+0xdd/0x25b
[<ffffffff80c09d3d>] ? pcied_init+0x0/0x8b
[<ffffffff8054b288>] driver_register+0x5f/0x13e
[<ffffffff80c09d3d>] ? pcied_init+0x0/0x8b
[<ffffffff8048f441>] pcie_port_service_register+0x47/0x49
[<ffffffff80c09d52>] pcied_init+0x15/0x8b
[<ffffffff80bf3938>] kernel_init+0x75/0x243
[<ffffffff808639d2>] ? _spin_unlock_irq+0x2b/0x3a
[<ffffffff80228d1f>] ? finish_task_switch+0x57/0x9a
[<ffffffff8020c258>] child_rip+0xa/0x12
[<ffffffff8020bcec>] ? restore_args+0x0/0x30
[<ffffffff80bf38c3>] ? kernel_init+0x0/0x243
[<ffffffff8020c24e>] ? child_rip+0x0/0x12
Code: 83 80 00 00 00 48 39 f0 75 e1 0f b6 c9 48 c7 c2 00 0e 8d 80 48 c7 c6 8a 60 a6 80 48 c7 c7 10 db a8 80 31 c0 e8 3f 8d d9 ff 31 db <48> 8b 43 70 48 8d 75 ef 48 89 df ff 50 30 80 7d ef 00 74 37 48
RIP [<ffffffff80494a8b>] pciehp_handle_presence_change+0x7e/0x113
RSP <ffff81003f83fbb0>
CR2: 0000000000000070
Kernel panic - not syncing: Fatal exception
The situation under which it occurs is hw and timing related: it appears
to happen on a system that has PCI hotplug hardware but with no active
hotplug cards, and another interrupt in the same (shared) IRQ line
arrives too early, before the hotplug-slot entry has been set up - as
triggered by CONFIG_DEBUG_SHIRQ=y:
This patch contains the following two fixes.
(1) Clear all events bits in Slot Status register to prevent the pciehp
driver from detecting the spurious events that would have been occur
before pciehp loading.
(2) Add check whether slot initialization had been already done.
This is short term fix. We need more structural fixes to install
interrupt handler after slot initialization is done.
Signed-off-by: Ingo Molnar <mingo@elte.hu>
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit b3bd307c628af2f0a581c42d5d7e4bcdbbf64b6a
Author: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Date: Tue May 27 19:08:23 2008 +0900
shpchp: add message about shpchp_slot_with_bus option
Some (broken?) platform assign the same slot name to multiple hotplug
slots. On such system, slot initialization would fail because of name
collision. The shpchp driver already have a "slot_with_bus" module
option which adds the bus number into the slot name. This patch adds
the message about this module option that will be displayed when slot
name collision is detected.
Signed-off-by: Kenji Kaneshige <kaneshige.kenji@jp.fujitsu.com>
Signed-off-by: Kristen Carlson Accardi <kristen.c.accardi@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
commit 3dbfd0801bbbaf2800d7497d83d743a614430e82
Merge: edb2301... f04d264...
Author: Linus Torvalds <torvalds@linux-foundation.org>
Date: Tue May 27 08:27:20 2008 -0700
Merge git://git.kernel.org/pub/scm/linux/kernel/git/hskinnemoen/avr32-2.6
* git://git.kernel.org/pub/scm/linux/kernel/git/hskinnemoen/avr32-2.6:
avr32: Fix cpufreq oops when ondemand governor is default
avr32: Update defconfigs
avr32: export strnlen_user
avr32: export copy_page
commit edb2301f2903e96beadc333f9584222c05858518
Author: David Woodhouse <dwmw2@infradead.org>
Date: Tue May 27 06:31:43 2008 +0100
ck804rom: fix driver_data in probe table.
There's a reason why using C99 initialisers even in the supposedly
trivial structs is a good idea.
Signed-off-by: Carl-Daniel Hailfinger <c-d.hailfinger.devel.2006@gmx.net>
Signed-off-by: David Woodhouse <dwmw2@infradead.org>
Signed-off-by: Linus Torvalds <torvalds@linux-foundation.org>
commit f04d264afc51acdffeba9cdf3baf04116687680c
Author: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
Date: Tue May 27 09:37:42 2008 +0200
avr32: Fix cpufreq oops when ondemand governor is default
Move the AP7 cpufreq init to late_initcall() so that we don't try to
bring up cpufreq until the governor is ready. x86 also uses
late_initcall() for this.
Signed-off-by: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
commit d56acacdcd370c0077821a012607876cb11b1b3b
Author: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
Date: Mon May 26 13:25:05 2008 +0200
avr32: Update defconfigs
Just provide reasonable defaults for the new stuff. Tickless and
hrtimers are turned on for all boards except ATSTK1004.
Signed-off-by: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
commit 01575995de4289aa73aa7cb22cf8fe0461093589
Author: Adrian Bunk <bunk@kernel.org>
Date: Thu May 22 01:01:38 2008 +0300
avr32: export strnlen_user
This patch fixes the following build error:
<-- snip -->
...
MODPOST 1327 modules
ERROR: "strnlen_user" [drivers/input/misc/uinput.ko] undefined!
...
make[2]: *** [__modpost] Error 1
<-- snip -->
Reported-by: Adrian Bunk <bunk@kernel.org>
Signed-off-by: Adrian Bunk <bunk@kernel.org>
Signed-off-by: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
commit a0ed3d8d94b6a28c886cf9c023693afa3bb773f2
Author: Adrian Bunk <bunk@kernel.org>
Date: Mon May 5 21:29:57 2008 +0300
avr32: export copy_page
This patch fixes the following build error:
<-- snip -->
...
MODPOST 61 modules
ERROR: "copy_page" [fs/fuse/fuse.ko] undefined!
...
make[2]: *** [__modpost] Error 1
<-- snip -->
Also add an empty line since *_page aren't "String functions".
Signed-off-by: Adrian Bunk <bunk@kernel.org>
Signed-off-by: Haavard Skinnemoen <haavard.skinnemoen@atmel.com>
commit ddc9753fcddfe5f9885dc133824962c047252b43
Author: Shaohua Li <shaohua.li@intel.com>
Date: Wed May 21 16:58:40 2008 +0800
PCI: don't enable ASPM on devices with mixed PCIe/PCI functions
The Slot 03:00.* of JMicron controller has two functions, but one is
PCIE endpoint the other isn't PCIE device, very strange. PCIE spec
defines all functions should have the same config for ASPM, so disable
ASPM for the whole slot in this case.
Signed-off-by: Shaohua Li <shaohua.li@intel.com>
Signed-off-by: Jesse Barnes <jbarnes@virtuousgeek.org>
| en |
converted_docs | 241643 | Required Report - public distribution
**Date:** 9/28/2006
**GAIN Report Number:** GT6014
GT6014
**Guatemala**
**Food and Agricultural Import Regulations and Standards**
**Export Certificate Report**
**2006**
**Approved by:**
Stephen Huete, Agricultural Counselor
U.S. Embassy
**Prepared by:**
Karla Tay, Ag. Specialists
**Report Highlights:**
This report focuses on Guatemala's import requirements for export
certificates to be valid and accepted in the country. The final
objective of this data is to inform the foreign exporter about the
various requirements that the export certificates must fulfill to avoid
delays at port. Some export certificates must include those small
remarks or attestations that can make the big difference for final
trading success. The Certificate of Origin assures that Customs will
apply preferential tariffs under CAFTA.
Includes PSD Changes: No
Includes Trade Matrix: No
Annual Report
Guatemala \[GT1\]
\[GT\]
Table of Contents
[I. Export Certificates Required by Guatemala and Products Covered
[3](#i.-export-certificates-required-by-guatemala-and-products-covered)](#i.-export-certificates-required-by-guatemala-and-products-covered)
[II. Government Certificate Legal Entry Requirements
[11](#ii.-government-certificate-legal-entry-requirements)](#ii.-government-certificate-legal-entry-requirements)
# I. Export Certificates Required by Guatemala and Products Covered
The Unit of Norms and Regulations of the Ministry of Agriculture
(MAGA-UNR) is the official entity that will review all export
certificates and issue an import license. All food products, fresh or
processed, must have in place all their export certificates to receive
MAGA-UNR's approval. If the product is processed an additional
registration process must be followed to acquire a permanent
registration number (please refer to Guatemala FAIRS report GT5010). To
receive the license, the following import documents will be required for
any animal or vegetable product for food consumption:
1) Certificate of Origin (Issued by the official entity, sealed and
signed). Under CAFTA, this certificate complies with customs
requirements in order to apply preferential tariffs.
2) Sanitary and/or Phytosanitary Certificate (Issued by the official
entity, sealed and signed by inspectors in the official list, ID of
USDA, FDA or FSIS certified plants)
3) Commercial Invoice (Exporter, Recipient, Date, Invoice #, Product
Description, Unit price, Net and Total Weight, Type of Exchange, CIF
and FOB value).
4) Bill of Lading
5) Free Sale Certificate (Issued by the official entity from origin and
must indicate the product is suitable for human consumption, if
applicable)
6) Certificate of Analysis (Laboratory analysis with official seal, if
not an official laboratory, for food products)
# Copies of these documents must be sent to your Guatemalan representative to advance the import license process. If food products are to be exported, the law requires a legal representative in Guatemala, that needs to have: 1) Copy of the Sanitary License that accredits the company as an official importer, 2) Copy of the Certificate of Sanitary Registration of the exporting company, issued by official authority, 3) Copy of Eligibility Certificate of the country to export to Guatemala, if applicable (all plants under federal inspection are eligible as exporters). The law requires inspections at the point of entry and at the wholesale and retail levels for the wholesomeness of the product. Natural foods, non-processed foods, raw materials and food additives do not require registration. For vegetative imports not intended for human consumption, only the first 4 documents are needed.
#
# The Certificate of Analysis requires chemical and microbiological analysis for many food products for food safety issues. Microbiological contaminants that are usually analyzed on food products, in general, are: Feces coliforms, Escherichia coli, Vibrio cholerae, Salmonella sp., protozoan eggs and larvae, fungi and yeast. The chemical residues of main concern will be: pesticide residues and mycotoxins (aflatoxins, ocratoxins, deoxinivalenes). This analysis can be part of the quality control system of the company, but must be officially sealed to be considered valid. Parameters for the chemical and microbiological analysis are based on CODEX standards. Most U.S. standards comply with CODEX regulations far beyond the minimums established. Just be sure to include the Certificate of Analysis, when needed, and confirm that it corresponds to the production period or export lot number of the product.
#
Following is a table describing in detail import requirements and
Sanitary/Phytosanitary Certificates in Guatemala for some products. The
list is a partial one, very specific for plant products but broad for
animal ones, since certain requirements were not available at the time
of this writing. Guatemala's import requirements for the Sanitary and/or
Phytosanitary Certificates are very strict, and requirements for all
countries are noted in the table in the column "Requirements for
Exportation." Export Certificate requirements are based on sanitary
concerns according to the exporting country's SPS status. However,
Guatemala has granted some concessions to the United States, since it is
Guatemala's main trade partner and due to good communications with the
USDA representatives in country. U.S. exports often require an
"attestation" to the disease-status of the United States or to the food
safety systems in place; these attestations (fourth column of the
following table) eliminate U.S. exporters' need to provide the full
documentation listed in column three.
+--------------+--------+------------------------------------+---------+
| | | | US |
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Third Countries' Requirements for | R |
| | of | Exportation | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| **POULTRY | | | |
| AND MEAT** | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Poultry | Vete | 1\) Country or Shipment free of: | A |
| (live) | rinary | a) Viscerotropic velogenic | ttached |
| | Health | | APHIS |
+--------------+--------+------------------------------------+---------+
| | Certi | Newcastle, b) avian influenza, c) | All |
| | ficate | low posture syndrome, | Clean |
| | | | Program |
+--------------+--------+------------------------------------+---------+
| | | d\) Pulorosis, e) avian typhoid, | Certif |
| | | f) avian infectious | ication |
+--------------+--------+------------------------------------+---------+
| | | Laryngotracheitis | (Copy |
| | | | of |
| | | | vaccine |
+--------------+--------+------------------------------------+---------+
| | | 2\) The animals have been under | Program |
| | | official supervision at least | des |
| | | | irable) |
+--------------+--------+------------------------------------+---------+
| | | 30 days before shipment, isolated | |
| | | from non-export animals | |
+--------------+--------+------------------------------------+---------+
| | | 3\) The farm(s) has not been under | |
| | | Health Certificate restriction and | |
+--------------+--------+------------------------------------+---------+
| | | have given negative results for a) | |
| | | Viscerotropic velogenic | |
+--------------+--------+------------------------------------+---------+
| | | Newcastle, b) avian influenza, c) | |
| | | avian infectious | |
+--------------+--------+------------------------------------+---------+
| | | Laryngotracheitis, d) Salmonella, | |
| | | e) Hepatitis, f) Infectious | |
+--------------+--------+------------------------------------+---------+
| | | Bronchitis, g) Chlamydia, h) avian | |
| | | encephalomielitis, I) Marek | |
+--------------+--------+------------------------------------+---------+
| | | Disease, k) avian leukocytes, l) | |
| | | mycloplasmosis, m) avian | |
+--------------+--------+------------------------------------+---------+
| | | tuberculosis, n) cholera. | |
+--------------+--------+------------------------------------+---------+
| | | 4\) The vehicles and containers | |
| | | have been cleaned, disinfected, | |
+--------------+--------+------------------------------------+---------+
| | | previously to the shipment. | |
+--------------+--------+------------------------------------+---------+
| | | 5\) 15 days prior to the shipment, | |
| | | no vaccines were given | |
+--------------+--------+------------------------------------+---------+
| | | 6\) In between 15 and 180 days | |
| | | prior to shipment, vaccine | |
+--------------+--------+------------------------------------+---------+
| | | against avian chicken pox was | |
| | | given, indicating immunization | |
| | | date, | |
+--------------+--------+------------------------------------+---------+
| | | trademark and lot number of the | |
| | | product. | |
+--------------+--------+------------------------------------+---------+
| | | 7\) The transport cages are new, | |
| | | made out of wood or carton, | |
+--------------+--------+------------------------------------+---------+
| | | so that they can be destroyed upon | |
| | | landing. | |
+--------------+--------+------------------------------------+---------+
| | | 8\) The animals were given | |
| | | authorized products to treat them | |
+--------------+--------+------------------------------------+---------+
| | | against endo- and ectoparasites, | |
| | | stating treatment date, | |
+--------------+--------+------------------------------------+---------+
| | | trademark and lot number of the | |
| | | product. | |
+--------------+--------+------------------------------------+---------+
| | | 9\) Have been officially inspected | |
| | | by a veterinarian before the | |
+--------------+--------+------------------------------------+---------+
| | | shipment to verify they have no | |
| | | tumors, fresh wounds or healing, | |
+--------------+--------+------------------------------------+---------+
| | | nor symptoms of infectious or | |
| | | contagious disease or | |
| | | transmittable, | |
+--------------+--------+------------------------------------+---------+
| | | or presence of ectoparasites. | |
+--------------+--------+------------------------------------+---------+
| Poultry | FSIS | Vehicles or containers were washed | \"The |
| (processed) | 9060-5 | and disinfected previous to the | birds |
| | | | from |
| | | shipment, with authorized | which |
| | | products. Containers were | the |
| | | pre-sealed and | meat |
| | | | was |
| | | marked so that only official | derived |
| | | entities can open them. | ori |
| | | | ginated |
| | | | from |
| | | | farms |
| | | | located |
| | | | in a |
| | | | zone |
| | | | free of |
| | | | Ne |
| | | | wcastle |
| | | | disease |
| | | | and |
| | | | avian |
| | | | in |
| | | | fluenza |
| | | | as |
| | | | defined |
| | | | by |
| | | | OIE." |
+--------------+--------+------------------------------------+---------+
| Table Eggs | Egg | 1\) Country or Shipment free of: | A |
| | Pr | a) Viscerotropic velogenic | ttached |
| | oducts | | APHIS |
+--------------+--------+------------------------------------+---------+
| | Insp | newcastle, b) avian influenza, c) | All |
| | ection | low posture syndrome, | Clean |
| | and | | Program |
+--------------+--------+------------------------------------+---------+
| | G | d\) pulorosis, e) avian typhoid, | Certif |
| | rading | f) avian infectious | ication |
+--------------+--------+------------------------------------+---------+
| | Certi | Laryngotracheitis | (copy |
| | ficate | | of |
| | | | vaccine |
+--------------+--------+------------------------------------+---------+
| | | 2\) The farm(s) has not been under | program |
| | | Health Certificate restriction and | des |
| | | | irable) |
+--------------+--------+------------------------------------+---------+
| | | have given negative results to a) | Add in |
| | | Viscerotropic velogenic | r |
| | | | emarks: |
+--------------+--------+------------------------------------+---------+
| | | newcastle, b) avian influenza, c) | \"free |
| | | avian infectious | of |
| | | | he |
| | | | patitis |
| | | | and |
+--------------+--------+------------------------------------+---------+
| | | laryngotracheitis, d) Salmonella, | laryn |
| | | e) Hepatitis. | gotrach |
| | | | eitis\" |
+--------------+--------+------------------------------------+---------+
| | | 3\) Official certificate | |
| | | confirming that in between | |
| | | processing and shipment | |
+--------------+--------+------------------------------------+---------+
| | | No more than 72 hours have gone by | |
| | | (just for frozen product). | |
+--------------+--------+------------------------------------+---------+
| | | 4\) Have official certification as | |
| | | qualified for human consumption. | |
+--------------+--------+------------------------------------+---------+
| | | 5\) Vehicles or containers were | |
| | | washed and disinfected previous to | |
| | | the | |
+--------------+--------+------------------------------------+---------+
| | | shipment, with authorized | |
| | | products. Containers were | |
| | | pre-sealed and | |
+--------------+--------+------------------------------------+---------+
| | | marked so that only official | |
| | | entities can open them. If | |
| | | authorities may | |
+--------------+--------+------------------------------------+---------+
| | | consider, samples can be taken to | |
| | | confirm certificate results. | |
+--------------+--------+------------------------------------+---------+
| Red meat | FSIS | 1. *The beef and beef products | FSIS |
| (beef) | 9060-5 | were derived from animals that | Cert |
| | | were born and raised in the | ificate |
| | | United States or were legally | is |
| | | imported in accordance with | valid |
| | | U.S. import regulations.* | for the |
| | | | m |
| | | ```{=html} | icrobio |
| | | <!-- --> | logical |
| | | ``` | and |
| | | 1. *The beef and beef products | free |
| | | were not derived from the | sales. |
| | | following specified risk | |
| | | materials: the brain, skull, | |
| | | eyes, trigeminal ganglia, | |
| | | spinal cord, vertebral column | |
| | | (excluding the vertebrae of | |
| | | the tail, the transverse | |
| | | processes of the thoracic and | |
| | | lumbar vertebrae, and the | |
| | | wings of the sacrum) and | |
| | | dorsal root ganglia of cattle | |
| | | 30 months of age and older, | |
| | | and the tonsils and distal | |
| | | ileum of the small intestine | |
| | | of any cattle regardless of | |
| | | age.* | |
| | | | |
| | | 2. *The feeding of ruminants with | |
| | | ruminant origin meat-and-bone | |
| | | meal and greaves is prohibited | |
| | | in the United States.* | |
| | | | |
| | | 3. *The cattle from which the | |
| | | beef and beef products were | |
| | | obtained were not subjected to | |
| | | a stunning process with a | |
| | | device injecting compressed | |
| | | air or gas into the cranial | |
| | | cavity, or to a pithing | |
| | | process.* | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| **FISH AND | | | |
| SEAFOOD** | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Fish and | Export | An Origin Inspection Certificate | Include |
| Seafood | Health | during the shipment process must | m |
| | | confirm: | icrobio |
| | | | logical |
+--------------+--------+------------------------------------+---------+
| | Certi | 1\) Name of the official | a |
| | ficate | laboratory or certificate making | nalysis |
| | | official its authority | and |
| | | | c |
| | | | hemical |
+--------------+--------+------------------------------------+---------+
| | | 2\) Analyzed samples and dates of | r |
| | | reception and analysis. | esidues |
+--------------+--------+------------------------------------+---------+
| | | 3\) Microbiology and toxin | |
| | | analysis, chemical residues of | |
| | | insecticides, | |
+--------------+--------+------------------------------------+---------+
| | | heavy metals, veterinary drugs | |
+--------------+--------+------------------------------------+---------+
| | | 4\) Methods of analysis | |
+--------------+--------+------------------------------------+---------+
| | | 5\) Results | |
+--------------+--------+------------------------------------+---------+
| | | 6\) Maximum levels accepted, | |
| | | according to country or | |
| | | international norm | |
+--------------+--------+------------------------------------+---------+
| | | 7\) For bivalve mollusks, the | |
| | | microbiological must include | |
| | | analysis for | |
+--------------+--------+------------------------------------+---------+
| | | Vibrio parahemolyticus, Vibrio | |
| | | cholerae, and feces coliforms. For | |
| | | chemical | |
+--------------+--------+------------------------------------+---------+
| | | residues it should give | |
| | | specifications for copper, mercury | |
| | | and lead. | |
+--------------+--------+------------------------------------+---------+
| | | 8\) For refrigerated and frozen | |
| | | fish, the microbiological must | |
| | | include | |
+--------------+--------+------------------------------------+---------+
| | | Salmonella sp., E. coli 0157:H7, | |
| | | Vibrio cholerae, Listeria | |
| | | monicytogenes, | |
+--------------+--------+------------------------------------+---------+
| | | Staphylococcus auras, feces | |
| | | coliforms. For chemical residues | |
| | | it must | |
+--------------+--------+------------------------------------+---------+
| | | report histamines, mercury, methyl | |
| | | mercury, lead, cadmium, and | |
| | | copper. | |
+--------------+--------+------------------------------------+---------+
| | | 9\) For \"salty dried\" fish and | |
| | | crustaceans, the microbiological | |
| | | must specify: | |
+--------------+--------+------------------------------------+---------+
| | | Salmonella sp., Vibrio | |
| | | parahemolyticus, Staphylococcus | |
| | | aureus, fungi, and | |
+--------------+--------+------------------------------------+---------+
| | | yeast. Chemical residues must show | |
| | | levels of DDT, DDE, and DTE. | |
+--------------+--------+------------------------------------+---------+
| | | 10\) Refrigerated and frozen | |
| | | crustaceans must have a | |
| | | microbiological | |
+--------------+--------+------------------------------------+---------+
| | | analysis for: feces coliforms, | |
| | | Salmonella sp., Listeria | |
| | | monocytogenes, Vibrio | |
+--------------+--------+------------------------------------+---------+
| | | cholerae, Vibrio parahemolyticus, | |
| | | Escherichia coli, E. coli O157:H7, | |
+--------------+--------+------------------------------------+---------+
| | | Staphylococcus aureus. Chemical | |
| | | residues must show levels of | |
| | | metabisulfite, | |
+--------------+--------+------------------------------------+---------+
| | | cadmium, copper, lead, mercury, | |
| | | oxitetracyclin, cloramphenicol, | |
| | | DDT, DDE, DTE, | |
+--------------+--------+------------------------------------+---------+
| | | PCBs (polychlorinated biphenyls). | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| **FRUITS AND | | | |
| VEGETABLES** | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Alfalfa | P | NONE | \"Free |
| (Arkansas) | hytosa | | of:\" |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Alfalfa | P | Free of Ditylenchus dipsaci, | (see |
| (California) | hytosa | Stegobium paniceum, Tobacco streak | column |
| | nitary | virus, | 3) |
+--------------+--------+------------------------------------+---------+
| | | Cirsium arvenses | |
+--------------+--------+------------------------------------+---------+
| Alfalfa | P | Free of Cirsium arvenses | |
| (Iowa) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Alfalfa | P | NONE | |
| (Texas) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Almonds (US) | P | NONE | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Almond | P | Free of Apple mosaic virus, | |
| cuttings | hytosa | Armillaria mellea, Brachycaudatus | |
| (CA) | nitary | helichrysu, | |
+--------------+--------+------------------------------------+---------+
| | | Xylella fastidiosa, Prune dwarf | |
| | | virus, Prunus necrotic ringspot | |
| | | virus | |
+--------------+--------+------------------------------------+---------+
| Annona | P | Shipment free of Maconellicoccus | |
| | hytosa | hirsutus Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Apples (CA) | P | Free of Maconellicoccus hirsutus, | |
| | hytosa | Pseudococcus calceolariae, | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Pseudococcus comstocki, Rhagoletis | |
| | | pomonella, Nectria galligena | |
+--------------+--------+------------------------------------+---------+
| Apples | P | Free of Lepidosaphes ulmi, Nectria | |
| (Michigan) | hytosa | galligena, Pseudomonas comstocki, | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Aphis pomi and Rhagoletis | |
| | | pomonella | |
+--------------+--------+------------------------------------+---------+
| Apples (NY) | P | Free of Nectria galligena, | |
| | hytosa | Pseudococcus comstocki, | |
| | nitary | Schizothyrium pomi | |
+--------------+--------+------------------------------------+---------+
| Apples | P | Free of Botryosphaeria dothidea, | |
| ( | hytosa | Gloeodes pomigena, Nectria | |
| Pensylvania) | nitary | galligena, | |
+--------------+--------+------------------------------------+---------+
| | | Pseudococcus comstocki, | |
| | | Shizothyrium pomi | |
+--------------+--------+------------------------------------+---------+
| Apples | P | Free of Nectria galligena, | |
| (Washington) | hytosa | Rhagoletis pomonella | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Apricot | P | Free of Maconellicoccus hirsutus | |
| (California) | hytosa | Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Apricot | P | Free of Grapholita molesta, | |
| cuttings | hytosa | Pantomorus cervinus, Xylella | |
| (Georgia) | nitary | fastidiosa, | |
+--------------+--------+------------------------------------+---------+
| | | Peach rosette phytoplasma, Peach | |
| | | X-disease phytoplasma, Prunus | |
| | | necrotic | |
+--------------+--------+------------------------------------+---------+
| | | ringspot virus | |
+--------------+--------+------------------------------------+---------+
| Apricot | P | Free of Ceresa alta, Conotrachelus | |
| cuttings | hytosa | nenuphar, Parthenolecanium corni, | |
| (Tenessee) | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Xylella fastidiosa, Tomato | |
| | | ringspot virus, Pseudomonas | |
| | | marginalis pv. | |
+--------------+--------+------------------------------------+---------+
| | | Marginalis | |
+--------------+--------+------------------------------------+---------+
| Asparragus | P | Free of Soybean dwarf virus | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Avocado | P | Free of Avocado sunblotch viroid, | |
| plants (CA) | hytosa | Helicotylenchus pseudorobustus, | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Paratrichodorus porosus, | |
| | | Pratylenchus penetrans, | |
| | | Pratylenchus vulnus, | |
+--------------+--------+------------------------------------+---------+
| | | Rosellinia necatrix | |
+--------------+--------+------------------------------------+---------+
| Beans | P | Free of Cirsium arvenses | |
| (Idaho) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bilberry | P | Free of Maconellicoccus hirsutus | |
| (CA) | hytosa | Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bilberry | P | Free of Maconellicoccus hirsutus, | |
| (Florida) | hytosa | Rhagoletis mendax, Thrips palmi | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bilberry | P | NONE | |
| plants | hytosa | | |
| w/roots (NC) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bilberry | P | NONE | |
| plants | hytosa | | |
| (Oregon) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Blackberry | P | Free of Hyphantria cunea | |
| plants | hytosa | | |
| (Wash.) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Broccoli | P | Freee of Maconellicoccus hirsutus, | |
| (Florida) | hytosa | Phyllotreta striolata, Thrips | |
| | nitary | palmi, | |
+--------------+--------+------------------------------------+---------+
| | | Turnip mosaic virus | |
+--------------+--------+------------------------------------+---------+
| Cantaloupe | P | Free of Alternaria brassicicola, | |
| (California) | hytosa | Petrobia latens, Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cashews | P | NONE | |
| (Louisiana) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cashews | P | NONE | |
| (Texas) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Champignon | P | NONE | |
| veg. Seed | hytosa | | |
| (FL) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cherry | P | Free of Rhagoletis indifferens, | |
| (California) | hytosa | Maconellicoccus hirsutus Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cherry | P | Free of Rhagoletis fausta, | |
| (Washington) | hytosa | Rhagoletis indifferens | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Citromelus | P | Free of Xanthomona axonopodi pv. | |
| Lemon (FL) | hytosa | Citri, Imperata cylindrica | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Citrus | P | Free of Citrus leaf rugose virus, | |
| (California) | hytosa | Tristeza Virus, Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Corn (USA) | P | Free of Ahasverus advena, | |
| | hytosa | Carpophilus, Carpophilus | |
| | nitary | hemipterus, Corcyra | |
+--------------+--------+------------------------------------+---------+
| | | cephalonica, Cryptolestes | |
| | | ferrugineus, Cryptolestes | |
| | | pusillus, Liposcelis | |
+--------------+--------+------------------------------------+---------+
| | | bostrychophila, Tribolium | |
| | | confusum, Stegobium paniceum, | |
| | | Trogoderma | |
+--------------+--------+------------------------------------+---------+
| | | variabile, Cirsium arvenses | |
+--------------+--------+------------------------------------+---------+
| Corn | P | Free of Arceuthobium douglasii, | |
| (Arizona) | hytosa | Trogoderma variabile | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Corn (Idaho) | P | Free of Ditylenchus dipsaci, | |
| | hytosa | Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Corn | P | Free of Carpophilus hemipterus, | |
| (Hawaii) | hytosa | Cryptolestes pusillus, Ditylenchus | |
| | nitary | dipsaci, | |
+--------------+--------+------------------------------------+---------+
| | | Gonocephalum, Pythium graminicola, | |
| | | Stegobium paniceum, Imperata | |
| | | cylindrica, | |
+--------------+--------+------------------------------------+---------+
| | | Saccharum spontaneum | |
+--------------+--------+------------------------------------+---------+
| Corn (Iowa) | P | Free of Clavibacter michiganensis | |
| | hytosa | supsp. sepedonicusensis subsp. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Nebraskensis, Trogoderma | |
| | | variabile, Cirsium arvenses | |
+--------------+--------+------------------------------------+---------+
| Corn | P | Free of Trogoderma variabile, | |
| (Florida) | hytosa | Cryptolestes pusillus, Imperata | |
| | nitary | cylindrica | |
+--------------+--------+------------------------------------+---------+
| Corn | P | Free of Trogoderma variabile, | |
| (Missouri) | hytosa | Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Corn (Texas) | P | Free of Cryptolestes pusillus, | |
| | hytosa | Pantoea stewartii, Trogoderma | |
| | nitary | variabile | |
+--------------+--------+------------------------------------+---------+
| Cucumber | P | Free of Alternaria brassicicola, | |
| (California) | hytosa | Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cucumber | P | Free of Alternaria brassicicola, | |
| (Florida) | hytosa | Imperata cylindrica | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Dates | P | Free of Maconellicoccus hirsutus | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Endive (CA) | P | Free of Maconellicoccus hirsutus | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| Egg Plant | P | Free of Cirsium arvenses | \"Free |
| (California) | hytosa | | of:\" |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Fig | P | NONE | (see |
| Dehydrated | hytosa | | column |
| (CA) | nitary | | 3) |
+--------------+--------+------------------------------------+---------+
| Fresh fruits | P | Free of Maconellicoccus hirsutus | |
| (apples, | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Peaches, | Certi | | |
| grapes, | ficate | | |
| kiwis, | | | |
+--------------+--------+------------------------------------+---------+
| nectarines) | | | |
| California | | | |
+--------------+--------+------------------------------------+---------+
| Fresh fruits | P | Free of Araecerus fasciculatus, | |
| (orange, | hytosa | Atherigona orientalis, Bactrocera | |
| | nitary | dorsalis, | |
+--------------+--------+------------------------------------+---------+
| grapefruit) | Certi | Carpophilus humeralis, | |
| California | ficate | Maconellicoccus hirsutus | |
+--------------+--------+------------------------------------+---------+
| Grape (US) | P | Free of Tomato ringspot virus, | |
| | hytosa | Tomato spotted wilt virus | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Grape (CA) | P | Free of Botryosphaeria ribis, | |
| | hytosa | Grapholita molesta, Platynota | |
| | nitary | stultana, | |
+--------------+--------+------------------------------------+---------+
| | | Maconellicoccus hirsutus | |
+--------------+--------+------------------------------------+---------+
| Grapefruit | P | Free of Maconellicoccus hirsutus | |
| (CA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Green beans | P | Free of Pseudomonas marginalis pv. | |
| (California) | hytosa | Marginalis, Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Green beans | P | Free of Cirsium arvenses | |
| (Idaho) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Hop Extract | P | NONE | |
| (All USA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Lemon (CA) | P | Free of Maconellicoccus hirsutus | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Lettuce | P | Free of Maconellicoccus hirsutus, | |
| (Florida) | hytosa | Thrips palmi | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Macadamia | P | NONE | |
| cuttings | hytosa | | |
| (Hawaii) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Miniola (CA) | P | Free of Maconellicoccus hirsutus | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Mushrooms | P | NONE | |
| and | hytosa | | |
| Champignon | nitary | | |
+--------------+--------+------------------------------------+---------+
| Mushrooms | P | NONE | |
| mycelia | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Nectarine | P | Free of Grapholita molesta, | |
| (CA) | hytosa | Maconellicoccus hirsutus | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Oats (Iowa) | P | Free of Cirsium arvenses | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Okra | P | Free of Imperata cylindrica | |
| (Florida) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Okra (Idaho) | P | Free of Cirsium arvenses | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Onion | P | Free of Aceria tulipae, | |
| (California) | hytosa | Ditylenchus destructor, | |
| | nitary | Ditylenchus dipsaci, | |
+--------------+--------+------------------------------------+---------+
| | | Pseudomonas marginalis pv. | |
| | | Marginalis, Stegobium paniceum | |
+--------------+--------+------------------------------------+---------+
| Orange (CA) | P | Free of Maconellicoccus hirsutus | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Orange | P | Free of Tristeza virus, Xanthomona | |
| (Florida) | hytosa | axonopodi pv. Citri, Imperata | |
| | nitary | cylindrica | |
+--------------+--------+------------------------------------+---------+
| Pawpaw | P | Free of Imperata cylindrica, | |
| (Hawaii) | hytosa | Saccharum spontaneum | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Pear (CA) | P | Free of Pseudococcus calceolariae, | |
| | hytosa | Nectria galligena | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Pear | P | Free of Aphis pomi, Nectria | |
| (Michigan) | hytosa | galligena | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Pear | P | Free of Nectria galligena | |
| (Washington) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Peach | P | Free os Cirsium arvenses | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Peas | P | Free of Soybean dwarf virus, | |
| (California) | hytosa | Cirsium arvenses | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Peas (Idaho) | P | Free of Cirsium arvenses | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Peas | P | Free of Cirsium arvenses | |
| (Washington) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Pepper | P | NONE | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Plum | P | Free of Maconellicoccus hirsutus | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Potato (CA, | P | Free of Ditylenchus dipsaci, | |
| WA) | hytosa | Ditylenchus destructor, | |
| | nitary | Meloidogyne chitwoodi | |
+--------------+--------+------------------------------------+---------+
| Potato | Certi | Free of Ditylenchus dipsaci, | |
| (Colorado) | ficate | Claribacter michiganensis supsp. | |
| | | sepedonicus, | |
+--------------+--------+------------------------------------+---------+
| | | Meloidogyne chitwoodi | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Alternaria radicina, | |
| (Idaho) | hytosa | Phytophthora erythroseptica var. | |
| | nitary | erythroseptica, | |
+--------------+--------+------------------------------------+---------+
| | | Ditylenchus dipsaci, Ditylenchus | |
| | | destructor, Helminthosporium | |
| | | solani, | |
+--------------+--------+------------------------------------+---------+
| | | Tobacco rattle virus | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Phytophthora | |
| (Minnesota) | hytosa | erythroseptica var. | |
| | nitary | erythroseptica, Spongospora | |
+--------------+--------+------------------------------------+---------+
| | | subterranea f. sp. subterranea | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Phytophthora | |
| (North | hytosa | erythroseptica var. erythroseptica | |
| Dakota) | nitary | y Spongospora | |
+--------------+--------+------------------------------------+---------+
| | | subterranea f. sp. Subterranea | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Ditylenchus dipsaci | |
| (South | hytosa | | |
| Dakota) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Meloidogyne chiwoodii, | |
| (Washington) | hytosa | Ditylenchus dipsaci, Dytilenchus | |
| | nitary | destructor, | |
+--------------+--------+------------------------------------+---------+
| | | Clavibacter michiganensis subsp. | |
| | | Sepedonicus | |
+--------------+--------+------------------------------------+---------+
| Potato | P | Free of Ditylenchus dipsaci, | |
| (Wyoming) | hytosa | Spongospora subterranea f. sp. | |
| | nitary | Subterranea | |
+--------------+--------+------------------------------------+---------+
| Pumpkin | P | Free of Cirsium arvenses | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Rice (paddy) | P | Free of Corcyra cephalonica, | |
| (All US) | hytosa | Cryptolestes ferrugineus, | |
| | nitary | Liposcelis | |
+--------------+--------+------------------------------------+---------+
| | | bostrychophila, Melochia | |
| | | corchorifolia, Monochoria | |
| | | vaginalis, Tilletia | |
+--------------+--------+------------------------------------+---------+
| | | barclayana, Trogoderma variabile. | |
| | | Certificate of treatment by | |
| | | spraying | |
+--------------+--------+------------------------------------+---------+
| | | Phostoxyn with J-SYSTEM (33 g/1000 | |
| | | cubic feet). | |
+--------------+--------+------------------------------------+---------+
| Rice (gold) | P | Free of Monochoria vaginalis, | |
| California | hytosa | Corcyra cephalonica, Cryptolestes | |
| | nitary | ferrugineus, | |
+--------------+--------+------------------------------------+---------+
| | Certi | Liposcelis bostrychophila, | |
| | ficate | Melochia corchorifolia, Trogoderma | |
| | | variabile | |
+--------------+--------+------------------------------------+---------+
| Sapodilla | P | Free of Maconellicoccus hirsutus. | |
| (CA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Sorghum | P | Free of Choanephora cucurbitarum, | |
| (Texas) | hytosa | Cryptolestes pusillus, Orobanche | |
| | nitary | ramosa, | |
+--------------+--------+------------------------------------+---------+
| | | Paspalum distichum | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| Soy (USA) | P | NONE | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Soy | P | Free of Cercospora kikuchii, | ##### |
| (Missouri) | hytosa | Cerotoma trifurcata, Diaporthe | # \"Fre |
| | nitary | phaseolorum | e of:\" |
+--------------+--------+------------------------------------+---------+
| | | Meridionalis, Phomopsis | (see |
| | | longicolla, Cirsium arvenses | column |
| | | | 3) |
+--------------+--------+------------------------------------+---------+
| Soybean | P | Free of Corcyra cephalonica, | |
| (grain) | hytosa | Plodia interpunctalia, Trogoderma | |
| Alabama | nitary | variabile | |
+--------------+--------+------------------------------------+---------+
| Squash | P | Free of Imperata cylindrica | |
| (Florida) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Squash | P | Free of Cirsium arvenses | |
| (Idaho) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Strawberry | P | Free of Phytophthora fragariae, | |
| (Raice) | hytosa | Pratylenchus penetrans | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Strawberry | P | Free of Maconellicoccus hirsutus | |
| (California) | hytosa | Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Strawberry | P | Free of Maconellicoccus hirsutus | |
| (Florida) | hytosa | Green y Aster yellows phytoplasma | |
| | nitary | group | |
+--------------+--------+------------------------------------+---------+
| Strawberry | P | Free of Maconellicoccus hirsutus, | |
| root cutting | hytosa | Aphelenchoides fragariae, | |
| (CA) | nitary | Ditylenchus dipsaci | |
+--------------+--------+------------------------------------+---------+
| Strawberry | P | Free of Maconellicoccus hirsutus, | |
| stolon (CA) | hytosa | Aphelenchoides fragariae, | |
| | nitary | Ditylenchus dipsaci | |
+--------------+--------+------------------------------------+---------+
| Sugar Beet | P | Free of Broad bean wilt virus, | |
| (US) | hytosa | Ditylenchus dipsaci | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Sweet Potato | P | NONE | |
| (CA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tangerine | P | Free of Maconellicoccus hirsutus | |
| (CA) | hytosa | Green | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tomato | P | Free of Alternaria brassicicola, | |
| (California) | hytosa | Stegobium paniceum, Tobacco streak | |
| | nitary | virus, | |
+--------------+--------+------------------------------------+---------+
| | | Cirsium arvenses | |
+--------------+--------+------------------------------------+---------+
| Tomato | P | Free of Gonocephalum, Stegobium | |
| (Hawaii) | hytosa | paniceum, Imperata cylindrica, | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Saccharum spontaneum | |
+--------------+--------+------------------------------------+---------+
| Watermelon | P | Free of Cirsium arvenses | |
| (California) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Wheat (USA) | P | Free of Ahasverus advena, Corcyra | |
| | hytosa | cephalonica, Cryptolestes | |
| | nitary | ferrugineus, | |
+--------------+--------+------------------------------------+---------+
| | | Cryptolestes pusillus, Liposcelis | |
| | | bostrychophila, Tribolium | |
| | | confusum, | |
+--------------+--------+------------------------------------+---------+
| | | Stegobium paniceum, Trogoderma | |
| | | variabile, Cirsium arvenses, | |
| | | Imperata | |
+--------------+--------+------------------------------------+---------+
| | | cylindrica, Phalaris minor | |
+--------------+--------+------------------------------------+---------+
| Wheat Flour | P | Free of Cryptolestes ferrugineus, | |
| (USA, | hytosa | Cryptolestes pusillus, Liposcelis | |
| Georgia) | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | bostrychophila, Oulema melanopus | |
+--------------+--------+------------------------------------+---------+
| Yellow corn | P | Free of Carpophilus dimidiatus, | |
| (Texas) | hytosa | Corcyra cephalonica, Plodia | |
| | nitary | interpunctalia, | |
+--------------+--------+------------------------------------+---------+
| | Certi | Sclerospora philippensis, | |
| | ficate | Trogoderma variabile | |
+--------------+--------+------------------------------------+---------+
| Yellow corn | P | Free of Corcyra cephalonica, | |
| in grain | hytosa | Cryptolestes pusillus, Ostrinia | |
| | nitary | nubilalis, Plodia | |
+--------------+--------+------------------------------------+---------+
| (Alabama) | Certi | interpunctalia, Stenocarpelia | |
| | ficate | macrospora, Trogoderma variabile | |
+--------------+--------+------------------------------------+---------+
| Yucca (CA) | P | Free of Diaspidiotus perniciosus | |
| | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| **O | | | |
| RNAMENTALS** | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Abies plants | P | NONE | \"Free |
| (Columbia) | hytosa | | of:\" |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Abies plants | P | NONE | (see |
| (Montana) | hytosa | | column |
| | nitary | | 3) |
+--------------+--------+------------------------------------+---------+
| Abies plants | P | Free of Choristoneura fumiferana y | |
| (Oregon) | hytosa | Monochamus scutellatus | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Abies plants | P | NONE | |
| (Washinton) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| African | P | NONE | |
| Violet (NY) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Ajuga | P | Shipment free of Maconellicoccus | |
| reptans (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Alocasias | P | Shipment free of Maconellicoccus | |
| rooted (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Dasheen | |
+--------------+--------+------------------------------------+---------+
| | | mosaic virus. | |
+--------------+--------+------------------------------------+---------+
| Anemones | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Pseudomonas | |
+--------------+--------+------------------------------------+---------+
| | | marginalis pv. Marginalis | |
+--------------+--------+------------------------------------+---------+
| Anthurium | P | Shipment free of Maconellicoccus | |
| (Florida) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Calonectria | |
+--------------+--------+------------------------------------+---------+
| | | crotalariae, Aphelanchoides | |
| | | fragarae, Chaetanaphothrips | |
| | | orchidii, Dasheen | |
+--------------+--------+------------------------------------+---------+
| | | mosaic virus, Maconellicoccus | |
| | | hirsutus, Pythium splendens, | |
| | | Trichodorus | |
+--------------+--------+------------------------------------+---------+
| | | Xanthomonas axonopodis pv. | |
| | | Dieffenbachiae. | |
+--------------+--------+------------------------------------+---------+
| Aphelandra | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Pathenolecanium | |
+--------------+--------+------------------------------------+---------+
| | | corni | |
+--------------+--------+------------------------------------+---------+
| Astibe | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bacopa | P | NONE | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Begonia | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Aphelenchoides | |
+--------------+--------+------------------------------------+---------+
| | | fragariae, Phytophthora cryptogea, | |
| | | Pythium splendens, Tomato spotted | |
| | | wilt virus | |
+--------------+--------+------------------------------------+---------+
| Bermuda | P | NONE | |
| Grass | hytosa | | |
| (Arizona) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bermuda | P | NONE | |
| Grass (CA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bermuda | P | Free of Striga asiatica | |
| Grass (Sth. | hytosa | | |
| Car) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bermuda | P | NONE | |
| Grass | hytosa | | |
| (Oregon) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bidens | P | NONE | |
| (Utah) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Bromelias | P | Shipment free of Maconellicoccus | |
| (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| Buddleia | P | Shipment free of Maconellicoccus | \"Free |
| (FL) | hytosa | hirsutus, Thrips palmi. | of:\" |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Calatheas | P | Shipment free of Maconellicoccus | (see |
| rooted (FL) | hytosa | hirsutus, Thrips palmi. | column |
| | nitary | | 3) |
+--------------+--------+------------------------------------+---------+
| Calibrachoa | P | NONE | |
| cutt (Utah) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Calla tubers | P | Shipment free of Maconellicoccus | |
| (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Carex | P | Shipment free of Maconellicoccus | |
| cuttings | hytosa | hirsutus, Thrips palmi. | |
| (FL) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Catleya | P | Free of Cymbidium mosaic virus, | |
| bulbs (FL) | hytosa | Odontoglossum ringspot virus, | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Pythium splendens | |
+--------------+--------+------------------------------------+---------+
| Chlorophytum | P | Free of Hercinothrips femoralis | |
| plants (CA) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Chlorophytum | P | Shipment free of Maconellicoccus | |
| cuttings | hytosa | hirsutus, Thrips palmi. | |
| (FL) | nitary | | |
+--------------+--------+------------------------------------+---------+
| C | P | Shipment free of Maconellicoccus | |
| hrysanthemum | hytosa | hirsutus, Thrips palmi. | |
| cuttings | nitary | | |
| (Fl.) | | | |
+--------------+--------+------------------------------------+---------+
| | | Free of Aster Yellow Phytoplasma | |
| | | group, Chaetanaphothrips orchidii, | |
+--------------+--------+------------------------------------+---------+
| | | Didymelia ligulicola, Impatiens | |
| | | Necrotic Spot Virus, Listroderes | |
| | | costirustris, | |
+--------------+--------+------------------------------------+---------+
| | | Nemonmyza maculosa, Phytonemus | |
| | | palidus, Thrips hawaiensis | |
+--------------+--------+------------------------------------+---------+
| Croton root | P | Shipment free of Maconellicoccus | |
| cuttings | hytosa | hirsutus, Thrips palmi. | |
| (Fl.) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Cypress | P | NONE | |
| (Ohio) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Dendrobium | P | Shipment free of Maconellicoccus | |
| bulbs (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Acidovorax | |
+--------------+--------+------------------------------------+---------+
| | | avenae subsp. Cattleyae, | |
| | | Brevipalpus californicus, | |
| | | Brevipalpus phoenicis, | |
+--------------+--------+------------------------------------+---------+
| | | Burkholderia gladioli pv. | |
| | | gladioli, Odontoglossum ringspot | |
| | | virus, | |
+--------------+--------+------------------------------------+---------+
| | | Xylosandrus compactus | |
+--------------+--------+------------------------------------+---------+
| Dendrobium | P | Shipment free of Maconellicoccus | |
| cut flowers | hytosa | hirsutus, Thrips palmi. | |
| (Fl.) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Dendrobium | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Acidovorax | |
+--------------+--------+------------------------------------+---------+
| | | avenae subsp. Cattleyae, | |
| | | Brevipalpus californicus, | |
| | | Brevipalpus phoenicis, | |
+--------------+--------+------------------------------------+---------+
| | | Burkholderia gladioli pv. | |
| | | gladioli, Odontoglossum ringspot | |
| | | virus, | |
+--------------+--------+------------------------------------+---------+
| | | Xylosandrus compactus | |
+--------------+--------+------------------------------------+---------+
| D | P | Shipment free of Maconellicoccus | |
| ieffenbachia | hytosa | hirsutus, Thrips palmi. Free of | |
| plants (Fl.) | nitary | Xanthomonas | |
+--------------+--------+------------------------------------+---------+
| | | axonopodis pv. Dieffenbachiae | |
+--------------+--------+------------------------------------+---------+
| Dipladenia | P | Shipment free of Maconellicoccus | |
| cutt (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Fir tree | P | NONE | |
| (Montana) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Fuschia | P | NONE | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Fuschia | P | NONE | |
| cuttings | hytosa | | |
| (Utah) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Gaillardia | P | Shipment free of Maconellicoccus | |
| (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Geranium | P | Shipment free of Maconellicoccus | |
| plants (CA) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Xanthomonas | |
+--------------+--------+------------------------------------+---------+
| Geranium | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Gerbera | P | Free of Pseudomonas cichorii, | |
| cuttings | hytosa | Pythium splendens | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Gladiola | P | Shipment free of Maconellicoccus | |
| buls (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Pratylenchus | |
+--------------+--------+------------------------------------+---------+
| | | pentrans | |
+--------------+--------+------------------------------------+---------+
| Gypsophilla | P | Shipment free of Maconellicoccus | |
| cut flowers | hytosa | hirsutus, Thrips palmi. | |
| (Fl.) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Hedera | P | Free of Maconellicoccus hirsutus | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Hedera root | P | Shipment free of Maconellicoccus | |
| cutt (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Ceroplastes rusci, | |
+--------------+--------+------------------------------------+---------+
| | | Phytonemus pallidus, Pratylenchus | |
| | | penetrans, Pseudomonas cichorii | |
+--------------+--------+------------------------------------+---------+
| Heliconia | P | Shipment free of Maconellicoccus | |
| rooted cut | hytosa | hirsutus, Thrips palmi. | |
| (FL) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Impatiens | P | Free of Rhodococcus fascians | |
| cuttings | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Impatiens | P | Free of Rhodococcus fascinas y | |
| cuttings | hytosa | Tomato spotted wilt virus | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Ivy plants | P | Free of Ceroplastes rusci, | |
| (Florida) | hytosa | Phytonemus palidus, Pratylenchus | |
| | nitary | penetrans, | |
+--------------+--------+------------------------------------+---------+
| | | Pseudomonas cichorii, Thrips palmi | |
+--------------+--------+------------------------------------+---------+
| Lamium (FL) | P | Shipment free of Maconellicoccus | |
| | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Leather Leaf | P | Shipment free of Maconellicoccus | |
| rhizomes | hytosa | hirsutus, Thrips palmi. Free of | |
| (FL) | nitary | Pratylenchus | |
+--------------+--------+------------------------------------+---------+
| | | pentrans | |
+--------------+--------+------------------------------------+---------+
| Leucanthemum | | Shipment free of Maconellicoccus | |
| cutt (FL) | | hirsutus, Thrips palmi. | |
+--------------+--------+------------------------------------+---------+
| Lilium bulbs | P | Shipment free of Maconellicoccus | |
| (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Pratylenchus | |
+--------------+--------+------------------------------------+---------+
| | | pentrans | |
+--------------+--------+------------------------------------+---------+
| Lisianthus | P | Free of Burkholderia gladioli, | |
| bulbs | hytosa | Erwinia carotovora, | |
| (Florida) | nitary | Maconellicoccus hirsutus, | |
+--------------+--------+------------------------------------+---------+
| | | Pratylenchus penetrans, Tobacco | |
| | | Rattle virus, Thrips palmi | |
+--------------+--------+------------------------------------+---------+
| Nandina root | P | Shipment free of Maconellicoccus | |
| cutt (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Niembergia | P | NONE | |
| cuttings | hytosa | | |
| (Utah) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Orchid | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Cymbidium | |
+--------------+--------+------------------------------------+---------+
| | | mosaic virus, Frankliniella | |
| | | schultzei, Odontoglossum ringspot | |
| | | virus, Tomato | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| | | ringspot virus y Tomato spotted | |
| | | wilt virus | |
+--------------+--------+------------------------------------+---------+
| Peperomia | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Tobacco | |
+--------------+--------+------------------------------------+---------+
| | | rattle virus | |
+--------------+--------+------------------------------------+---------+
| Petunia | P | NONE | |
| cuttings | hytosa | | |
| (Utah) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Phalaenopsis | P | Shipment free of Maconellicoccus | |
| bulbs (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Cymbidium mosaic virus, Tomato | |
| | | spotted wilt virus, and | |
| | | Pectobacterium cypripedii | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Philodendron | P | Shipment free of Maconellicoccus | \"Free |
| rooted (FL) | hytosa | hirsutus, Thrips palmi. Free of | of:\" |
| | nitary | Dasheen mosaic | |
+--------------+--------+------------------------------------+---------+
| | | virus, Pseudomonas marginalis pv. | (see |
| | | marginalis y Xanthomonas | column |
| | | axonopodis | 3) |
+--------------+--------+------------------------------------+---------+
| | | pv. diffenbachiae | |
+--------------+--------+------------------------------------+---------+
| Phormium | P | Shipment free of Maconellicoccus | |
| rooted cut | hytosa | hirsutus, Thrips palmi. | |
| (FL0 | nitary | | |
+--------------+--------+------------------------------------+---------+
| Poinsettia | P | Free of Maconellicoccus hirsutus | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Pseudotsuga | P | Free of Choristoneura fumiferana, | |
| (Oregon) | hytosa | Dendroctonus pseudotsugae, | |
| | nitary | Melampsora | |
+--------------+--------+------------------------------------+---------+
| | | medusae, Monochamus scutellatus, | |
| | | Phaeocryptopus gaeumannii | |
+--------------+--------+------------------------------------+---------+
| Pulmonarias | P | Shipment free of Maconellicoccus | |
| (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Rose | P | Free of Podosphaera pannosa, | |
| cuttings | hytosa | Pseudococcus calceolariae y | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | Selenaspidus articulatus | |
+--------------+--------+------------------------------------+---------+
| Sagina (FL) | P | Shipment free of Maconellicoccus | |
| | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Scaveola | P | NONE | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Sedum (FL) | P | Shipment free of Maconellicoccus | |
| | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Sempervivum | P | Shipment free of Maconellicoccus | |
| rooted (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Hercinothrips | |
+--------------+--------+------------------------------------+---------+
| | | femoralis | |
+--------------+--------+------------------------------------+---------+
| Snapdragon | P | NONE | |
| (Illionois) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Spatyphillum | P | Shipment free of Maconellicoccus | |
| rooted (FL) | hytosa | hirsutus, Thrips palmi. Free of | |
| | nitary | Dasheen mosaic | |
+--------------+--------+------------------------------------+---------+
| | | virus | |
+--------------+--------+------------------------------------+---------+
| Torenia | P | NONE | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Torenia | P | NONE | |
| cuttings | hytosa | | |
| (Utah) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tra | P | Shipment free of Maconellicoccus | |
| chelospermum | hytosa | hirsutus, Thrips palmi. | |
| (FL) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tulips | P | Free of Ditylenchus dipsaci, | |
| (bulbs) | hytosa | Phytophthora erythroseptica vra. | |
| | nitary | Erythroseptica, | |
+--------------+--------+------------------------------------+---------+
| | | Tobacco necrosis virus | |
+--------------+--------+------------------------------------+---------+
| Tulips | P | Free of Aceria tulipae | |
| (flowers) | hytosa | | |
| (US) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tulip | P | Free of Maconellicoccus hirsutus y | |
| flowers (FL) | hytosa | Thrips palmi | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Tulip | P | Free of Lily mottle virus y Tulip | |
| flowers | hytosa | breakking virus | |
| (Seattle) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Vanda bulbs | | Shipment free of Maconellicoccus | |
| (Fl) | | hirsutus, Thrips palmi. Free of | |
| | | Cymbidium mosaic | |
+--------------+--------+------------------------------------+---------+
| | | virus | |
+--------------+--------+------------------------------------+---------+
| Verbena | P | NONE | |
| cuttings | hytosa | | |
| (CA) | nitary | | |
+--------------+--------+------------------------------------+---------+
| Verbena | P | Shipment free of Maconellicoccus | |
| plants (FL) | hytosa | hirsutus, Thrips palmi. | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Verbena | P | NONE | |
| cuttings | hytosa | | |
| (Utah) | nitary | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| **OTHERS** | | | |
+--------------+--------+------------------------------------+---------+
| ** ** | | | |
+--------------+--------+------------------------------------+---------+
| Cotton (US) | P | Shipment free of Pectinophora | \"Free |
| | hytosa | gossypiella | of:\" |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
| Livingstonia | P | Shipment free of Cocconut Lethal | (see |
| | hytosa | Yellowing | column |
| | nitary | | 3) |
+--------------+--------+------------------------------------+---------+
| Olive | P | Free of Armillaria mellea, | |
| cuttings | hytosa | Parlatoria oleae, Rosellinia | |
| (California) | nitary | necatrix, Selenaspidus | |
+--------------+--------+------------------------------------+---------+
| | | articulatus, Trychodorus, | |
| | | Tylenchorhynchus clayton, | |
| | | Tylenchulus | |
+--------------+--------+------------------------------------+---------+
| | | sempenetrans, Verticillium dahliae | |
+--------------+--------+------------------------------------+---------+
| Prickly pear | P | Shipment free of Maconellicoccus | |
| leaves | hytosa | hirsutus, Thrips palmi. Free of | |
| (Florida) | nitary | Cactoblastic | |
+--------------+--------+------------------------------------+---------+
| | | cactorum, Cactus virus x, | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| **SEEDS** | | | |
+--------------+--------+------------------------------------+---------+
| | | | |
+--------------+--------+------------------------------------+---------+
| Alfalfa seed | P | Free of Araecerus fasciculatus, | \"Free |
| (Arkansas) | hytosa | Corcyra cephalonica, Plodia | of:\" |
| | nitary | interpunctalia, | |
+--------------+--------+------------------------------------+---------+
| | | Trogoderma variabile | (see |
| | | | column |
| | | | 3) |
+--------------+--------+------------------------------------+---------+
| Alfalfa seed | | Free of Corcyra cephalonica, | |
| (Texas) | | Plodia interpunctalia, Trogoderma | |
| | | variabile | |
+--------------+--------+------------------------------------+---------+
| Sorghum seed | P | Free of Alternaria padwicks, | |
| (Texas) | hytosa | Burkholderia andropogonis, | |
| | nitary | Choaenephora | |
+--------------+--------+------------------------------------+---------+
| | | cucurbitarum, Corcyra cephalonica, | |
| | | Cryptolestes pusilus, | |
| | | Echinochioacrus | |
+--------------+--------+------------------------------------+---------+
| | | | Atte |
| | | | station |
+--------------+--------+------------------------------------+---------+
| Product (s) | Title | Requirements for Exportation | R |
| | of | | equired |
| | Certi | | |
| | ficate | | |
+--------------+--------+------------------------------------+---------+
| | | galli, Erwinia carotovora, | |
| | | Fusarium pallidoroseum, Gibberella | |
| | | zeae, Hibiscus | |
+--------------+--------+------------------------------------+---------+
| | | trionum, Plodia interpunctalia, | |
| | | Sclerophtora macrospora, Sitotroga | |
| | | cerealella, | |
+--------------+--------+------------------------------------+---------+
| | | Sorghum halepense, Sphaceloteca | |
| | | reilana, Tribulus terrestris, | |
| | | Xanthium | |
+--------------+--------+------------------------------------+---------+
| | | strumarium | |
+--------------+--------+------------------------------------+---------+
| Citrus seed | P | Free of Araecerus fasciculatus, | |
| (California) | hytosa | Citrus leaf rugose virus, Tristeza | |
| | nitary | Citrus Virus | |
+--------------+--------+------------------------------------+---------+
| Corn seed | P | Free of Carpophilus dimidiatus, | |
| (Texas) | hytosa | Corcyra cephalonica, Plodia | |
| | nitary | interpunctalia, | |
+--------------+--------+------------------------------------+---------+
| | | Rhizopertha dominica, | |
| | | Stenocarpelia macrospora, | |
| | | Trogoderma variabile | |
+--------------+--------+------------------------------------+---------+
| Corn seed | P | Free of Carpophilus dimidiatus, | ##### |
| (Iowa) | hytosa | Corcyra cephalonica, Plodia | # \"Fre |
| | nitary | interpunctalia, | e of:\" |
+--------------+--------+------------------------------------+---------+
| | | Rhizopertha dominica, Claribacter | (see |
| | | michiganensis supsp. | column |
| | | sepedonicusensis, | 3) |
+--------------+--------+------------------------------------+---------+
| | | Trogoderma variabile | |
+--------------+--------+------------------------------------+---------+
| Corn seed | P | Free of Carpophilus dimidiatus, | |
| (Missouri) | hytosa | Corcyra cephalonica, Plodia | |
| | nitary | interpunctalia, | |
+--------------+--------+------------------------------------+---------+
| | | Rhizopertha dominica, Trogoderma | |
| | | variabile | |
+--------------+--------+------------------------------------+---------+
| Soy seed | P | Free of Heterodera glycines, | |
| (Missouri) | hytosa | Macrophomina phaseolina, | |
| | nitary | Phialophora gregata, | |
+--------------+--------+------------------------------------+---------+
| | | Popilla japonica, Septoria | |
| | | glycines, Tobacco Ringspot | |
| | | Nepovirus, Convolvulus | |
+--------------+--------+------------------------------------+---------+
| | | arvenses | |
+--------------+--------+------------------------------------+---------+
| Snow pea | P | Free of Gibberella avenaceae, | |
| seed | hytosa | Thielaviopsis basicola, Trogoderma | |
| (Washington) | nitary | variabile, | |
+--------------+--------+------------------------------------+---------+
| | | Callosobruchus maculatus | |
+--------------+--------+------------------------------------+---------+
| Orange seed | P | Free of Axonopodis pv. Citri | |
| (Florida) | hytosa | | |
| | nitary | | |
+--------------+--------+------------------------------------+---------+
# II. Government Certificate Legal Entry Requirements
All original documents listed above need to accompany the product at the
time of entry. The import license costs US \$ 13.50 (Q 100.00) and is
valid for 30 days. If the product has not left the U.S. port, for any
reason, and the 30 days have gone by since the license was issued, a
revalidation can be obtained for US \$ 10.00 (Q 75.00), for an extra 30
days. The U.S. Certificates will be valid for 30 days. The certificate
is unique for each shipment and does not apply to multiple shipments,
though it applies for a consolidated shipment of different products for
which the export certificate is valid.
Guatemala is trying to unify criteria corresponding to attestations
required in the export certificates for sanitary and food safety
purposes. This effort is not in place yet, and therefore some products
have come into the country without some of the requirements of the
Certificate of Analysis. Strict measures are being set and the exporter
is greatly encouraged to fulfill all the requirements to avoid problems
at port. The paperwork will first receive the approval of the Food
Safety Department within MAGA-UNR, and if approved, will continue the
process at the Phytosanitary or Sanitary Departments. If neglected, the
submitted application will have a technical explanation of the problem
and the shipment can be inspected and an evaluation diagnosis may be
requested to reconsider the import of the product.
If the product enters other country before reaching the final
destination, a Sanitary and/or Phytosanitary Certification of this
intermediate country will have to be attached. Sanitary and
Phytosanitary documents are the ones prone to problems due to:
authenticity, identification and signature of inspectors, illegible
seals, manufacture, alterations (no scratchings are permited), lack of
corresponding attestations referred to diseases of diagnostic tests and
state or federal formats.
Whether a product is eligible or ineligible to enter will depend upon a
risk assessment of the exporting country taking into account the
presence or absence of certain diseases in Guatemala. All fresh or
processed animal products are considered high risk. Plants under
high-risk category include: fresh or dehydrated medicine plants; ethnic,
fresh and dried fruits; grains and flours; ethnic and fresh vegetables;
fruit and vegetable pulp either frozen or specially treated.
#
| en |
all-txt-docs | 043161 |
GRANTED IN PART: September 8, 1994
GSBCA 12871-C(12700-P)
STANLEY COMPUTER SYSTEMS, INC.,
Protester,
v.
DEPARTMENT OF THE TREASURY,
Respondent.
Gerald N. Gordon and Charles J. Malaret of Sheppard, Mullin,
Richter & Hampton, Los Angeles, CA, counsel for Protester.
William P. McGinnies and Marc J. Weinberger, Office of the
Chief Counsel, United States Customs Service, Department of the
Treasury, counsel for Respondent.
Before Board Judges DANIELS (Chairman), HYATT, and GOODMAN.
DANIELS, Board Judge.
Stanley Computer Systems, Inc. (Stanley), having prevailed
in a protest against the award by the Treasury Department's
United States Customs Service (Customs) of a contract for data
entry services, has moved the Board to award protester the costs
of filing and pursuing the case. Stanley initially sought
reimbursement of $120,251.88 -- $109,071 in attorney fees and
$11,180.88 in disbursements. Protester later amended its request
to include the cost of deposition and hearing transcripts,
$5,028.30.
Customs had no objection to an award of the bulk of this
amount. The agency opposed award of $33,716.10, however,
maintaining that Stanley should not be reimbursed for three
categories of counsel's work: (1) efforts associated with
unsuccessful counts, (2) work which did not appear to have been
performed, and (3) time which was not reasonably expended. In
response, Stanley decreased its request by $8,794.50, to
$116,485.68.
Because of transposition of digits and incorrect addition,
the figures used by the parties and cited above do not precisely
match the documentation submitted. Summing the individual items
involved, we find that Stanley's amended motion sought an award
of $125,547.52 ($109,071 in attorney fees and $16,476.52 in
disbursements); Customs challenged items totalling $34,062.10
($33,440.50 in attorney fees and $621.60 in disbursements); and
in response to this opposition, Stanley reduced its request by
$8,802.50 to $116,745.02 ($100,268.50 in attorney fees and
$16,476.52 in disbursements). $25,259.60 ($24,638 in attorney
fees and $621.60 in disbursements) remains in dispute.
Discussion
Whenever the Board "determines that a challenged agency
action violates a statute or regulation or the conditions of any
delegation of procurement authority [regarding automatic data
processing equipment]," it may "further declare an appropriate
interested party to be entitled to the costs of filing and
pursuing the protest, including reasonable attorney's fees." 40
U.S.C. 759(f)(5)(B), (C) (1988). In Stanley Computer Systems,
Inc. v. Department of the Treasury, GSBCA 12700-P, 94-2 BCA
26,715, 1994 BPD 34, relief from decision granted, 1994 BPD
42 (Feb. 23, 1994), aff'd on reconsideration, 1994 BPD 57
(Mar. 10, 1994), we determined that challenged agency actions
violated provisions of statute and regulation. As Customs
concedes, Stanley is an appropriate interested party to recover
its costs of filing and pursuing that protest because it was the
prevailing party in the case -- it succeeded on the significant
issue it pursued to decision and achieved the benefit it sought
in bringing the suit. See Bedford Computer Corp., GSBCA
9837-C(9742-P), 89-2 BCA 21,827, at 109,811, 1989 BPD 121, at
3.
The objective of the statute authorizing cost awards is to
make each prevailing party whole "from pursuing its protest so
long as the fees and costs it seeks to recover are reasonable."
United States v. Compusearch Software Systems, 936 F.2d 564, 566
(Fed. Cir. 1991). The parties agree that Stanley has shown that
in prosecuting this protest it reasonably incurred costs of
$75,630.50 in attorney fees and $15,854.92 in disbursements
(courier service, computerized legal research, document
duplication, witness fees, costs of counsel's travel, and
deposition and hearing transcripts), and has acceptably
documented these costs. We have independently reviewed these
costs, and the documentation of them, and expressly find that the
parties' conclusion is correct. We consequently order that the
Government make Stanley whole by reimbursing it for those costs.
40 U.S.C. 759(f)(5)(C) (1988). In the remainder of this
opinion, we consider whether the contested amounts meet the
standard set forth in Compusearch.
1. During the course of the protest, Stanley made six
allegations of improper agency action. By the time of the
Board's hearing, protester had abandoned two of these counts and
had stated that it did not object to our granting Government
motions which disposed of the other three. Customs asks us to
deny reimbursement for costs incurred in pursuit of the five
unsuccessful counts. The amount involved is $10,746.60.
Following Supreme Court guidance, the Board has held on
numerous occasions that where a protester prevails on only some
of its counts, and those on which it is unsuccessful are distinct
and readily severable from the ones on the basis of which the
protest was granted, reimbursement will not be made for expenses
incurred in pursuing the unsuccessful counts. Government
Technology Services, Inc. v. Department of the Air Force, GSBCA
12277-C (12041-P), 1994 BPD 128, at 7-8 (June 21, 1994), and
cases cited therein. The parties disagree as to whether the
Board should order that Stanley be reimbursed for fees charged by
the firm's attorneys for time described in five journal entries,
as well as the costs of two transcripts of depositions of agency
officials. We agree with Customs that each of these items
involved in part the counts which were distinct and readily
severable from the principal one. Stanley has persuaded us that
most of the amounts are appropriately reimbursable, however.
For three of the journal entries, Stanley's counsel has made
allocations of time which reduce the amount sought to that said
to be related only to the successful count. Counsel's notations
of work performed on the days in question persuade us that two of
the allocations are reasonable. Notations involving the third
day in question, as to which $1,500 is contested, indicate that a
deduction should be made because the work was wholly associated
with the unsuccessful counts. The other two journal entries
involve counsel's travel to Washington, D.C., to conduct
depositions. Although a fraction of the depositions appears to
have involved the peripheral grounds of protest, the travel was
clearly necessary for depositions on the principal ground, and
counsel has explained in an affidavit that he billed for less
time than he might have for those two days. We award full
reimbursement for attorney fees incurred for those days. As to
the deposition transcripts, Stanley maintains, without contest
from Customs, that the depositions involved issues related to
both successful and unsuccessful counts, and that the basic
purpose of the sessions was to learn information related to the
principal issue. We award Stanley the entire cost of the
transcripts.
2. Customs asks us to deduct $4,130 for attorney fees
associated with work on days on which, according to counsel's
journal entries, an attorney drafted and revised written
discovery requests to be sent to the agency. Customs maintains,
and Stanley does not deny, that such discovery requests were
never sent. Stanley's rejoinder is that the entries show that on
the same days, counsel drafted and revised similar requests to be
sent to the awardee, and those requests were actually
transmitted. This is not really an answer as much as an
admission that the agency is correct. The entries show that many
tasks were performed on the days in question, however, so a
deduction of the fees for the entire days' work would be
inappropriate. We subtract from the time assertedly devoted to
the case on those days the time which appears to have been
associated with preparation of the requests to the agency. This
results in a disallowance of $1,200 in costs for which
reimbursement is sought.
3. The law firm Stanley engaged to represent it in this
protest assigned one partner and one associate to the case.
Customs notes that for numerous days, one or all of the
associate's journal entries for work performed include the
statement "conferred re status of bid protest." The agency urges
us to deny reimbursement for the associate's fees for each of
these days -- a total of $5,103. Stanley maintains in response
that these billing entries, which involved general strategy
discussions between the partner and the associate or instructions
for work to be accomplished, involved brief amounts of time and
were frequently accompanied by several other tasks performed by
the associate. We agree with Stanley that brief conferences
between a partner and an associate are integral to an incisive
approach to a protest and to a coordinated, economical division
of work to be done by lawyers on the case. No cause exists to
make the requested deduction.
4. The Board authorized the filing of reply briefs,
limited to ten pages in length, in the underlying protest.
Stanley filed two such briefs. The Board sustained Customs'
objection to these filings and authorized Stanley to refile a
single reply brief of not more than ten pages. Protester
complied with this order. Customs now asks that we deny
reimbursement of $5,280 in attorney fees associated with the
drafting of the two initial reply briefs -- or alternatively,
reduce the total amount of the award because counsel devoted
excessive time to the writing of the reply briefs. Stanley
contends that no reduction is appropriate because the research
and writing which went into the briefs would have been performed
whether the two initial submissions had been consolidated into
one either before or after the Board's order.
When an agency contends that a protester's cost application
seeks reimbursement of fees charged for excessive attorney time,
the Board considers whether the amount of time devoted to the
particular tasks in question was reasonably expended. Integrated
Systems Group, Inc. v. National Aeronautics & Space
Administration, GSBCA 12679-C(12603-P), 94-2 BCA 26,668, 1994
BPD 19, and cases cited therein. Here, counsel's journal
entries indicate that between 17.1 and 24.9 hours were spent
preparing Stanley's reply to briefs filed by Customs and the
intervenor which supported the agency. (The specific number is
not known because on one of the days in question, counsel worked
on numerous matters, only one of which was reply briefs.) In
light of the legal and factual complexity of the issues addressed
in the reply, and the limitations on the amount of time and pages
available for the filing, we agree with Customs that Stanley's
counsel spent an excessive amount of time on this matter. We
deduct $1,500 from the amount sought.
Thus, from the $25,259.60 in costs which is in dispute, we
conclude that an award of all but $4,200 is appropriate.
Decision
Stanley's motion for an award of costs incurred in filing
and pursuing the protest is GRANTED IN PART. We hold that
protester reasonably expended $112,545.02 ($96,068.50 in attorney
fees and $16,476.52 in disbursements) in filing and pursuing the
underlying protest. We award that amount to Stanley. This sum
shall be paid, without interest, from the permanent indefinite
judgment fund, 31 U.S.C. 1304 (1988). 40 U.S.C. 759(f)(5)(C)
(1988).
_________________________
STEPHEN M. DANIELS
Board Judge
We concur:
_________________________ _________________________
CATHERINE B. HYATT ALLAN H. GOODMAN
Board Judge Board Judge
| en |
all-txt-docs | 281137 |
PROGRAM NEWPTR PAGE 1
G-FILE: ../ny.gfile
PROJECT ID D RES H RES FROM STATION NAME PID SSN TO STATION NAME PID SSN
GPS327 0.220 -0.158 MPRB LW5713 0623 STATION 6 RM 2 LW0891 0624
GPS881 0.005 -0.059 G 406 OE0481 0678 MOREHOUSE AA7929 0676
GPS881 0.003 0.051 ATHENS AA7898 0701 TANNER AA7944 0649
GPS722 0.030 0.105 CAUS AA9616 0710 BRIDGE KU2902 0100
GPS722 0.254 0.154 HOBE AA9645 0709 BRIDGE KU2902 0100
GPS722 0.012 0.220 SEAVEY KU2581 0708 NP 1 COE AA9661 0711
GPS722 0.042 -0.054 SEAVEY KU2581 0708 BRIDGE KU2902 0100
GPS722 0.044 0.107 BRIDGE KU2902 0100 LLOYDS POINT RESET KU2710 0727
GPS722 0.105 -0.029 BRIDGE KU2902 0100 07E 20N KU4735 0357
GPS722 0.382 -0.061 SEAVEY KU2581 0708 BRIDGE KU2902 0100
GPS722 1.022 -0.255 SEAVEY KU2581 0708 COOR AA9625 0720
GPS997 0.006 0.074 ARMORY LX7571 0738 L 103 KV3446 0735
GPS997 0.005 0.074 GRUMMAN RM 2 KU2958 0739 L 103 KV3446 0735
GPS997 0.007 -0.069 BEAR MT RESET LY2510 0752 MIDPORT LY2828 0736
GPS997 0.001 -0.070 PTOLEMY AB3880 0744 MIDPORT LY2828 0736
GPS997 0.003 0.065 STEWART AB3882 0753 FAHNESTOCK AB3872 0746
GPS997 0.011 0.108 MIDPORT LY2828 0736 FAHNESTOCK AB3872 0746
GPS997 0.005 -0.080 ARP LX1523 0747 MIDPORT LY2828 0736
GPS997 0.006 -0.056 FULPORT OF2759 0762 CAMDEN AA7900 0668
GPS997 0.013 -0.054 FULPORT OF2759 0762 WILLIAMS AB3849 0772
GPS997 0.002 0.066 ARP 2 ART OF2756 0774 MALLORY TOWN AB3884 0783
GPS997 0.001 0.065 ARP 2 ART OF2756 0774 HAMMOND 11 93 AB3857 0784
GPS997 0.004 0.072 ARP 2 ART OF2756 0774 SL 4 PJ0114 0780
GPS997 0.007 -0.077 HOWER PH0622 0794 COLTON AB3854 0788
GPS997 0.008 -0.052 HOWER PH0622 0794 C 409 PH0489 0795
GPS1171 0.014 -0.066 SODUSPORT AE2171 0825 RIDGECREST OF1560 0817
GPS1171 0.007 -0.118 FAIR HAVEN AB3838 0764 RIDGECREST OF1560 0817
GPS1171 0.003 -0.055 WOLCOTT AB3848 0768 LOCK 29 AE2168 0826
GPS1171 0.007 0.079 ROMULUS AB3846 0767 GENEVA NB2146 0766
GPS1171 0.006 -0.104 GENEVA NB2146 0766 PENPORT AZ MK NB2121 0827
GPS1171 0.001 -0.086 GENEVA NB2146 0766 K 155 NB0909 0828
GPS1171 0.008 0.064 RUSH OF2118 0831 641 NYGS 1969 OF2471 0833
GPS1171 0.008 0.058 4506 OF2156 0832 641 NYGS 1969 OF2471 0833
GPS1171 0.054 0.008 STACH RM 2 NC0952 0838 CARBECK NC0522 0853
GPS1171 0.014 -0.057 F 389 NC0463 0851 CARBECK NC0522 0853
GPS1171 0.007 0.069 JHW AP STA B2 NC1792 0863 KELLEHER RM 3 AE2159 0856
GPS1171 0.012 0.092 JHW AP STA B2 NC1792 0863 CARBECK NC0522 0853
GPS1171 0.007 0.080 JHW AP STA B2 NC1792 0863 DUNPORT NC1801 0868
GPS1171 0.013 0.060 ECHO X AE2174 0866 KELLEHER RM 3 AE2159 0856
GPS1171 0.015 0.082 ECHO X AE2174 0866 CARBECK NC0522 0853
GPS1171 0.011 0.066 ECHO X AE2174 0866 DUNPORT NC1801 0868
GPS1171 0.002 -0.054 RICH MA2167 0869 M 56 NC0616 0870
GPS1171 0.003 0.061 EAST NC0864 0864 M 56 NC0616 0870
GPS1171 0.047 -0.031 EAST NC0864 0864 LONDON CBL PIER 1 AD9916 0820
GPS1639 0.018 0.074 YOUNGSTOWN 1 CORS ARP AF9561 0891 RIDGECREST OF1560 0817
GPS1639 0.015 0.066 YOUNGSTOWN 1 CORS ARP AF9561 0891 ALGONQUIN TY8124 1008
GPS1639 0.012 0.070 YOUNGSTOWN 1 CORS ARP AF9561 0891 PAYNE 2 OF1677 0816
GPS1639 0.013 0.055 YOUNGSTOWN 1 CORS ARP AF9561 0891 EXIT OF1081 1009
GPS1639 0.020 0.083 YOUNGSTOWN 1 CORS ARP AF9561 0891 RIDGECREST OF1560 0817
GPS1639 0.022 0.062 YOUNGSTOWN 1 CORS ARP AF9561 0891 RIDGECREST OF1560 0817
GPS1596 0.005 -0.067 MORICHES 1 CORS ARP AH5048 1003 ZNY B AA3498 1036
PROGRAM NEWPTR PAGE 2
G-FILE: ../ny.gfile
PROJECT ID D RES H RES FROM STATION NAME PID SSN TO STATION NAME PID SSN
GPS1596 0.033 -0.025 MORICHES 1 CORS ARP AH5048 1003 ARMORY LX7571 0738
GPS1596 0.042 -0.071 MORICHES 1 CORS ARP AH5048 1003 2615 DE7791 1067
GPS1596 0.028 -0.029 MORICHES 1 CORS ARP AH5048 1003 ZNY B AA3498 1036
GPS1596 0.038 -0.046 MORICHES 1 CORS ARP AH5048 1003 KULA 2 KU4483 1069
GPS1596 0.031 -0.061 MORICHES 1 CORS ARP AH5048 1003 HV007A DE7808 1071
GPS1596 0.029 -0.025 MORICHES 1 CORS ARP AH5048 1003 Q 334 KU0337 1072
GPS1596 0.035 -0.048 MORICHES 1 CORS ARP AH5048 1003 Q 326 KU0374 1073
GPS1596 0.036 -0.029 MORICHES 1 CORS ARP AH5048 1003 U 325 LX0248 1074
GPS1596 0.035 -0.042 MORICHES 1 CORS ARP AH5048 1003 THREE POINT LX5624 1075
GPS1596 0.028 -0.059 MORICHES 1 CORS ARP AH5048 1003 TIDAL 9 STA 2 50 LW0831 1076
GPS1596 0.015 -0.012 MORICHES 1 CORS ARP AH5048 1003 BROOKPORT KU4530 1070
GPS1596 0.023 0.020 NJ INST OF TECH 2 CORS AJ3348 1050 F 439 LY2255 0737
GPS1596 0.029 -0.102 NJ INST OF TECH 2 CORS AJ3348 1050 G 6 USE KU1577 1063
GPS1596 0.023 0.030 NJ INST OF TECH 2 CORS AJ3348 1050 MARSHALL AB3876 0743
GPS1596 0.020 -0.065 PAQUETTE AD9919 1052 GPS 13 019 94 AB3873 0749
GPS1596 0.022 -0.000 MORICHES 1 CORS ARP AH5048 1003 BROOKPORT KU4530 1070
GPS1596 0.005 -0.081 MORICHES 1 CORS ARP AH5048 1003 MORICHES AA9073 1005
GPS1596 0.003 -0.036 SYRACUSE CORS ARP AI2155 0906 UNIVERSITY OF PIT CORS AI8355 1054
GPS1596 0.007 -0.064 SYRACUSE CORS ARP AI2155 0906 NORPORT NA2282 0641
GPS1596 0.011 -0.017 NJ INST OF TECH 2 CORS AJ3348 1050 PTOLEMY AB3880 0744
GPS1596 0.035 0.051 WILKES BARRE CORS ARP AF9631 1049 GPS 16 AE2190 0871
GPS1596 0.038 0.051 WILKES BARRE CORS ARP AF9631 1049 ENDPORT NB2113 0662
GPS1596 0.058 0.018 WILKES BARRE CORS ARP AF9631 1049 U 450 LY2333 0655
GPS1596 0.011 0.061 WAYPOINT TECH BASE STAT DE7805 1058 COBLESKILL 93 1 AA7904 0640
GPS1596 0.062 0.084 PAQUETTE AD9919 1052 GPS 13 019 94 AB3873 0749
GPS1596 0.010 -0.061 PAQUETTE AD9919 1052 448 K AJ4065 1108
GPS1596 0.037 0.078 PAQUETTE AD9919 1052 448 C AJ4058 1109
GPS1596 0.017 -0.093 WILKES BARRE CORS ARP AF9631 1049 M 459 NB1600 1114
GPS1596 0.028 -0.028 WILKES BARRE CORS ARP AF9631 1049 Y 458 NB1586 1115
GPS1596 0.019 -0.017 TVGA BASE AE2184 0850 HORNPORT 2 AE2196 0844
GPS1596 0.019 -0.001 TVGA BASE AE2184 0850 GPS 82 AE2194 0879
GPS1596 0.005 -0.052 SYRACUSE CORS ARP AI2155 0906 CCDPF BASE STATION ARP DE7798 1110
GPS1596 0.005 -0.053 SYRACUSE CORS ARP AI2155 0906 K 155 NB0909 0828
GPS1596 0.062 -0.104 SYRACUSE CORS ARP AI2155 0906 V 164 NB0611 1124
GPS1596 0.021 -0.050 SYRACUSE CORS ARP AI2155 0906 HUDSON FALLS 1 CORS ARP AI8826 0962
GPS1596 0.007 -0.036 SYRACUSE CORS ARP AI2155 0906 VERMONT CAPITAL CORS AR AF9563 0923
GPS1596 0.005 -0.027 WILKES BARRE CORS ARP AF9631 1049 KROUSE LZ0358 1116
GPS1596 0.053 -0.088 SYRACUSE CORS ARP AI2155 0906 G 463 NB1620 0874
GPS1596 0.008 -0.021 YOUNGSTOWN 1 CORS ARP AF9561 0891 MEDINA OG0490 0813
GPS1596 0.017 -0.009 NJ INST OF TECH 2 CORS AJ3348 1050 NANUET AB3877 0742
GPS1596 0.006 0.032 YOUNGSTOWN 1 CORS ARP AF9561 0891 ROSE AE2170 0824
GPS1596 0.005 0.028 WAYPOINT TECH BASE STAT DE7805 1058 PITCHER AB3879 0750
GPS1596 0.032 -0.056 SYRACUSE CORS ARP AI2155 0906 WESTFORD CORS ARP AF9520 1137
GPS1596 0.009 0.032 MTS SYRACUSE COOP CORS DE6256 1111 THORNDEN OF1362 1119
GPS1596 0.011 -0.072 SYRACUSE CORS ARP AI2155 0906 BELLEVILLE CBL PIER 3 AD9914 0818
GPS1596 0.001 0.030 SYRACUSE CORS ARP AI2155 0906 H 466 OF1288 1146
GPS1596 0.007 0.019 SYRACUSE CORS ARP AI2155 0906 FULPORT OF2759 0762
GPS1596 0.005 -0.042 SYRACUSE CORS ARP AI2155 0906 UNIVERSITY OF PIT CORS AI8355 1054
GPS1596 0.013 -0.069 SYRACUSE CORS ARP AI2155 0906 BELLEVILLE CBL PIER 3 AD9914 0818
GPS1596 0.006 -0.062 SYRACUSE CORS ARP AI2155 0906 BURNHAM AB3851 0775
GPS1596 0.023 0.082 WAYPOINT TECH BASE STAT DE7805 1058 COBLESKILL 93 1 AA7904 0640
PROGRAM NEWPTR PAGE 3
G-FILE: ../ny.gfile
PROJECT ID D RES H RES FROM STATION NAME PID SSN TO STATION NAME PID SSN
GPS1596 0.025 0.041 YOUNGSTOWN 1 CORS ARP AF9561 0891 SYRACUSE CORS ARP AI2155 0906
GPS1596 0.011 0.041 SYRACUSE CORS ARP AI2155 0906 BURNHAM AB3851 0775
GPS1596 0.025 -0.005 SYRACUSE CORS ARP AI2155 0906 VERMONT CAPITAL CORS AR AF9563 0923
GPS1596 0.021 0.003 OTTAWA NRC CORS ARP DE6592 1056 831 1062 LMN DE7816 1148
GPS1596 0.018 -0.034 PAUL SMITH'S COLL CORS AJ2364 1057 YORK PH2343 0686
GPS1596 0.015 -0.010 YOUNGSTOWN 1 CORS ARP AF9561 0891 SYRACUSE CORS ARP AI2155 0906
GPS1596 0.005 0.068 PAUL SMITH'S COLL CORS AJ2364 1057 ARPa PG1117 0804
GPS1596 0.016 -0.017 PAUL SMITH'S COLL CORS AJ2364 1057 HOWER PH0622 0794
GPS1596 0.013 -0.035 PAUL SMITH'S COLL CORS AJ2364 1057 YORK PH2343 0686
GPS1596 0.002 -0.014 PAUL SMITH'S COLL CORS AJ2364 1057 LEWIS AA7924 0632
GPS1596 0.018 -0.020 HUDSON FALLS 1 CORS ARP AI8826 0962 M 360 OD0473 0626
GPS1596 0.004 -0.029 PAUL SMITH'S COLL CORS AJ2364 1057 YORK PH2343 0686
GPS1596 0.009 -0.025 PAUL SMITH'S COLL CORS AJ2364 1057 NORTH HUDSON AA7932 0633
GPS1596 0.011 0.127 HUDSON FALLS 1 CORS ARP AI8826 0962 MOREHOUSE AA7929 0676
GPS1596 0.034 -0.057 HUDSON FALLS 1 CORS ARP AI8826 0962 CAROGA AA7901 0682
GPS1596 0.028 -0.037 HUDSON FALLS 1 CORS ARP AI8826 0962 CORINTH AA7905 0694
GPS1596 0.019 0.028 SYRACUSE CORS ARP AI2155 0906 PAQUETTE AD9919 1052
GPS1596 0.010 0.041 WAYPOINT TECH BASE STAT DE7805 1058 ATHENS AA7898 0701
GPS1596 0.083 0.163 MORICHES 1 CORS ARP AH5048 1003 L 372 KU0026 1172
GPS1596 0.029 -0.035 MORICHES 1 CORS ARP AH5048 1003 COSMO RM 3 DE7796 1080
GPS1596 0.026 0.019 MORICHES 1 CORS ARP AH5048 1003 L 372 KU0026 1172
GPS1596 0.013 -0.029 YOUNGSTOWN 1 CORS ARP AF9561 0891 DUNPORT NC1801 0868
GPS1715/13 0.051 0.026 NY CENTER OF POPULATION DG9708 1212 LAMONT EARTH OBS CORS A AJ4872 1213
| en |
all-txt-docs | 217736 | The Economist
Saturday, June 3
The energetic messiah
By bending all the rules of the energy business, Kenneth Lay has turned Ea~ron from a stodgy
gas concern into a soaring new-economy company. Bus what has he learned along the way?
year ago, the top brass from big .. chaiucttti~ticconIidenca. Mr Lay responds
and gas companies gasheued London. new-economy company
They beaunsionned a bss. gosstped a los and foreisbecamecool
drsnktoomuchcofiee.DutwhenKennethLay .1 lit sum. the Enton sale is every bit as te.
rose to speak there was pmn.dtop silence. As ~ titatltabltas it seems. And Mr Lay~s boast lass
the chatratan of Enron sketched his vision ibr I year about growing his compatty ninefold
how liberalization and deregulanon would * once again. met with gasps as the time. eel-
transform the world~ enetgy markets, his a- ~.. tairaly seems less oudandlsh now, especially
vals were butily scnbbkrag noses. Some nod- . - when he maintains that lntons strongest
did dumbly. Oshess shouted out half.balsed ' growth Is stIll ahead of us'. ~s does nothing
questions. Having e~spanded Enrons matlut -~ duidiewayo(MrLaysdominasiono!all
capitalisanon ninefold over the past decade. hesurveys?lsinsun realyso flawless?
asked one bose. could he ~ - 4 Hauls. hubuls
~Welidoisagainthiscornlngdecade.hesu- -;
sponded coolly. Mouths feD agape. MrLay~uru~ewthesequesuosu
Enron is blazing a trail foe its industry. so talk about the ~
Afrer his speech. Mr Lay commented wan - struwthaisy.asldnghimmadmisevessdw
aide. with sante ssszpnse. that -~ ~ ii kessougher than psaflinh teeth.
guys finally seessi togas iLYes.shempondedsmugly.theywue This isodd.ford ebltmdusbsas appaoach so innovation that is in.
even using some of our languagerSpend long essot~ls mmmd top U wiesosuch anopponsutisdc Rita as Ensun is bound to peoducs
Enron jteo emnd you feel you stein the midst some stat of a Nut Given all Isis successes, surely failures should be
ass. Mr Lay, with his pasuisn far ptuudly displayed as ted badges of coarage?Aflez4uckiahl.lhe
n..k~.",is theculrstw~s.l4isdiscblesaue issmaaaus.m ~
intelligent. aggressive group of yaun~sh pm&ssionals~? al of
whom "ges is~The "Isis she meal maultet fmces inshelmtg.esaid
enezgy business.
gas pipelines. At she titn~ she market for gas and electricity was
heavlyregulasedornmby~overnmettrmonopoIy almost winy-
whezL Bus Mr Uywaseonvmnced that thingawould ehasigejohe
lobbied haitI for deregulation, and positioned himself to capital.
ise on the slightest aperture or loophole in the law. Thanks as Is
take-no.pnsoners attitude, and its hIghly sophisticated approach
so managing risks, the Run has come to dominate Ameska's siur-
keis forwholesale gas and elecmeity~The tesul. ate bseathsalrlogu
the firms sales have leaps float SsA billion a decade ago m$o.s
blllionlasryear.wihmossofshatcomingftemuvduusgenea~vJsis
trying to repeat the nick in Esszopeandjapan.
Lay is now setting out to rernalse titian yet again.
byforging intothedignaleeonomy.lnalhmyoflnldadves.hehas
ptopelled litton usia trading wholasals power on the insenset.
into web sales of elecisielty so retail ems
switers. and even into Internet tradhugof
bandwldth.Aawellassuplrsgfltsz.movw
advantage, his Rusts aRm belap gape..
she pammets to such tisley venassas. b
foray into retail electricity. Ibresasaple. Is
with aoL and test, while Compaq mid
Sun Mleiasiummns naheloisse tahiti the
private it macaura to studs bandwidth.
response from invessoss has hem
astonishment. followed by posm. En.
ions share pike has rocketed far hour
than thomof otherenergycompanap(see
chan~ Analysts continue so iwIs. Donaw
Eassey of Menill Lynch thinks slurs Ba-
ran is unl9uely positioned to be theGuut-
etal Electric of the new economy" Wads
I
4if
yeauapuus nupuogwgieptiee.whiehmidsobIasitei~moes.
Isaveonewondeslng Itheever lumailsuit such mistakes.
A dueler palm as whenhebasked about I9~.
iii II [ I I -. -
- L~~*i ~i*~7 5g*4 ll~.
power susloss. Hats off-but whet has Mr lay
couldiok - sheds , toavoid
the whiff of
heL~the~~,
Rum ~mfietsad i,v in euri.-t -
-a
O.wkin item
- h~~W
di t shoe host nowbe a so sitarist prom-
naominthejsmk-bondboomoltheiWee.
Mrlayspeaksglowktgiyoftheheydayof
Dramlandofits star trader. MIchael Nil.
keti, whom he courses as a friend: they
endedupinjailfoepssshingshelawtoo ~
far,asrdsheanopnsDreeelcollapsadina
hmofbadkbuandiplominy..~ul1nL,
its anagance. mmii it hurdlv likely to
nemesas,eveit so.
LAY-SEC
000023343
CONFIDENTIAL TRBATMENT UNDER FOIA
REQUESTED BY KENNETH LAY
I
GOVERNMENT
EXHIBIT
24274
Cnm No. H 04-0025
DJIIIr.dup
P.sre,ultu. 51 IN lUbtW ~
.1
NW--
tlNheFU - -
| en |
converted_docs | 886583 | ------------------- ------------------------------------------------------------------
**RA: Vocational
Rehabilitation
State Grants**
**FY 2009 Program
Performance Plan**
Strategic Goal 3
Formula
RA, Title I, Part A
and Sections 110
and 111
CFDA 84.126A: Vocational Rehabilitation State Grants
------------------- ------------------------------------------------------------------
-------------- --------------------------------------------------------
**Program **Individuals with disabilities served by the Vocational
Goal:** Rehabilitation (VR) State Grant program will achieve
high-quality employment.**
-------------- --------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------
------------------------- --------------------------------------------------------
***Objective 1 of 2:*** *Ensure that individuals with disabilities who are
served by the Vocational Rehabilitation (VR) State
Grants program achieve employment consistent with their
particular strengths, resources, priorities, concerns,
abilities, capabilities, interests and informed choice.*
------------------------- --------------------------------------------------------
----------------------- ---------------- ------------------ ---------------------------
**Measure 1.1 of 6:**
The percentage of
general and combined
state vocational
rehabilitation agencies
that assist at least
55.8 percent of
individuals receiving
services to achieve
employment. (Desired
direction: increase)
1681
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2001 75 Measure not in place
2002 75 Measure not in place
2003 66 Measure not in place
2004 83 66 Did Not Meet Target
2005 75 71.4 Made Progress From Prior
Year
2006 70 82.1 Target Exceeded
2007 71 (April 2008) Pending
2008 76 (April 2009) Pending
2009 78 (April 2010) Pending
2010 80 (April 2011) Pending
2011 82 (April 2012) Pending
2012 82 (April 2013) Pending
----------------------- ---------------- ------------------ ---------------------------
**Frequency of Data Collection**. Annual
----------------------- ---------------- ------------------- --------------------------
**Measure 1.2 of 6:**
The percentage of state
vocational
rehabilitation agencies
for the blind that
assist at least 68.9
percent of individuals
receiving services to
achieve employment.
(Desired direction:
increase) 1682
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2001 75 Measure not in place
2002 75 Measure not in place
2003 58 Measure not in place
2004 83 63 Made Progress From Prior
Year
2005 75 54.17 Did Not Meet Target
2006 70 62.5 Made Progress From Prior
Year
2007 65 (April 2008) Pending
2008 66 (April 2009) Pending
2009 66 (April 2010) Pending
2010 70 (April 2011) Pending
2011 70 (April 2012) Pending
2012 75 (April 2013) Pending
----------------------- ---------------- ------------------- --------------------------
**Frequency of Data Collection**. Annual
----------------------- ---------------- ------------------- --------------------------
**Measure 1.3 of 6:**
The percentage of
general and combined
state vocational
rehabilitation agencies
for which at least 80
percent of the
individuals achieving
competitive employment
have significant
disabilities.
(Desired direction:
increase) 1683
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2002 75 Measure not in place
2003 82 Measure not in place
2004 86 Measure not in place
2005 88 Measure not in place
2006 88 85.71 Did Not Meet Target
2007 89 (April 2008) Pending
2008 90 (April 2009) Pending
2009 90 (April 2010) Pending
----------------------- ---------------- ------------------- --------------------------
**Frequency of Data Collection**. Annual
----------------------- ---------------- ------------------ ---------------------------
**Measure 1.4 of 6:**
The percentage of state
vocational
rehabilitation agencies
for the blind for which
at least 90 percent of
the individuals
achieving competitive
employment have
significant
disabilities.
(Desired direction:
increase) 1684
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2002 88 Measure not in place
2003 88 Measure not in place
2004 100 Measure not in place
2005 100 Measure not in place
2006 96 100 Target Exceeded
2007 100 (April 2008) Pending
2008 100 (April 2009) Pending
2009 100 (April 2010) Pending
----------------------- ---------------- ------------------ ---------------------------
**Frequency of Data Collection**. Annual
----------------------- ---------------- ------------------- ---------------------------
**Measure 1.5 of 6:**
The percentage of
general and combined
state vocational
rehabilitation agencies
assisting at least 85
percent of individuals
with employment
outcomes to achieve
competitive employment.
(Desired direction:
increase) 1685
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2001 62.5 Measure not in place
2002 88 Measure not in place
2003 93 Measure not in place
2004 67 95 Target Exceeded
2005 89 95 Target Exceeded
2006 96 96.43 Target Exceeded
2007 96 (April 2008) Pending
2008 96 (April 2009) Pending
2009 97 (April 2010) Pending
2010 97 (April 2011) Pending
2011 97 (April 2012) Pending
2012 97.5 (April 2013) Pending
----------------------- ---------------- ------------------- ---------------------------
**Frequency of Data Collection**. Annual
----------------------- ---------------- ------------------ ---------------------------
**Measure 1.6 of 6:**
The percentage of state
vocational
rehabilitation agencies
for the blind that
assist at least 65
percent of individuals
with employment
outcomes to achieve
competitive employment.
(Desired direction:
increase) 1686
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2001 41.7 Measure not in place
2002 50 Measure not in place
2003 54 Measure not in place
2004 48 71 Target Exceeded
2005 54 75 Target Exceeded
2006 71 79.17 Target Exceeded
2007 75 (April 2008) Pending
2008 79 (April 2009) Pending
2009 79 (April 2010) Pending
2010 80 (April 2011) Pending
2011 80 (April 2012) Pending
2012 80 (April 2013) Pending
----------------------- ---------------- ------------------ ---------------------------
**Frequency of Data Collection**. Annual
-----------------------------------------------------------------------
-----------------------------------------------------------------------
------------------------- --------------------------------------------------------
***Objective 2 of 2:*** *Ensure that state VR agencies demonstrate effective
fiscal management.*
------------------------- --------------------------------------------------------
----------------------- ---------------- ------------------- --------------------------
**Measure 2.1 of 6:**
Percentage of general
combined State
Vocational
Rehabilitation agencies
that demonstrate an
average cost per
participant between
\$1,200 and \$3,300.
(Desired direction:
increase) 89a02q
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2005 73 Measure not in place
2006 64.3 Measure not in place
2007 75 (April 2008) Pending
2008 73 (April 2009) Pending
2009 74 (April 2010) Pending
2010 75 (April 2011) Pending
2011 75 (April 2012) Pending
----------------------- ---------------- ------------------- --------------------------
----------------------- ---------------- ------------------- ---------------------------
**Measure 2.2 of 6:**
Percentage of State
Vocational
Rehabilitation Agencies
for the Blind that
demonstrate an average
cost per participant of
no more than \$8,000.
(Desired direction:
increase) 89a036
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2005 67 Measure not in place
2006 66.7 Measure not in place
2007 71 (April 2008) Pending
2008 70 (April 2009) Pending
2009 70 (April 2010) Pending
2010 71 (April 2011) Pending
2011 71 (April 2012) Pending
----------------------- ---------------- ------------------- ---------------------------
**Frequency of Data Collection**. Annual
----------------------- ----------------- ------------------ --------------------------
**Measure 2.3 of 6:**
The percentage of
general and combined
state vocational
rehabilitation agencies
whose cost per
employment outcome is
between \$6,000 and
\$16,500. (Desired
direction: increase)
2047
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2005 71 Measure not in place
2006 Set a Baseline 66.1 Target Met
2007 73 (April 2008) Pending
2008 70 (April 2009) Pending
2009 71 (April 2010) Pending
----------------------- ----------------- ------------------ --------------------------
**Frequency of Data Collection**. Annual
----------------------- ----------------- ------------------ --------------------------
**Measure 2.4 of 6:**
Percentage of State
Vocational
Rehabilitation agencies
for the Blind that
demonstrate an average
cost per employment
outcome of no more than
\$38,000. (Desired
direction: increase)
2048
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2005 67 Measure not in place
2006 Set a Baseline 70.8 Target Met
2007 71 (April 2008) Pending
2008 71 (April 2009) Pending
2009 75 (April 2010) Pending
----------------------- ----------------- ------------------ --------------------------
**Frequency of Data Collection**. Annual
----------------------- ----------------- ------------------ --------------------------
**Measure 2.5 of 6:**
Percentage of general
and combined State VR
agencies that
demonstrate an average
annual consumer
expenditure rate of at
least 83 percent.
(Desired direction:
increase) 2049
**Year** **Target** **Actual\ **Status**
(or date
expected)**
2005 75 Measure not in place
2006 Set a Baseline 69.4 Target Met
2007 77 (May 2008) Pending
2008 73 (May 2009) Pending
2009 75 (May 2010) Pending
----------------------- ----------------- ------------------ --------------------------
**Frequency of Data Collection**. Annual
+------+----------------+-----------------+---------------------------+
| * | | | |
| *Mea | | | |
| sure | | | |
| 2.6 | | | |
| of | | | |
| 6:** | | | |
| | | | |
| Pe | | | |
| rcen | | | |
| tage | | | |
| of | | | |
| S | | | |
| tate | | | |
| VR | | | |
| agen | | | |
| cies | | | |
| for | | | |
| the | | | |
| B | | | |
| lind | | | |
| that | | | |
| dem | | | |
| onst | | | |
| rate | | | |
| an | | | |
| ave | | | |
| rage | | | |
| an | | | |
| nual | | | |
| cons | | | |
| umer | | | |
| exp | | | |
| endi | | | |
| ture | | | |
| rate | | | |
| of | | | |
| at | | | |
| l | | | |
| east | | | |
| 70 | | | |
| perc | | | |
| ent. | | | |
| | | | |
| | | | |
| (Des | | | |
| ired | | | |
| di | | | |
| rect | | | |
| ion: | | | |
| i | | | |
| ncre | | | |
| ase) | | | |
| | | | |
| 2050 | | | |
+------+----------------+-----------------+---------------------------+
| **Ye | **Target** | **Actual\ | **Status** |
| ar** | | (or date | |
| | | expected)** | |
+------+----------------+-----------------+---------------------------+
| 2005 | | 66.7 | Measure not in place |
+------+----------------+-----------------+---------------------------+
| 2006 | Set a Baseline | 62.5 | Target Met |
+------+----------------+-----------------+---------------------------+
| 2007 | 71 | (May 2008) | Pending |
+------+----------------+-----------------+---------------------------+
| 2008 | 67 | (May 2009) | Pending |
+------+----------------+-----------------+---------------------------+
| 2009 | 67 | (May 2010) | Pending |
+------+----------------+-----------------+---------------------------+
**Frequency of Data Collection**. Annual
| en |
converted_docs | 663312 | **§4.41 History of injury.**
In considering the residuals of injury, it is essential to trace the
medical-industrial history of the disabled person from the original
injury, considering the nature of the injury and the attendant
circumstances, and the requirements for, and the effect of, treatment
over past periods, and the course of the recovery to date. The duration
of the initial, and any subsequent, period of total incapacity,
especially periods reflecting delayed union, inflammation, swelling,
drainage, or operative intervention, should be given close attention.
This consideration, or the absence of clear cut evidence of injury, may
result in classifying the disability as not of traumatic origin, either
reflecting congenital or developmental etiology, or the effects of
healed disease.
Reserved
| en |
converted_docs | 889228 | +------------+-----+---------------------------------------------------+
| # STANDARD | ** | **DESCRIPTION** |
| | ARE | |
| | A** | |
+============+=====+===================================================+
| 10 CFR | MR | Compliance with the National Environmental Policy |
| 1021 | | Act |
+------------+-----+---------------------------------------------------+
| 10 CFR | MR | Compliance with Flood Plain/Wetlands |
| 1022 | | Environmental Review |
+------------+-----+---------------------------------------------------+
| 10 CFR 835 | RP | Occupational Radiation Protection - Applicable |
| | | and Enforceable Portions |
+------------+-----+---------------------------------------------------+
| 14 CFR 77 | IS | (Aviation) Objects Affecting Navigable Airspace |
+------------+-----+---------------------------------------------------+
| 14 CFR 91 | IS | (Aviation) General Operating and Flight Rules |
+------------+-----+---------------------------------------------------+
| 14 CFR 121 | IS | (Aviation) Operating Requirements: Domestic, |
| | | Flag, and Supplemental Operations |
+------------+-----+---------------------------------------------------+
| 14 CFR 125 | IS | (Aviation) Certifications and Operations |
+------------+-----+---------------------------------------------------+
| 14 CFR 127 | IS | (Aviation) Certification and Operations of |
| | | Scheduled Air Carriers with Helicopters |
+------------+-----+---------------------------------------------------+
| 14 CFR 133 | IS | (Aviation) Rotorcraft External Load Operations |
+------------+-----+---------------------------------------------------+
| 14 CFR 135 | IS | (Aviation) Operating Requirements: Commuter and |
| | | On-Demand Operations |
+------------+-----+---------------------------------------------------+
| 14 CFR 137 | IS | (Aviation) Agricultural Aircraft Operations |
+------------+-----+---------------------------------------------------+
| 14 CFR 139 | IS | (Aviation) Certification and Operation: Land |
| | | Airport Serving Certain Air Carriers |
+------------+-----+---------------------------------------------------+
| 14 CFR 145 | IS | (Aviation) Repair Stations |
+------------+-----+---------------------------------------------------+
| 14 CFR 830 | IS | (Aviation) Notification And Reporting - Accidents |
| | | and Incidents |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Posting of Notice: Availability of the Act, |
| 1903.2 | | Regulations, and Applicable Standards |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Imminent Danger |
| 1903.13 | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | MO | Recordkeeping and Reporting Occupational Injuries |
| 1904 | | and Illnesses |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | General (1 through 8) |
| 1910 | ,FP | |
| | | |
| SUBPART A | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Adoption and Extension of Established Federal |
| 1910 | | Standards (11 through 19) |
| | | |
| SUBPART B | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Walking-Working Surfaces (21 through 30) |
| 1910 | | |
| | | |
| SUBPART D | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Means of Egress (35 through 38) |
| 1910 | | |
| | | |
| SUBPART E | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Powered Platforms, Manlifts, and Vehicle Mounted |
| 1910 | | Work Platforms (66 through 68) |
| | | |
| SUBPART F | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IH | Occupational Health and Environmental Control (94 |
| 1910 | | through 98) |
| | | |
| SUBPART G | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Hazardous Materials (101 through 126) |
| 1910 | ,CS | |
| | ,FP | |
| SUBPART H | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Personal Protective Equipment (132 through 139) |
| 1910 | | |
| | | |
| SUBPART I | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | General Environmental Controls (141 through 147) |
| 1910 | ,FP | |
| | | |
| SUBPART J | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | MS | Medical and First Aid (151) |
| 1910 | | |
| | | |
| SUBPART K | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Fire Protection (155 through 165) |
| 1910 | ,FP | |
| | | |
| SUBPART L | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Compressed Gas and Compressed Air Equipment (169) |
| 1910 | | |
| | | |
| SUBPART M | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Materials Handling and Storage (176-179, 181, |
| 1910 | | 183-184) |
| | | |
| SUBPART N | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Machinery and Machine Guarding (211 through 213, |
| 1910 | | 215, 219) |
| | | |
| SUBPART O | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Hand/Portable Powered Tools and Other Hand-Held |
| 1910 | | Equipment (241 through 244) |
| | | |
| SUBPART P | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Welding, Cutting, and Brazing (251 through 255) |
| 1910 | | |
| | | |
| SUBPART Q | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Special Industries **(268) Telecommunications** |
| 1910 | | |
| | | |
| SUBPART R | | |
+------------+-----+---------------------------------------------------+
| **29 CFR | **I | **Special Industries (269) Power generation, |
| 1910** | S** | Transmission** |
| | | |
| ## | | |
| SUBPART R | | |
| | | |
| ### ADDED | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Electrical (301 through 306, 331--335, 399) |
| 1910 | | |
| | | |
| SUBPART S | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Commercial Diving Operations (401 through 402, |
| 1910 | | 410, 420-427, 430, 440-441) |
| | | |
| SUBPART T | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IH | Toxic and Hazardous Substances (1000 through 1450 |
| 1910 | | except 1029, 1043, 1045, 1047, 1050-1051) |
| | | |
| SUBPART Z | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Designations for General Industry Standards |
| 1926 | | Incorporated Into Body of Construction Standards |
| | | |
| APPENDIX A | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | MO | General (1 through 5) |
| 1926 | | |
| | | |
| SUBPART A | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | General Interpretations (10 through 16) |
| 1926 | | |
| | | |
| SUBPART B | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | General Safety and Health Provisions (20 through |
| 1926 | ,FP | 35) |
| | | |
| SUBPART C | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Occupational Health and Environmental Controls |
| 1926 | | (50 through 66) |
| | | |
| SUBPART D | | |
+------------+-----+---------------------------------------------------+
| **29 CFR | **I | **Personal Protection and Life Saving Equipment |
| 1926** | S,F | (95 through 107)** |
| | P** | |
| **SUBPART | | |
| E** | | |
| | | |
| **ADDED** | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Fire Protection and Prevention (150 through 155) |
| 1926 | ,FP | |
| | | |
| SUBPART F | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Signs, Signals, and Barricades (200 through 203) |
| 1926 | | |
| | | |
| SUBPART G | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Materials Handling, Storage, Use, and Disposal |
| 1926 | | (250 through 252) |
| | | |
| SUBPART H | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Tools - Hand and Power (300 through 307) |
| 1926 | | |
| | | |
| SUBPART I | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Welding and Cutting (350 through 354) |
| 1926 | | |
| | | |
| SUBPART J | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Electrical (400 through 408, 416-417, 431-432, |
| 1926 | | 441, 449) |
| | | |
| SUBPART K | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Scaffolds (450 through 454) |
| 1926 | | |
| | | |
| SUBPART L | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Fall Protection (500 through 503) |
| 1926 | | |
| | | |
| SUBPART M | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Cranes, Derricks, Hoists, Elevators, and |
| 1926 | | Conveyors (550 through 555) |
| | | |
| SUBPART N | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Motor Vehicles, Mechanized Equipment, and Marine |
| 1926 | | Operations (600 through 606) |
| | | |
| SUBPART O | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Excavations (650 through 652) |
| 1926 | | |
| | | |
| SUBPART P | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Concrete and Masonry Construction (700 through |
| 1926 | | 706) |
| | | |
| SUBPART Q | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Steel Erection (750 through 752) |
| 1926 | | |
| | | |
| SUBPART R | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Underground Construction, Caissons, Cofferdams, |
| 1926 | | and Compressed Air (800 through 804) |
| | | |
| SUBPART S | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Demolition (850 through 860) |
| 1926 | | |
| | | |
| SUBPART T | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Blasting and the Use of Explosives (900 through |
| 1926 | | 914) |
| | | |
| SUBPART U | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Power Transmission and Distribution (950 through |
| 1926 | | 960) |
| | | |
| SUBPART V | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Rollover Protective Structures; Overhead |
| 1926 | | Protection (1000 through 1003) |
| | | |
| SUBPART W | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Stairways and Ladders (1050 through 1060) |
| 1926 | | |
| | | |
| SUBPART X | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IS | Diving (1071 through 1092) |
| 1926 | | |
| | | |
| SUBPART Y | | |
+------------+-----+---------------------------------------------------+
| 29 CFR | IH | Toxic and Hazardous Substances (1100 through 1152 |
| 1926 | | except 1129, 1145, 1147) |
| | | |
| SUBPART Z | | |
+------------+-----+---------------------------------------------------+
| 33 CFR 64 | CW | Markings of Structures, Sunken Vessels and Other |
| | | Obstructions |
+------------+-----+---------------------------------------------------+
| 33 CFR 67 | CW | Aids to Navigation on Artificial Islands and |
| | | Fixed Structures |
+------------+-----+---------------------------------------------------+
| 33 CFR 68 | CW | Private Aid to Navigation |
+------------+-----+---------------------------------------------------+
| 33 CFR 126 | CW | Handling Class I (Explosive) Materials or Other |
| | | Dangerous Cargo |
+------------+-----+---------------------------------------------------+
| 33 CFR 153 | CW | Control of Pollution by Oil and Hazardous |
| | | Substances, Discharged Removed |
+------------+-----+---------------------------------------------------+
| 33 CFR 154 | CW | Facilities Transferring Oil or Hazardous Material |
| | | in Bulk |
+------------+-----+---------------------------------------------------+
| 33 CFR 156 | CW | Oil and Hazardous Material Transfer Operations |
+------------+-----+---------------------------------------------------+
| 33 CFR 158 | HW | Reception Facilities for Oil, Noxious Liquid |
| | | Substances, and Garbage (MARPOL) |
+------------+-----+---------------------------------------------------+
| 33 CFR 322 | CW | Permits for Structures or Work in or Affecting |
| | | Navigable Waters of the U.S. |
+------------+-----+---------------------------------------------------+
| 33 CFR 323 | CW | Permits for Discharges of Dredged or Fill |
| | | Material into Waters of the U.S. |
+------------+-----+---------------------------------------------------+
| 33 CFR 325 | CW | Process of Department of Army Permits |
+------------+-----+---------------------------------------------------+
| 33 CFR 326 | CW | Enforcement |
+------------+-----+---------------------------------------------------+
| 33 CFR 328 | CW | Definition of Waters of the United States |
+------------+-----+---------------------------------------------------+
| 33 CFR 329 | CW | Definition of Navigable Waters of the United |
| | | States |
+------------+-----+---------------------------------------------------+
| 33 CFR 330 | CW | Nationwide Permits |
+------------+-----+---------------------------------------------------+
| 36 CFR 800 | MR | Advisory Council on Historical Preservation |
+------------+-----+---------------------------------------------------+
| 40 CFR 52 | CA | Approval & Promulgation of Implementation Plans |
+------------+-----+---------------------------------------------------+
| 40 CFR 53 | CA | Ambient Air Monitoring |
+------------+-----+---------------------------------------------------+
| 40 CFR 60 | CA | Standards of Performance for New Stationary |
| | | Sources |
+------------+-----+---------------------------------------------------+
| 40 CFR 60, | CA | Determination of Emissions from Volatile |
| Appendix A | | Compounds Leaks |
+------------+-----+---------------------------------------------------+
| 40 CFR 61 | CA | National Emission Standards for Hazardous Air |
| | | Pollutants |
+------------+-----+---------------------------------------------------+
| 40 CFR 63 | CA | National Emission Standards for Hazardous Air |
| | | Pollutant for Source Categories |
+------------+-----+---------------------------------------------------+
| 40 CFR 66 | CA | Assessment and Collection of Noncompliance |
| | | Penalties |
+------------+-----+---------------------------------------------------+
| 40 CFR 70 | CA | State Operating Permit Programs |
+------------+-----+---------------------------------------------------+
| 40 CFR 80 | CA | Regulations of Fuels and Fuel Additives |
+------------+-----+---------------------------------------------------+
| 40 CFR 81 | CA | Designation of Areas for Air Quality Planning |
| | | Purposes |
+------------+-----+---------------------------------------------------+
| 40 CFR 82 | CA | Protection of Stratospheric Ozone |
+------------+-----+---------------------------------------------------+
| 40 CFR 109 | CW | Criteria for State, Local, and Regional Oil |
| | | Removal Contingency Plans |
+------------+-----+---------------------------------------------------+
| 40 CFR 110 | CW | Discharge of Oil |
+------------+-----+---------------------------------------------------+
| 40 CFR 112 | CW | Oil Pollution Prevention |
+------------+-----+---------------------------------------------------+
| 40 CFR 116 | CW | Designation of Hazardous Substances |
+------------+-----+---------------------------------------------------+
| 40 CFR 117 | CW | Determination of Reportable Quantities for |
| | | Hazardous Substances |
+------------+-----+---------------------------------------------------+
| 40 CFR 121 | CW | State Certification of Activities Requiring a |
| | | Federal License or Permit |
+------------+-----+---------------------------------------------------+
| 40 CFR 122 | CW | EPA Administrated Permit Programs: NPDES |
+------------+-----+---------------------------------------------------+
| 40 CFR 124 | CW | Procedures for Decision Making |
+------------+-----+---------------------------------------------------+
| 40 CFR 125 | CW | Criteria and Standards for NPDES |
+------------+-----+---------------------------------------------------+
| 40 CFR 129 | CW | Toxic Pollutant Effluent Standards |
+------------+-----+---------------------------------------------------+
| 40 CFR 131 | CW | Water Quality Planning and Management, Water |
| | | Quality Standards |
+------------+-----+---------------------------------------------------+
| 40 CFR 133 | CW | Secondary Treatment Regulation |
+------------+-----+---------------------------------------------------+
| 40 CFR 136 | CW | Guidelines Establishing Test Procedures for the |
| | | Analysis of Pollutants |
+------------+-----+---------------------------------------------------+
| 40 CFR 141 | CW | National Primary Drinking Water Regulations |
+------------+-----+---------------------------------------------------+
| 40 CFR 142 | CW | National Primary Drinking Water Implementation |
| | | Regulations |
+------------+-----+---------------------------------------------------+
| 40 CFR 143 | CW | National Secondary Drinking Water Regulations |
+------------+-----+---------------------------------------------------+
| 40 CFR 144 | CW | Underground Injection Control Program |
+------------+-----+---------------------------------------------------+
| 40 CFR 146 | CW | Underground Injection Control Programs: Criteria |
| | | and Standards |
+------------+-----+---------------------------------------------------+
| 40 CFR 147 | CW | State UIC Programs |
+------------+-----+---------------------------------------------------+
| 40 CFR 149 | CW | Sole Source Aquifers |
+------------+-----+---------------------------------------------------+
| 40 CFR 152 | CS | Pesticide Registration and Classification |
| | | Procedures |
+------------+-----+---------------------------------------------------+
| 40 CFR 156 | CS | Labeling Requirements for Pesticides and Devices |
+------------+-----+---------------------------------------------------+
| 40 CFR 170 | CS | Worker Protection Standards (Pesticides) |
+------------+-----+---------------------------------------------------+
| 40 CFR 171 | CS | Certification of Pesticide Applicators |
+------------+-----+---------------------------------------------------+
| 40 CFR 220 | CW | General |
+------------+-----+---------------------------------------------------+
| 40 CFR 228 | CW | Ocean Dumping |
+------------+-----+---------------------------------------------------+
| 40 CFR 243 | HW | Guidelines for Storage and Collection of |
| | | Residential, Commercial, and Institutional Solid |
| | | Wastes |
+------------+-----+---------------------------------------------------+
| 40 CFR 247 | HW | Comprehensive Procurement Guideline for Products |
| | | Containing Recovered Materials |
+------------+-----+---------------------------------------------------+
| 40 CFR 260 | HW | Hazardous Waste Management System: General |
+------------+-----+---------------------------------------------------+
| 40 CFR 261 | HW | Identification and Listing of Hazardous Waste |
+------------+-----+---------------------------------------------------+
| 40 CFR 262 | HW | Standards Applicable to Generators of Hazardous |
| | | Wastes |
+------------+-----+---------------------------------------------------+
| 40 CFR 263 | HW | Standards applicable to transporters of hazardous |
| | | wastes |
+------------+-----+---------------------------------------------------+
| 40 CFR 264 | HW | Standards for Owners and Operators of Hazardous |
| | | Waste, Treatment, Storage, and Disposal |
| | | Facilities |
+------------+-----+---------------------------------------------------+
| 40 CFR 266 | HW | Standards for Management of Specific Hazardous |
| | | Wastes |
+------------+-----+---------------------------------------------------+
| 40 CFR 268 | HW | Land Disposal Restrictions |
+------------+-----+---------------------------------------------------+
| 40 CFR 272 | HW | Approved State Hazardous Waste Management |
| | | Programs |
+------------+-----+---------------------------------------------------+
| 40 CFR 273 | HW | Standard for Universal Waste Management |
+------------+-----+---------------------------------------------------+
| 40 CFR 279 | HW | Standards for Management of Used Oil |
+------------+-----+---------------------------------------------------+
| 40 CFR 280 | HW | Technical Standards and Corrective Action |
| | | Requirements for Owners and Operators of UST |
+------------+-----+---------------------------------------------------+
| 40 CFR 282 | HW | Approved Underground Storage Tank Programs |
+------------+-----+---------------------------------------------------+
| 40 CFR 300 | CS | National Oil and Hazardous Substances Pollution |
| | | Contingency Plans |
+------------+-----+---------------------------------------------------+
| 40 CFR 302 | CS | Designation of Reportable Quantities and |
| | | Notification |
+------------+-----+---------------------------------------------------+
| 40 CFR 355 | CS | Emergency Planning and Notification |
+------------+-----+---------------------------------------------------+
| 40 CFR 370 | CS | Hazardous Chemical Reporting: Community |
| | | Right-to-Know |
+------------+-----+---------------------------------------------------+
| 40 CFR 372 | CS | Toxic Chemical Release Reporting: Community |
| | | Right-to-Know |
+------------+-----+---------------------------------------------------+
| 40 CFR 373 | CS | Reporting Hazardous Substance Activity When |
| | | Selling or Transferring Federal Real Property |
+------------+-----+---------------------------------------------------+
| 40 CFR 401 | CW | General Provisions |
+------------+-----+---------------------------------------------------+
| 40 CFR 403 | CW | General Pretreatment Regulations for Existing and |
| | | New Sources of Pollution |
+------------+-----+---------------------------------------------------+
| 40 CFR 700 | CS | General |
+------------+-----+---------------------------------------------------+
| 40 CFR 761 | CS | PCB Manufacturing, Processing, Distribution in |
| | | Commerce, and Use Prohibitions |
+------------+-----+---------------------------------------------------+
| 40 CFR 763 | IH | Asbestos |
| | ,CS | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPAPurpose, Policy and Mandate |
| 1500 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA and Agency Planning |
| 1501 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA Environmental Impact Statement |
| 1502 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA Commenting |
| 1503 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA Predecision Referrals to the Council of |
| 1504 | | Proposed Federal Actions Determined to be |
| | | Environmentally Unsatisfactory |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA and Agency Decision Making |
| 1505 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | Other Requirements of NEPA |
| 1506 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA Agency Compliance |
| 1507 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | NEPA Terminology and Index |
| 1508 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | Freedom of Information Act Procedures |
| 1515 | | |
+------------+-----+---------------------------------------------------+
| 40 CFR | MR | Privacy Act Implementation |
| 1516 | | |
+------------+-----+---------------------------------------------------+
| 49 CFR 130 | CS | Oil Spill Prevention and Response Plans |
+------------+-----+---------------------------------------------------+
| 49 CFR 171 | TS | General Information, Regulations, and Definitions |
+------------+-----+---------------------------------------------------+
| 49 CFR 172 | TS | Hazardous Materials Tables and Hazardous |
| | | Materials Communications Regulations |
+------------+-----+---------------------------------------------------+
| 49 CFR 173 | TS | Shippers - General Requirements for Shipments and |
| | | Packaging |
+------------+-----+---------------------------------------------------+
| 49 CFR 177 | TS | Carriage by Public Highway |
+------------+-----+---------------------------------------------------+
| 49 CFR 194 | TS | DOT Response Plans for Onshore Pipelines |
+------------+-----+---------------------------------------------------+
| 49 CFR 195 | TS | Transportation of Hazardous Liquids by Pipeline |
+------------+-----+---------------------------------------------------+
| 49 CFR 199 | TS | Drug Testing |
+------------+-----+---------------------------------------------------+
| 50 CFR 10 | MR | General Provisions |
+------------+-----+---------------------------------------------------+
| 50 CFR 17 | MR | Endangered and Threatened Wildlife and Plants |
+------------+-----+---------------------------------------------------+
| EO 11988 | CW | Floodplain Management |
+------------+-----+---------------------------------------------------+
| EO 11990 | CW | Protection of Wetlands |
+------------+-----+---------------------------------------------------+
| EO 11991 | MR | Protection and Enhancement of Environmental |
| | | Quality |
+------------+-----+---------------------------------------------------+
| EO 12088 | MR | Federal Compliance with Pollution Control |
| | | Requirements |
+------------+-----+---------------------------------------------------+
| EO 12898 | MR | Federal Action to Address Environmental Justice |
| | | in Minority Populations and Low-Income |
| | | Populations |
+------------+-----+---------------------------------------------------+
| EO 13101 | PP | Greening the Government Through Waste Prevention, |
| | | Recycling, and Federal Acquisition |
+------------+-----+---------------------------------------------------+
| EO 13123 | PP | Greening the Government Through Efficient Energy |
| | ,MR | Management |
+------------+-----+---------------------------------------------------+
| EO 13148 | MR | Greening the Government Through Leadership in |
| | | Environmental Management |
+------------+-----+---------------------------------------------------+
| EO 13149 | PP | Greening the Government Through Federal Fleet and |
| | | Transportation Efficiency |
+------------+-----+---------------------------------------------------+
| EO 13158 | CW | Marine Protected Area |
+------------+-----+---------------------------------------------------+
| EO 13186 | MR | Responsibilities of Federal Agencies to Protect |
| | | Migratory Birds |
+------------+-----+---------------------------------------------------+
| 33:LAC I.3 | MR | Departmental Administrative Procedures |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Risk Evaluation/Corrective Action Program |
| I.13 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Groundwater Fees |
| I.14 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Permit Review |
| I.15 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Notification Regulations and Procedures for |
| I.39 | | Unauthorized Discharge |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Policy and Intent |
| I.45 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Program Requirements |
| I.47 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Organization and Personnel Requirements |
| I.49 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | On-site Inspection/Evaluation |
| I.51 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Quality System Requirements |
| I.53 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Sample Protocol/Sample Integrity |
| I.55 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | MR | Maintenance of Accreditation |
| I.57 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | General Provisions |
| III.1 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Rules and Regulations for the Fee System of the |
| III.2 | | Air Quality Control Programs |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Permit Procedures |
| III.5 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Ambient Air Quality |
| III.7 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | General Regulations on Control of Emissions and |
| III.9 | | Emission Standards |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Control of Emissions of Smoke |
| III.11 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Emission Standards for Particulate Matter |
| III.13 | | (including standards for some specific |
| | | facilities) |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Conformity |
| III.14 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Emission Standards for Sulphur Dioxide |
| III.15 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Control of Emission of Carbon Monoxide (new |
| III.17 | | sources) |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Control of Emission of Organic Compounds |
| III.21 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Miscellaneous Incineration Rules |
| III.25 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Odor Regulations |
| III.29 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Standards of Performance for New Stationary |
| III.30 | | Sources |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Comprehensive Toxic Air Pollutant Emission |
| III.51 | | Control Program |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Minor Sources of Toxic Air Pollutants |
| III.53 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Prevention of Air Pollution Emergency Episodes |
| III.56 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Chemical Accident Prevention and Minimization of |
| III.59 | | Consequences |
+------------+-----+---------------------------------------------------+
| 33:LAC | CA | Division's Source Test Manual |
| III.60 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC V.1 | HW | General Provisions and Definitions |
+------------+-----+---------------------------------------------------+
| 33:LAC V.9 | HW | Manifest System for TSD Facilities |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Generators |
| V.11 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Transporters |
| V.13 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Treatment, Storage and Disposal Facilities |
| V.15 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Containment Buildings |
| V.18 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Tanks |
| V.19 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Containers |
| V.21 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Prohibitions on Land Disposal |
| V.22 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Corrective Action Management Units and Temporary |
| V.26 | | Units |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Financial Requirements |
| V.37 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Universal Wastes |
| V.38 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Small Quantity Generators |
| V.39 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | PP | Used Oil |
| V.40 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | PP | Recyclable Materials |
| V.41 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Lists of Hazardous Wastes |
| V.49 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Fee Schedules |
| V.51 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | General Provisions and Definitions (solid waste |
| VII.1 | | regulations) |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Scope and Mandatory Provisions of the Program |
| VII.3 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Solid Waste Management System |
| VII.5 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Solid Waste Standards |
| VII.7 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Enforcement |
| VII.9 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | PP | Recycling and Waste Reduction Rules |
| VII.103 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | PP | Waste Tires |
| VII.105 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | General Provisions |
| IX.1 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Permits |
| IX.3 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Enforcement |
| IX.5 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Effluent Standards |
| IX.7 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Spill Prevention and Control |
| IX.9 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Surface Water Quality Standards |
| IX.11 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Louisiana Water Pollution Control Fee System |
| IX.13 | | Regulation |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Water Quality Certification Procedures |
| IX.15 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | Rules Governing Disposal of Waste Oil, Oil Field |
| IX.17 | | Brine, and All Other Materials Resulting From the |
| | | Drilling for, Production of, or Transportation of |
| | | Oil, Gas or Sulphur (as amended January 27, 1953) |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | State of Louisiana Control Commission |
| IX.19 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | CW | The LPDES Program Definitions and General Program |
| IX.23 | | Requirements |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Program Applicability and Definitions |
| XI.1 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Registration Requirements, Standards and Fee |
| XI.3 | | Schedule |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Spill and Overfill Control |
| XI.5 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Methods Release Detection and Release Reporting, |
| XI.7 | | Investigation, Confirmation and Response |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Out of Service UST Systems and Closure |
| XI.9 | | |
+------------+-----+---------------------------------------------------+
| 33:LAC | HW | Enforcement |
| XI.15 | | |
+------------+-----+---------------------------------------------------+
| 43:LAC I.1 | CW | General Rules and Regulations |
+------------+-----+---------------------------------------------------+
| 43:LAC I.5 | CW | State Lands |
+------------+-----+---------------------------------------------------+
| 43:LAC I.7 | CW | Coastal Management |
+------------+-----+---------------------------------------------------+
| 43:LAC | TS | Underwater Obstructions |
| XI.3 | | |
+------------+-----+---------------------------------------------------+
| 43:LAC | TS | Pipeline Safety |
| XI.5 | | |
+------------+-----+---------------------------------------------------+
| 43:LAC | CW | Class I, III, IV, and V Injection Wells |
| XVII.1 | | (Statewide Order 29-N-1) |
+------------+-----+---------------------------------------------------+
| 43:LAC | CW | Hydrocarbon Storage Wells in Salt Dome Cavities |
| XVII.3 | | (Statewide Order 29-M) |
+------------+-----+---------------------------------------------------+
| 43:LAC | CW | General Provisions (Statewide Order 29-B) |
| XIX.1 | | |
+------------+-----+---------------------------------------------------+
| 43:LAC | CW | Fees |
| XIX.2 | | |
+------------+-----+---------------------------------------------------+
| **48:LAC | **C | **Water and Wastewater Operator Certification** |
| V.73** | W** | |
| | | |
| **ADDED** | | |
+------------+-----+---------------------------------------------------+
| 48:LAC | CW | Sewerage Program |
| V.75 | | |
+------------+-----+---------------------------------------------------+
| 48:LAC | CW | Drinking Water Program |
| V.77 | | |
+------------+-----+---------------------------------------------------+
| 70:LAC | CW | Water Wells |
| XIII.1 | | |
+------------+-----+---------------------------------------------------+
| 70:LAC | CW | Water Well Construction |
| XIII.3 | | |
+------------+-----+---------------------------------------------------+
| 70:LAC | CW | Plugging and Sealing Abandoned Water Wells and |
| XIII.5 | | Holes |
+------------+-----+---------------------------------------------------+
| 70:LAC | CW | Reporting Abandoned Wells and Holes |
| XIII.7 | | |
+------------+-----+---------------------------------------------------+
| LAC:XV | RP | Radiation Protection - General Provisions |
| chpt 1 | | |
+------------+-----+---------------------------------------------------+
| LAC:XV | RP | Registration of Radiation Machines and Facilities |
| chpt 2 | | |
+------------+-----+---------------------------------------------------+
| LAC:XV | RP | Licensing of Radioactive Material |
| chpt 3 | | |
+------------+-----+---------------------------------------------------+
| LAC:XV | RP | Standards for Protection Against Radiation |
| chpt 4 | | |
+------------+-----+---------------------------------------------------+
| LAC:XV | RP | Radiation Safety Requirements for Industrial |
| chpt 5 | | Radiographic Operations |
+------------+-----+---------------------------------------------------+
| 16:TAC I.3 | CW | Oil and Gas Division |
+------------+-----+---------------------------------------------------+
| 25:TAC | CW | Wastewater Surveillance and Technology |
| I.301 | | |
+------------+-----+---------------------------------------------------+
| 25:TAC | HW | Solid Waste Management |
| I.325 | | |
+------------+-----+---------------------------------------------------+
| 25:TAC | CW | Water Hygiene |
| I.337 | | |
+------------+-----+---------------------------------------------------+
| **30:TAC | * | **Environmental Testing Laboratory Accreditation |
| I.25** | *CW | and Certification** |
| | M | |
| **ADDED** | R** | |
+------------+-----+---------------------------------------------------+
| **30:TAC | **M | **Regulatory Flexibility** |
| I.90** | R** | |
| | | |
| **ADDED** | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | General Provisions |
| I.101 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Exemption from Permitting |
| I.106 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Visible Emissions |
| I.111 | | and Particulate Matter |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Sulfur Compounds |
| I.112 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Toxic Materials |
| I.113 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Motor Vehicles |
| I.114 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Volatile Organic |
| I.115 | | Compounds |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution by Permits for New |
| I.116 | | Construction or Modification |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Nitrogen Compounds |
| I.117 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution by Episode |
| I.118 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Control of Air Pollution from Carbon Monoxide |
| I.119 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CA | Federal Operating Permits |
| I.122 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Water Quality Certification |
| I.279 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Applications Processing |
| I.281 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | On-site Sewage Facilities |
| I.285 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Water Hygiene |
| I.290 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Water Rights, Procedural |
| I.295 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Water Rights, Substantive |
| I.297 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Surface Water Quality Standards |
| I.307 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | HW | Sludge Use, Disposal, and Transportation |
| I.312 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Used Oil |
| I.324 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Certificates of Competency |
| I.325 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Spill Prevention and Control |
| I.327 | | |
+------------+-----+---------------------------------------------------+
| **30:TAC | **P | **Waste Minimization and Recycle** |
| I.328** | P** | |
| | | |
| **ADDED** | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | PP | Municipal Solid Waste |
| I.330 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | HW | Underground and Aboveground Storage Tanks |
| I.334 | | |
+------------+-----+---------------------------------------------------+
| 30:TAC | HW | Industrial Solid Waste and Municipal Hazardous |
| I.335 | | Waste |
+------------+-----+---------------------------------------------------+
| 30:TAC | CW | Oil and Hazardous Substances General Provisions |
| I.343 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | CW | Planning Division |
| I.15 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | CW | Oil Spill Prevention and Response |
| I.19 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | CW | Natural Resource Damage Assessment |
| I.20 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | CW | Oil Spill Prevention and Response Hearings |
| I.21 | | Procedures |
+------------+-----+---------------------------------------------------+
| 31:TAC | MR | Fisheries |
| II.57 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | MR | Wildlife |
| II.65 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | MR | Resource Protection |
| II.69 | | |
+------------+-----+---------------------------------------------------+
| 31:TAC | CW | Coastal Management Program |
| XVI.503 | | |
+------------+-----+---------------------------------------------------+
| 37:TAC | FP | Texas Commission on Fire Protection, Flammable |
| XIII.501 | | Liquids |
+------------+-----+---------------------------------------------------+
| No number | CA | Technical Guidance Package for Chemical Sources, |
| | | Storage Tanks, TNRCC, Feb 1995 |
+------------+-----+---------------------------------------------------+
| No number | CA | Technical Guidance Package for Chemical Sources, |
| | | Equipment Leak Fugitives, TNRCC, Mar 1995 |
+------------+-----+---------------------------------------------------+
| R.S. | CS | Hazardous Materials Information Development, |
| 30 | | Preparedness and Response Act |
| :2361-2379 | | |
| | | |
| SARA Title | | |
| III | | |
+------------+-----+---------------------------------------------------+
| TCRA, | CS | Texas Tier Two Reporting Forms and Instructions |
| 505-507 | | |
| | | |
| SARA Title | | |
| III | | |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Texas Regulations for Control of Radiation - |
| 11 | | General provisions |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Texas Regulations for Control of Radiation - Fees |
| 12 | | |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Texas Regulations for Control of Radiation - |
| 13 | | Hearing and Enforcement Procedures |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Standards for Protection Against Radiation - |
| 21 | | Permissible Doses, Precautionary Procedures, |
| | | Waste Disposal |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Notices, Instructions and Reports to Workers; |
| 22 | | Inspections |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Radiation Safety Requirements and Licensing and |
| 31 | | Registration Procedures for Industrial |
| | | Radiography |
+------------+-----+---------------------------------------------------+
| TRCR part | RP | Licensing of Radioactive Material -Exemptions, |
| 41 | | Licenses, General Licenses, Specific Licenses, |
| | | Reciprocity, Transport |
+------------+-----+---------------------------------------------------+
| ANSI | IS | OSHA Referenced Standards |
| Standards | | |
+------------+-----+---------------------------------------------------+
| ANSI/ISO | MR | Environmental Management Systems Specification |
| 14001-1996 | | With Guidance For Use |
+------------+-----+---------------------------------------------------+
| ASME | IS | OSHA Referenced Standards |
| Standards | | |
+------------+-----+---------------------------------------------------+
| EPA | CA | Protocol for Equipment Leak Emission Estimates, |
| 45 | | Jun 1993 |
| 3/R-93-026 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | RCRA Groundwater Monitoring; Draft Technical |
| 53 | | Guidance |
| 0/R-93-001 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | Practical Guide for Groundwater Sampling |
| 60 | | |
| 0/2-85/105 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | Methods for Measuring the Acute Toxicity of |
| 60 | | Effluents to Aquatic Organisms |
| 0/4-78-012 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | Handbook for Analytical Quality Control in Water |
| 60 | | and Wastewater Laboratories |
| 0/4-79-019 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | Methods for Chemical Analysis of Water and Wastes |
| 60 | | |
| 0/4-79-020 | | |
+------------+-----+---------------------------------------------------+
| EPA | CW | Handbook for Sampling and Sample Preservation of |
| 60 | | Water and Wastewater |
| 0/4-82-029 | | |
+------------+-----+---------------------------------------------------+
| EPA/60 | CW | Addendum to Handbook for Sampling and Sample |
| 0/4-83-039 | | Preservation, EPA 600/4-82-029 |
+------------+-----+---------------------------------------------------+
| EPA/60 | CW | Microbiological Methods for Monitoring the |
| 0/8-78-017 | | Environment, Water and Wastes |
+------------+-----+---------------------------------------------------+
| EPA/60 | PP | Facility Pollution Prevention Guide |
| 0/R-92/088 | | |
+------------+-----+---------------------------------------------------+
| EPA | PP | Storm Water Management for Industrial Activities |
| 83 | | |
| 3-R-92-002 | | |
+------------+-----+---------------------------------------------------+
| EPA, | CW | EPA Groundwater Handbook |
| ISBN:0-8 | | |
| 6587-279-1 | | |
+------------+-----+---------------------------------------------------+
| EPA, | PP | EPA Waste Minimization Opportunity Assessment |
| ISBN:0-8 | | Manual |
| 6587-752-1 | | |
+------------+-----+---------------------------------------------------+
| EPA Region | MR | Engineering Support Branch Standard Operating |
| IV | | Procedures and Quality Assurance Manual, 4/1/86 |
+------------+-----+---------------------------------------------------+
| FAA AC | IS | Specification for 8' and 12' Unlighted and |
| 1 | | Externally Lighted Wind Cone Assembly |
| 50/5345-27 | | |
+------------+-----+---------------------------------------------------+
| FAA AC | IS | Heliport Design, January 4, 1988 |
| 150/5390-2 | | |
+------------+-----+---------------------------------------------------+
| FAA AC | IS | Obstruction Marking and Lighting, October 1985 |
| 70/7460-1G | | |
+------------+-----+---------------------------------------------------+
| NFPA | FP | Fire Protection Handbook |
+------------+-----+---------------------------------------------------+
| NFPA 1 | FP | Fire Prevention Code |
+------------+-----+---------------------------------------------------+
| NFPA 10 | FP | Portable Fire Extinguishers |
+------------+-----+---------------------------------------------------+
| NFPA 11 | FP | Low Expansion Foam |
+------------+-----+---------------------------------------------------+
| NFPA 12 | FP | Carbon Dioxide Extinguishing Systems |
+------------+-----+---------------------------------------------------+
| NFPA 12A | FP | Halon 1301 Fire Extinguishing Systems |
+------------+-----+---------------------------------------------------+
| NFPA 13 | FP | Installation of Sprinkler Systems |
+------------+-----+---------------------------------------------------+
| NFPA 14 | FP | Installation of Standpipe and Hose Systems |
+------------+-----+---------------------------------------------------+
| NFPA 15 | FP | Water Spray Fixed Systems |
+------------+-----+---------------------------------------------------+
| NFPA 16 | FP | Deluge Foam-Water Sprinkler Systems and |
| | | Foam-Water Spray Systems |
+------------+-----+---------------------------------------------------+
| NFPA 20 | FP | Installation of Centrifugal Fire Pumps |
+------------+-----+---------------------------------------------------+
| NFPA 24 | FP | Installation of Private Fire Service Mains and |
| | | Theri Appurtenances |
+------------+-----+---------------------------------------------------+
| NFPA 25 | FP | Water-Based Fire Protection Systems |
+------------+-----+---------------------------------------------------+
| NFPA 30 | FP | Flammable and Combustible Liquids Code |
+------------+-----+---------------------------------------------------+
| NFPA 37 | FP | Stationary Combustion Engines and Gas Turbines |
+------------+-----+---------------------------------------------------+
| NFPA 43D | FP | Storage of Pesticides |
+------------+-----+---------------------------------------------------+
| NFPA 45 | FP | Fire Protection for Laboratories Using Chemicals |
+------------+-----+---------------------------------------------------+
| NFPA 49 | FP | Hazardous Chemical Data |
+------------+-----+---------------------------------------------------+
| NFPA 51B | FP | Cutting and Welding Processes |
+------------+-----+---------------------------------------------------+
| NFPA 54 | FP | National Fuel Gas Code |
+------------+-----+---------------------------------------------------+
| NFPA 55 | FP | Compressed and Liquefied Gases in Portable |
| | | Cylinders |
+------------+-----+---------------------------------------------------+
| NFPA 70 | FP, | National Electric Code |
| | IS | |
+------------+-----+---------------------------------------------------+
| NFPA 70B | FP | Electrical Equipment Maintenance |
+------------+-----+---------------------------------------------------+
| NFPA 70E | FP | Electrical Safety Requirements for Employee |
| | | Workplaces |
+------------+-----+---------------------------------------------------+
| NFPA 72 | FP | National Fire Alarm Code |
+------------+-----+---------------------------------------------------+
| NFPA 75 | FP | Protection of Electronic Computer/Data Processing |
| | | Equipment |
+------------+-----+---------------------------------------------------+
| NFPA 77 | FP | Static Electricity |
+------------+-----+---------------------------------------------------+
| NFPA 80 | FP | Fire Doors and Fire Windows |
+------------+-----+---------------------------------------------------+
| NFPA 80A | FP | Exterior Fire Exposures |
+------------+-----+---------------------------------------------------+
| NFPA 90A | FP | Installation of Air Conditioning and Ventilating |
| | | Systems |
+------------+-----+---------------------------------------------------+
| NFPA 92A | FP | Smoke Control Systems |
+------------+-----+---------------------------------------------------+
| NFPA 96 | FP | Ventilation Control and Fire Protection of |
| | | Commercial Cooking Operations |
+------------+-----+---------------------------------------------------+
| NFPA 101 | FP, | Safety to Life from Fire in Buildings and |
| | IS | Structures |
+------------+-----+---------------------------------------------------+
| NFPA 101A | FP | Alternative Approaches to Life Safety |
+------------+-----+---------------------------------------------------+
| NFPA 110 | FP | Emergency and Standby Power Systems |
+------------+-----+---------------------------------------------------+
| NFPA 122 | FP | Fire Prevention and Control in Underground Metal |
| | | and Nonmetal Mines |
+------------+-----+---------------------------------------------------+
| NFPA 170 | FP | Fire Safety Symbols |
+------------+-----+---------------------------------------------------+
| NFPA 204 | FP | Roof Coverings and Roof Deck Constructions |
+------------+-----+---------------------------------------------------+
| NFPA 220 | FP | Types of Building Construction |
+------------+-----+---------------------------------------------------+
| NFPA 221 | FP | Fire Walls and Fire Barrier Walls |
+------------+-----+---------------------------------------------------+
| NFPA 231 | FP | General Storage |
+------------+-----+---------------------------------------------------+
| NFPA 231C | FP | Rack Storage of Materials |
+------------+-----+---------------------------------------------------+
| NFPA 232 | FP | Protection of Records |
+------------+-----+---------------------------------------------------+
| NFPA 241 | FP | Construction, Alteration, and Demolition |
| | | Operations |
+------------+-----+---------------------------------------------------+
| NFPA 253 | FP | Test for Critical Radiant Flux of Floor Covering |
| | | Systems Using a Radiant Heat Energy Source |
+------------+-----+---------------------------------------------------+
| NFPA 255 | FP | Test of Surface Burning Characteristics of |
| | | Building Materials |
+------------+-----+---------------------------------------------------+
| NFPA 291 | FP | Fire Flow Testing and Marking of Hydrants |
+------------+-----+---------------------------------------------------+
| NFPA 295 | FP | Wildfire Control |
+------------+-----+---------------------------------------------------+
| NFPA 297 | FP | Principles and Practices for Communication |
| | | Systems |
+------------+-----+---------------------------------------------------+
| NFPA 302 | FP | Pleasure and Commercial Motor Craft |
+------------+-----+---------------------------------------------------+
| NFPA 306 | FP | Control of Gas Hazards on Vessels |
+------------+-----+---------------------------------------------------+
| NFPA 307 | FP | Marine Terminals, Piers, and Wharves |
+------------+-----+---------------------------------------------------+
| NFPA 321 | FP | Basic Classification of Flammable and Combustible |
| | | Liquids |
+------------+-----+---------------------------------------------------+
| NFPA 325 | FP | Fire Hazard Properties of Flammable Liquids, |
| | | Gases, and Volatile Solids |
+------------+-----+---------------------------------------------------+
| NFPA 326 | FP | Safe Entry of Underground Storage Tanks |
+------------+-----+---------------------------------------------------+
| NFPA 327 | FP | Cleaning of Safeguarding Small Tanks and |
| | | Containers Without Entry |
+------------+-----+---------------------------------------------------+
| NFPA 328 | FP | Control of Flammable and Combustible Liquids and |
| | | Gases in Manholes, Sewers, and Similar |
| | | Underground Structures |
+------------+-----+---------------------------------------------------+
| NFPA 329 | FP | Handling Underground Releases of Flammable and |
| | | Combustible Liquids |
+------------+-----+---------------------------------------------------+
| NFPA 385 | FP | Tank Vehicles for Flammable and Combustible |
| | | Liquids |
+------------+-----+---------------------------------------------------+
| NFPA 402M | FP | Aircraft Rescue and Fire Fighting Operations |
+------------+-----+---------------------------------------------------+
| NFPA 418 | FP | Heliports |
+------------+-----+---------------------------------------------------+
| NFPA 430 | FP | Liquid and Solid Oxidizers |
+------------+-----+---------------------------------------------------+
| NFPA 471 | FP | Responding to Hazardous Materials Incidents |
+------------+-----+---------------------------------------------------+
| NFPA 472 | FP | Professional Competence of Responders to |
| | | Hazardous Materials Incidents |
+------------+-----+---------------------------------------------------+
| NFPA 491M | FP | Hazardous Chemical Reactions |
+------------+-----+---------------------------------------------------+
| NFPA 497A | FP | Classification of Class I Hazardous Locations for |
| | | Electrical Installations in Chemical Process |
| | | Areas |
+------------+-----+---------------------------------------------------+
| NFPA 505 | FP | Powered Industrial Trucks Including Type |
| | | Designations, Areas of Use, Maintenance and |
| | | Operations |
+------------+-----+---------------------------------------------------+
| NFPA 512 | FP | Truck Fire Protection |
+------------+-----+---------------------------------------------------+
| NFPA 550 | FP | Fire Safety Concepts Tree |
+------------+-----+---------------------------------------------------+
| NFPA 600 | FP | Industrial Fire Brigades |
+------------+-----+---------------------------------------------------+
| NFPA 601 | FP | Guard Service in Fire Prevention |
+------------+-----+---------------------------------------------------+
| NFPA 703 | FP | Fire Retardant Impregnated Wood and Dire |
| | | Retardant Coatings for Building Materials |
+------------+-----+---------------------------------------------------+
| NFPA 704 | FP | Identification of the Fire Hazards of Materials |
+------------+-----+---------------------------------------------------+
| NFPA 780 | FP | Installation of Lightning Protection Systems |
+------------+-----+---------------------------------------------------+
| NFPA 820 | FP | Fire Protection in Wastewater Treatment and |
| | | Collection Facilities |
+------------+-----+---------------------------------------------------+
| NFPA 901 | FP | Standard Classifications for Incident Reporting |
| | | and Fire Protection Data |
+------------+-----+---------------------------------------------------+
| NFPA 902M | FP | Fire Reporting Field Incident Manual |
+------------+-----+---------------------------------------------------+
| NFPA 903 | FP | Fire Reporting Property Survey Guide |
+------------+-----+---------------------------------------------------+
| NFPA 904 | FP | Incident Follow-Up Report Guide |
+------------+-----+---------------------------------------------------+
| NFPA 906 | FP | Fire Incident Field Notes |
+------------+-----+---------------------------------------------------+
| NFPA 921 | FP | Fire and Explosion Investigations, Guide for |
+------------+-----+---------------------------------------------------+
| NFPA 1000 | FP | Fire Service Professional Qualifications |
| | | Accreditation and Certifications System |
+------------+-----+---------------------------------------------------+
| NFPA 1021 | FP | Fire Officer Professional Qualifications |
+------------+-----+---------------------------------------------------+
| NFPA 1031 | FP | Professional Qualification of Fire Inspector |
+------------+-----+---------------------------------------------------+
| NFPA 1033 | FP | Fire Investigator Professional Qualifications |
+------------+-----+---------------------------------------------------+
| NFPA 1401 | FP | Fire Protection Training Reports and Records |
+------------+-----+---------------------------------------------------+
| NFPA 1404 | FP | Fire Department Self-Contained Breathing |
| | | Apparatus Program |
+------------+-----+---------------------------------------------------+
| NFPA 1406 | FP | Outside Live Fire Training Evolutions |
+------------+-----+---------------------------------------------------+
| NFPA 1410 | FP | Training for Initial Fire Attack |
+------------+-----+---------------------------------------------------+
| NFPA 1420 | FP | Pre-Incident Planning for Warehouse Occupancies |
+------------+-----+---------------------------------------------------+
| NFPA 1500 | FP | Fire Department Occupational Safety and Health |
| | | Program |
+------------+-----+---------------------------------------------------+
| NFPA 1561 | FP | Fire Department Incident Management System |
+------------+-----+---------------------------------------------------+
| NFPA 1582 | FP | Medical Requirements for Fire Fighters |
+------------+-----+---------------------------------------------------+
| NFPA 1901 | FP | Pumper Fire Apparatus |
+------------+-----+---------------------------------------------------+
| NFPA 1902 | FP | Initial Attack Fire Apparatus |
+------------+-----+---------------------------------------------------+
| NFPA 1903 | FP | Mobile Water Supply Fire Apparatus |
+------------+-----+---------------------------------------------------+
| NFPA 1911 | FP | Service Tests of Pumps on Fire Department |
| | | Apparatus |
+------------+-----+---------------------------------------------------+
| NFPA 1921 | FP | Fire Department Portable Pumping Units |
+------------+-----+---------------------------------------------------+
| NFPA 1922 | FP | Fire Service Self-Contained Pumping Units |
+------------+-----+---------------------------------------------------+
| NFPA 1932 | FP | Use, Maintenance and Service Testing of Fire |
| | | Department Ground Ladders |
+------------+-----+---------------------------------------------------+
| NFPA 1961 | FP | Fire Hose |
+------------+-----+---------------------------------------------------+
| NFPA 1962 | FP | Care, Use, and Service Testing of Fire Hose |
| | | Including Connections and Nozzles |
+------------+-----+---------------------------------------------------+
| NFPA 1963 | FP | Fire Hose Connections |
+------------+-----+---------------------------------------------------+
| NFPA 1964 | FP | Spray Nozzles (Shutoff and Tip) |
+------------+-----+---------------------------------------------------+
| NFPA 1971 | FP | Protective Clothing for Structural Fire Fighting |
+------------+-----+---------------------------------------------------+
| NFPA 1972 | FP | Helmets for Structural Fire Fighting |
+------------+-----+---------------------------------------------------+
| NFPA 1973 | FP | Gloves for Structural Fire Fighting |
+------------+-----+---------------------------------------------------+
| NFPA 1974 | FP | Protective Footwear for Structural Fire Fighting |
+------------+-----+---------------------------------------------------+
| NFPA 1976 | FP | Protective Clothing for Proximity Fire Fighting |
+------------+-----+---------------------------------------------------+
| NFPA 1981 | FP | Open-Circuit Self-Contained Breathing Apparatus |
| | | for Fire Fighters |
+------------+-----+---------------------------------------------------+
| NFPA 1983 | FP | Fire Service Life Safety Rope and Systems |
| | | Components |
+------------+-----+---------------------------------------------------+
| NFPA 1991 | FP | Vapor-Protective Suits for Hazardous Chemical |
| | | Emergencies |
+------------+-----+---------------------------------------------------+
| NFPA 1992 | FP | Liquid Splash-Protective Suits for Hazardous |
| | | Chemical Emergencies |
+------------+-----+---------------------------------------------------+
| NFPA 1993 | FP | Support Function Protective Garments for |
| | | Hazardous Chemical Operations |
+------------+-----+---------------------------------------------------+
| NFPA 1999 | FP | Protective Clothing for Medical Emergency |
| | | Operations |
+------------+-----+---------------------------------------------------+
| D | CA | Management of Polychlorinated Biphenyls (PCBs) |
| OE/EH-0350 | | |
+------------+-----+---------------------------------------------------+
| D | MR | Performance Objectives and Criteria for |
| OE/EH-0358 | | Conducting DOE Environmental Audits |
+------------+-----+---------------------------------------------------+
| DOE G | MR | Integrated Safety Management System Guide, March |
| 450.4-1B | | 2001 |
+------------+-----+---------------------------------------------------+
| DOE G | MR | Management Assessment And Independent Assessment |
| 414.1-1A | | Guide, May 2001 |
+------------+-----+---------------------------------------------------+
| D | PP | Annual report on Waste Generation and Waste |
| OE/EM-0276 | | Minimization Progress |
+------------+-----+---------------------------------------------------+
| D | FP | Standard for Fire Protection of DOE Electronic |
| OE/EP-0108 | | Computer/Data Processing Systems |
+------------+-----+---------------------------------------------------+
| D | PP | Waste Minimization/Pollution Prevention Crosscut |
| OE/FM-0145 | | Plan 1994 |
+------------+-----+---------------------------------------------------+
| DOE | PP | DOE Waste Minimization reporting Requirements, |
| Guideline | | Nov. 1994 |
+------------+-----+---------------------------------------------------+
| DOE | PP | Guidance for the Preparation of the Waste |
| Handbook | | Minimization and Pollution Prevention Awareness |
| | | Plan, Dec 1993 |
+------------+-----+---------------------------------------------------+
| DOE | PP | Pollution Prevention Handbook |
| Handbook | | |
+------------+-----+---------------------------------------------------+
| DOE | PP | Waste Minimization Reporting System (Wmin) User's |
| Handbook | | Guide |
+------------+-----+---------------------------------------------------+
| DOE HDBK, | IS | Hoisting And Rigging Handbook |
| 1090-9 | | |
+------------+-----+---------------------------------------------------+
| DOE | PP | EPA's Interim Final Guidance to Hazardous Waste |
| Memorandum | | Generators on the Elements of a Waste |
| | | Minimization Program |
+------------+-----+---------------------------------------------------+
| DOE Order | MR | Comprehensive Emergency Management System |
| 151.1A | | |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Performance Indicators and Analysis of Operations |
| 210.1 | ,MR | Information |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Accident Investigations |
| 225.1A | | |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Environment., Safety, and Health Reporting |
| 231.1 | ,MR | |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Occurrence Reporting and Processing of Operations |
| 232.1A | ,MR | Information |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Quality Assurance |
| 414.1A | ,MR | |
+------------+-----+---------------------------------------------------+
| DOE Order | FP | Facility Safety |
| 420.1A | ,IS | |
+------------+-----+---------------------------------------------------+
| DOE Order | MR | Life-Cycle Asset Management |
| 430.1A | | |
+------------+-----+---------------------------------------------------+
| DOE Order | MR | Departmental Energy and Utilities Management |
| 430.2A | | |
+------------+-----+---------------------------------------------------+
| DOE Order | FP | Worker Protection Management for DOE Federal and |
| 440.1A | ,IH | Contractor Employees |
| | ,IS | |
+------------+-----+---------------------------------------------------+
| DOE Order | IS | Aviation Management Safety |
| 440.2A | | |
+------------+-----+---------------------------------------------------+
| DOE Order | FP | Packaging and Transportation Safety |
| 460.1A | ,TS | |
+------------+-----+---------------------------------------------------+
| DOE Order | TS | Departmental Materials Transportation and |
| 460.2 | | Packaging Management |
+------------+-----+---------------------------------------------------+
| DOE Order | IS | Protective Force Program |
| 473.2 | | |
+------------+-----+---------------------------------------------------+
| DOE Order | MR | General Environmental Program |
| 5400.1 | | |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Environmental Protection, Safety, and Health |
| 5480.4 | | Protection Standards |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | Conduct of Operations Requirements for DOE |
| 5480.19 | | Facilities |
+------------+-----+---------------------------------------------------+
| DOE Order | MO | General Design Criteria |
| 6430.1A | ,MR | |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Safety Management Function, Responsibilities, and |
| 411.1 | ,MR | Authorities Policy |
+------------+-----+---------------------------------------------------+
| DOE Policy | RP | DOE Radiological Health and Safety Policy |
| 441.1 | | |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Environment, Safety, and Health Policy for the |
| 450.1 | ,MR | DOE Complex |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Identifying, Implementing, and Complying with |
| 450.2A | ,MR | ES&H Requirements |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Authorizing Use of the Necessary and Sufficient |
| 450.3 | ,MR | Process for Standards Based ES&H |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Safety Management System Policy |
| 450.4 | ,MR | |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Line Environment, Safety, and Health Oversight |
| 450.5 | ,MR | |
+------------+-----+---------------------------------------------------+
| DOE Policy | MO | Secretarial, Policy Statement environmental, |
| 450.6 | ,MR | Safety, and Health |
+------------+-----+---------------------------------------------------+
| DOE SPRPMO | MO | Observation Reports |
| Order | | |
| 220.2 | | |
+------------+-----+---------------------------------------------------+
| DOE SPRPMO | MO | Maintenance Management Program |
| Order | ,MR | |
| 433.1 | | |
+------------+-----+---------------------------------------------------+
| DOE SPRPMO | MR | SPRPMO National Environmental Policy Act (NEPA) |
| Order | | Implementation Plan |
| 451.1A | | |
+------------+-----+---------------------------------------------------+
| DOE S-0118 | PP | Pollution Prevention Program Plan |
+------------+-----+---------------------------------------------------+
| DOE-S | FP | Fire Protection for Relocatable Structures |
| TD-1088-95 | | |
+------------+-----+---------------------------------------------------+
| DOE | PP | Paint Repair of Exterior Metal Surfaces |
| Standard | | |
| Spec. | | |
| 17900 | | |
+------------+-----+---------------------------------------------------+
| SPRPMO O | MR | Employee Occupational Medical and Counseling |
| 3790.1 | | Programs |
+------------+-----+---------------------------------------------------+
| No number | MO | Environmental, Safety, and Health Management Plan |
| | ,MR | (FY 1998 - FY 2002) |
+------------+-----+---------------------------------------------------+
| SEN-15-90 | MR | National Environmental Policy Act |
+------------+-----+---------------------------------------------------+
| SEN-22-90 | HW | DOE Policy on Signatures of RCRA Permit |
| | | Applications |
+------------+-----+---------------------------------------------------+
| SEN-37-92 | PP | Waste Minimization Crosscut Plan Implementation |
+------------+-----+---------------------------------------------------+
| AL 5500.11 | MO | Drill and Exercise Program Plan |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| ASE | MR | Annual Site Environmental Report |
| 5400.48 | | |
+------------+-----+---------------------------------------------------+
| ASI 3400.1 | MO, | Conduct of Training for the SPR M&O Contractor |
| | MR | |
+------------+-----+---------------------------------------------------+
| ASI | FP | Integrated Logistics Support Procedures |
| 4000.10 | | |
+------------+-----+---------------------------------------------------+
| ASI | FP | Work Order System Procedures |
| 4330.16 | ,IS | |
+------------+-----+---------------------------------------------------+
| ASI 4400.4 | PP | Supply Services Manual |
+------------+-----+---------------------------------------------------+
| ASI | MR | Environmental Instructions Manual |
| 5400.15 | | |
+------------+-----+---------------------------------------------------+
| ASI | MO | Conduct of Operations at the SPR |
| 5480.19 | ,MR | |
+------------+-----+---------------------------------------------------+
| ASI | IS | Accident Prevention Manual |
| 5480.22 | | |
+------------+-----+---------------------------------------------------+
| **AS | ** | **ES&H Training Requirements** |
| I5480.26** | IS, | |
| | FP, | |
| * | CW | |
| *DELETED** | ,** | |
| | | |
| | **H | |
| | W** | |
+------------+-----+---------------------------------------------------+
| ASI 5600.1 | FP | Security Operations Manual |
+------------+-----+---------------------------------------------------+
| ASI | IS | Root Cause Analysis Instruction |
| 5700.11 | | |
+------------+-----+---------------------------------------------------+
| ASI | MR | Quality Assurance Manual |
| 5700.15 | | |
+------------+-----+---------------------------------------------------+
| ASI 6410.2 | FP | Construction Management Procedures Manual |
+------------+-----+---------------------------------------------------+
| ASI | MO | Design Review Procedure |
| 6430.15 | ,MR | |
+------------+-----+---------------------------------------------------+
| ASL | MR | Self-Assessment Program Implementation Plan |
| 1000.15 | | |
+------------+-----+---------------------------------------------------+
| ASL 4700.1 | MO | Configuration Management Plan and Procedures |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| ASL | FP | Fire Protection Manual |
| 5480.18 | | |
+------------+-----+---------------------------------------------------+
| ASL | IS | Electrical Safety Program Plan |
| 5480.44 | | |
+------------+-----+---------------------------------------------------+
| ASL | CW | Cavern Inventory & Integrity Control Plan |
| 6400.30 | | |
+------------+-----+---------------------------------------------------+
| ASL 5500.1 | MO | Emergency Management Plan |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| ASL | MO | Emergency Readiness Assurance Plan |
| 5500.10 | ,MR | |
+------------+-----+---------------------------------------------------+
| ASL | MO | Emergency Response Team Organization and Training |
| 5500.25 | ,MR | Plan |
+------------+-----+---------------------------------------------------+
| ASL | MO | Drawdown Management Plan |
| 6400.18 | ,MR | |
+------------+-----+---------------------------------------------------+
| ASL | MO | Drawdown Readiness Program Plan |
| 6400.31 | ,MR | |
+------------+-----+---------------------------------------------------+
| ASP | FP | Integrated Logistics Support Master Plan |
| 4000.11 | | |
+------------+-----+---------------------------------------------------+
| ASP 5000.8 | MO | Master Action Tracking Management and Control |
| | ,MR | System |
+------------+-----+---------------------------------------------------+
| ASP 5400.2 | MR | Environmental |
+------------+-----+---------------------------------------------------+
| ASR 4330.5 | FP | Interim Repair/Mitigation Authorization |
+------------+-----+---------------------------------------------------+
| ASR | MO | Environmental, Safety and Health (ES&H) |
| 5480.49 | ,MR | Orientation Video Program |
+------------+-----+---------------------------------------------------+
| ASR 5700.3 | MO | Independent Quality Assurance Assessments |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| ASR 5700.4 | FP | Deviation and Waiver Requests |
+------------+-----+---------------------------------------------------+
| ASR 7000.1 | MO | Readiness Review Board |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| ASR 7000.2 | MO | SPR Crosstalk Information Exchange Program |
| | ,MR | |
+------------+-----+---------------------------------------------------+
| BCL | CW | Bayou Choctaw Spill Prevention, Control, and |
| 5400.16 | | Countermeasures Plan |
+------------+-----+---------------------------------------------------+
| BCI 5500.3 | EM, | Bayou Choctaw Emergency Response Procedures |
| | FP | |
+------------+-----+---------------------------------------------------+
| BHL | CW | Big Hill Spill Prevention, Control, and |
| 5400.21 | | Countermeasures Plan |
+------------+-----+---------------------------------------------------+
| BHI 5500.4 | EM, | Big Hill Emergency Response Procedures |
| | FP | |
+------------+-----+---------------------------------------------------+
| BMI | FP | Bryan Mound Foam Deluge System Interim Operations |
| 6420.27 | | Manual |
+------------+-----+---------------------------------------------------+
| BML | CW | Bryan Mound Spill Prevention, Control, and |
| 5400.17 | | Countermeasures Plan |
+------------+-----+---------------------------------------------------+
| BMI 5500.5 | EM, | Bryan Mound Emergency Response Procedures |
| | FP | |
+------------+-----+---------------------------------------------------+
| D50 | FP | Bryan Mound: Preventive Maintenance Procedures |
| 6-01162-02 | | Manual |
+------------+-----+---------------------------------------------------+
| D50 | FP | West Hackberry: Preventive Maintenance Procedures |
| 6-01163-03 | | Manual |
+------------+-----+---------------------------------------------------+
| D50 | FP | Bayou Choctaw: Preventive Maintenance Procedures |
| 6-01164-04 | | Manual |
+------------+-----+---------------------------------------------------+
| D50 | FP | St. James: Preventive Maintenance Procedures |
| 6-01167-07 | | Manual |
+------------+-----+---------------------------------------------------+
| D50 | FP | Big Hill: Preventive Maintenance Procedures |
| 6-01168-08 | | Manual |
+------------+-----+---------------------------------------------------+
| D50 | T | Hazardous Materials Packaging & Transportation |
| 6-02569-09 | SM, | Plan |
| | CS | |
+------------+-----+---------------------------------------------------+
| D50 | HW | Pollution Prevention Plan |
| 6-03287-09 | ,PP | |
| | ,CW | |
+------------+-----+---------------------------------------------------+
| MSL | CW, | Laboratory Programs & Procedures |
| 7000.133 | HW | |
+------------+-----+---------------------------------------------------+
| NOL | CW | New Orleans Warehouse Spill Prevention, Control, |
| 5400.44 | | and Countermeasures Plan |
+------------+-----+---------------------------------------------------+
| NOL 5500.6 | EM, | New Orleans Emergency Response Procedures |
| | FP | |
+------------+-----+---------------------------------------------------+
| NOI | MR | Organizational and Management Assessments |
| 1000.72 | | |
+------------+-----+---------------------------------------------------+
| No number | CW | Environmental Exhibit 6.6 |
| | ,PP | |
| | ,CA | |
| | ,HW | |
| | ,CS | |
+------------+-----+---------------------------------------------------+
| No number | CW | SPR Groundwater Protection Management Program |
+------------+-----+---------------------------------------------------+
| No number | PP | SPR Qualified Products List |
| | ,HW | |
+------------+-----+---------------------------------------------------+
| No number | MO, | SPRPMO Environmental, Safety and Health Manual |
| | MR | |
+------------+-----+---------------------------------------------------+
| No number | MO, | SPRPMO Level III Design Criteria |
| | MR | |
+------------+-----+---------------------------------------------------+
| WHL | CW | West Hackberry Spill Prevention, Control, and |
| 5400.20 | | Countermeasures Plan |
+------------+-----+---------------------------------------------------+
| WHI 5500.9 | EM | West Hackberry Emergency Response Procedures |
| | ,FP | |
+------------+-----+---------------------------------------------------+
| 120 IAC | IS | Boiler And Pressure Vessels - Degas Project Only |
+------------+-----+---------------------------------------------------+
| 055-0 | CW | Quality Criteria for Water |
| 01-01049-4 | | |
+------------+-----+---------------------------------------------------+
| ACGIH TLV | IH | Threshold Limit Values For Chemical Substances - |
| | | Current Year & Applicable Substances |
+------------+-----+---------------------------------------------------+
| ACP USCG | CW | Area Contingency Plan for New Orleans |
+------------+-----+---------------------------------------------------+
| ACP USCG | CW | Area Contingency Plan for Lake Charles |
+------------+-----+---------------------------------------------------+
| ACP USCG | CW | Area Contingency Plan for Port Arthur |
+------------+-----+---------------------------------------------------+
| ACP USCG | CW | Area Contingency Plan for Galveston |
+------------+-----+---------------------------------------------------+
| ACP-EPA | CW | Area Contingency Plan for EPA Region 6 |
+------------+-----+---------------------------------------------------+
| AIHMM | PP | Hazardous Materials Management Education Program |
| | | Observations and Recommendations: Environmental |
| | | Mgmt, Hazardous Waste Minimization, and Pollution |
| | | Prevention for the SPR Operations |
+------------+-----+---------------------------------------------------+
| American | CW | Standard Methods for the Examination of Water and |
| Public | | Wastewater |
| Health | | |
| Assoc. | | |
+------------+-----+---------------------------------------------------+
| AP-42 | CA | Compilation of Air Pollutant Emission Factors, |
| | | Mobile Sources |
+------------+-----+---------------------------------------------------+
| API | MR | Amer. Petroleum Institute - Recommended Practices |
| | | and Guides |
+------------+-----+---------------------------------------------------+
| API - | CA | API Standard 653 for Tank Inspection, Repair, |
| Standard | | Alteration, and Reconstruction |
+------------+-----+---------------------------------------------------+
| C | CW | Seminar on Site Characterization for Subsurface |
| ERI-89-224 | | Remediations |
+------------+-----+---------------------------------------------------+
| FM | FP | Factory Mutual - Approval Guide and Loss |
| | | Prevention Data Sheets |
+------------+-----+---------------------------------------------------+
| ICIMF | IS | Oil Cos. International. Marine Forum - |
| | | International Oil Tanker and Terminal Safety |
| | | Guide |
+------------+-----+---------------------------------------------------+
| IEEE | IS | OSHA Referenced Standards |
| Standards | | |
+------------+-----+---------------------------------------------------+
| LP 92-03 | PP | Pollution Prevention Assessment Manual for Texas |
| | | Businesses |
+------------+-----+---------------------------------------------------+
| MIL | FP | Fire Protection for Facilities - Engineering, |
| -HDBK-1008 | | Design and Construction |
+------------+-----+---------------------------------------------------+
| MP | CA | SPR Gas and Geothermal Heat Effects on Crude Oil |
| 94W0000131 | | Vapor Pressure, Dec. 1994 |
+------------+-----+---------------------------------------------------+
| NACE | FP, | National Association of Corrosion Engineers |
| | IS | |
+------------+-----+---------------------------------------------------+
| NEC | FP, | National Electric Safety Code |
| | IS | |
+------------+-----+---------------------------------------------------+
| No number | CW | Construction of Geotechnical Boreholes and |
| | | Groundwater Monitoring Systems Handbook (LDOTD |
| | | and LDEQ) |
+------------+-----+---------------------------------------------------+
| No number | CW | Earth Manual, 2nd Ed. |
+------------+-----+---------------------------------------------------+
| No number | CW | Engineering Geology Field Manual |
+------------+-----+---------------------------------------------------+
| No number | CW, | Environmental Monitoring Plan |
| | CA | |
+------------+-----+---------------------------------------------------+
| No number | CW | Groundwater Manual |
+------------+-----+---------------------------------------------------+
| No number | CW | Groundwater Program |
+------------+-----+---------------------------------------------------+
| No number | CA | Louisiana Air Permit Procedures Manual, Jun 1995 |
+------------+-----+---------------------------------------------------+
| No number | CW | Louisiana's Suggested Chemical Weed Control Guide |
| | | for 1994 (LA Cooperative Extension Services) |
+------------+-----+---------------------------------------------------+
| No number | CA | Nonattainment New Source Review Guidance Manual, |
| | | Oct 1993 |
+------------+-----+---------------------------------------------------+
| No number | CW | The Sterling Brine Handbook (Int'l Salt Co.) |
+------------+-----+---------------------------------------------------+
| No number | CW | Water Measurement Manual |
+------------+-----+---------------------------------------------------+
| OS | CW | RCRA Groundwater Technical Enforcement Guidance |
| WER-9950.1 | | Document (TEGD) |
| (1986) | | |
+------------+-----+---------------------------------------------------+
| RBCA | CW | Proposed Approach for Implementing a Louisiana |
| (OS21) | | Dept. of Env. Quality Risk-Based Corrective |
| | | Action Program |
+------------+-----+---------------------------------------------------+
| RG-133 | PP | Pollution Prevention Assessment Manual |
+------------+-----+---------------------------------------------------+
| UFC/UBC | FP | International Conference of Building Officials - |
| | | Uniform Building Code and Uniform Fire Code |
+------------+-----+---------------------------------------------------+
| UL | FP | Underwriter's Laboratory - Building Materials, |
| | | Fire Resistance, Fire Prot. Equip., & Haz. |
| | | Location Equip. Directories |
+------------+-----+---------------------------------------------------+
| Water | CW | Study and Interpretation of the Chemical |
| Supply | | Characteristics of Natural Water (HEM) |
| Paper 1473 | | |
+------------+-----+---------------------------------------------------+
| Y-87-1 | CW | Corps. of Engineers Wetlands Delineation Manual |
+------------+-----+---------------------------------------------------+
**KEY TO ACRONYMS:**
> **AIHMM** American Institute of Hazardous Materials Mgmt.
>
> **API** American Petroleum Institute
>
> **CA** Protection of Air Quality
**CFR** Code of Federal Regulations
> **CS** Control of Toxic Substances
**CW** Protection of Water Quality
**EO** Executive Order
> **ESH** Environmental, Safety, and Health Directorate
>
> **FM** Factory Mutual
>
> **FP** Fire Protection
>
> **HW** Solid and Hazardous Waste Generation and Control
>
> **IH** Industrial Hygiene
>
> **IS** Industrial Safety
**LAC** Louisiana Administrative Code
**M** Manual (DOE)
> **MO** Management and Oversight
>
> **MR** Management, Oversight, and Reporting
>
> **MS** Medical Services
>
> **NEC** National Electric Code
>
> **NFPA** National Fire Protection Association
**O** Order (DOE)
**P** Policy (DOE)
> **PP** Pollution Prevention and Waste Minimization
>
> **RCRA** Resource Conservation and Recovery Act
>
> **RP** Radiation Protection
**SEN** Secretary of Energy Notice
**TAC** Texas Administrative Code
> **TRCR** Texas Regulations for the Control of Radiation
>
> **TS** Transportation Safety
>
> **UBC** Uniform Building Code
>
> **UFC** Uniform Fire Code
>
> **UL** Underwriter's Laboratory
| en |
markdown | 657036 | # Presentation: 657036
## Automated Commercial Environment Update
- Date here
- City here
- Presenters here
## Agenda
- ACE Program Status
- Cargo Systems Messaging System (CSMS)
- Periodic Monthly Statement (PMS)
- Entry Summary and Accounts Revenue (ESAR A1)
- Development Schedule
- International Trade Data System (ITDS)
- ESAR Entry type 01 and 11 (A2.2)
- Cargo Control and Release (CCR) Ocean & Rail Manifest (M1 / A2.1)
- CCR Air Manifest, Multi-modal Manifest, Cargo Release
- ACE Reports Dictionary, training and reference guides
- New Electronic ACE Application Process
- Live Demonstration (PPT backup) Creating Reports
## ACE Program Status
- Automated Commercial Environment (ACE) operational at all 99 land border ports of entry
- Processing approximately 190,000 trucks nationally per week
- More than 15,000 ACE Secure Data Portal accounts
- Collected approximately $32 billion via the periodic monthly statement process since 2004
- Development efforts ongoing for Vessel and Rail Manifest and Initial Entry Summary Types capabilities
## Program Successes
- New ACE Secure Data Portal Features
- Introduced Ad Hoc Reporting I and Phase II ad-hoc capabilities
- Implemented authorized data extract
- Stakeholder Support
- Supports and collaborates with trade community on:
- ACE edit modification
- Requirements definition and testing efforts
- Commitment to ACE success by CBP and DHS leadership
- Congressional support
- New PGA Ambassador program
- New Technology Support Center
- Consolidates ACE help desk features
- Addresses help desk issues with trade community via conference calls
## Program Successes (continued)
- Program Successes (continued)
- ACE Secure Data Portal
- Enables users to proactively check for unauthorized filers and monitor compliance data not available through the Automated Commercial System (ACS)
- Allows carriers to file electronic manifest via portal at no charge
- Provides access to over 100 customizable reports
- Periodic monthly statements
- Allows duty payments on the 15th working day of the following month, providing significant cash flow benefits
- ITDS access to ACE
- Benefits the missions of:
- Food Safety and Inspection Service
- Consumer Product Safety Commission
- Environmental Protection Agency
- Electronic filing of truck manifest data
- Processed approximately 36% faster at measured locations as compared to ACS
## Cargo Systems Messaging Service
- Provides information on all commercial systems, including truck e-Manifest, air manifest, rail manifest, ocean manifest, and Automated Broker Interface (ABI)
- CSMS is the broadcast message system for users of CBP automated commercial trade systems
- Messages from CSMS are sent instantly, providing near real-time access to the latest news and information
- Two ways to get information with CSMS
- Messages e-mailed directly to subscribers
- Messages also stored on a searchable database, accessible via CBP.gov
## Cargo Systems Messaging Service (continued)
- To receive messages on any of the following topics, subscribe to CSMS via _[www.CBP.gov/modernization](http://www.cbp.gov/modernization)__ _
- ABI
- ACE Portal Accounts
- Periodic Monthly Statement
- Truck Manifest
- Cuentas en el Portal de ACE (ACE Portal Accounts – Spanish)
- Transportistas de Camion (Truck Manifest – Spanish)
- Air Manifest
- Ocean Manifest
- Rail Manifest
- ACE Outreach Events
- ACE Reports
## Periodic Monthly Statement Overview
- Periodic Monthly Statement is a feature of the Automated Commercial Environment (ACE) that simplifies the processing of duties and fees and promotes account based processing
- Streamlines accounting and reporting processes by providing the capability to make periodic payments on a monthly basis
- Moves from a transaction-by-transaction payment process or a daily payment process to an interest-free periodic monthly statement process
- Rolls-up the collection processing of the duty and fees for eligible individual entry summaries for goods that are either entered or released during the previous month and allows payment on the 15th working day of the following month
## Periodic Monthly Statement Benefits
- Benefits of Periodic Monthly Statement include:
- Allows all eligible shipments released during the month to be paid on the 15th working day of the following month
- Provides additional flexibility in the management of working capital required for duty payments
- Provides potentially significant cash flow advantages
- Allows the filer to select either a national or a port statement
- Allows the broker to pay on behalf of the importer on either an importer or broker statement from the importer or broker Automated Clearinghouse (ACH) account
- Allows accounts to view the statement as it is being built
## The following entry summary payment options are available to all periodic monthly statement participants:
Single Pay
Automated Broker Interface (ABI) Daily Statement
Periodic Monthly Statement
All ABI entries covered by a continuous bond may be flagged for inclusion on a periodic monthly statement except:
Reconciliation (Type 09)
NAFTA Duty Deferral (Type 08)
Entries with tax class codes
- Single Pay
- Automated Broker Interface (ABI) Daily Statement
- Periodic Monthly Statement
- All ABI entries covered by a continuous bond may be flagged for inclusion on a periodic monthly statement except:
- Reconciliation (Type 09)
- NAFTA Duty Deferral (Type 08)
- Entries with tax class codes
- Overall Parameters
## The filer transmits the entry summary data and schedules it for Periodic Daily Statement
The periodic statement month (new field) indicates the month for payment. This controls the periodic monthly statement on which the entry summary will be included
Entry summaries can be removed from the statement at various times throughout the process but depending on the timing of the removal could be subject to liquidated damages
- The periodic statement month (new field) indicates the month for payment. This controls the periodic monthly statement on which the entry summary will be included
- Entry summaries can be removed from the statement at various times throughout the process but depending on the timing of the removal could be subject to liquidated damages
- Periodic Monthly Statement Process
## Scheduling Statement Due Date
Entries should be scheduled for an ABI Periodic Daily Statement within ten working days of the date of entry
Importer can choose from the first to the 11th working day of the month when the preliminary Periodic Monthly Statement is generated by U.S. Customs and Border Protection (CBP) (Default is the 11th working day of the month which CBP recommends all parties use)
- Entries should be scheduled for an ABI Periodic Daily Statement within ten working days of the date of entry
- Importer can choose from the first to the 11th working day of the month when the preliminary Periodic Monthly Statement is generated by U.S. Customs and Border Protection (CBP) (Default is the 11th working day of the month which CBP recommends all parties use)
- Periodic Monthly Statement Process
## Periodic Monthly Statement Process
- November
- December
| Sunday | Monday | Tuesday | Wednesday | Thursday | Friday | Saturday |
| --- | --- | --- | --- | --- | --- | --- |
| | 1 | 2 | 3 | 4 | 5 | 6 |
| 7 | 8 | 9 | 10 | 11 | 12 | 13 |
| 14 | 15
Default date for Printing Preliminary PMS | 16 | 17 | 18 | 19
PMS payment due date | 20 |
| 21 | 22 | 23 | 24 | 25 | 26 | 27 |
| 28 | 29 | 30 | 31 | | | |
| Sunday | Monday | Tuesday | Wednesday | Thursday | Friday | Saturday |
| --- | --- | --- | --- | --- | --- | --- |
| | | | | | | 1 |
| 2 | 3
Release date | 4 | 5 | 6 | 7 | 8 |
| 9 | 10 | 11 Federal Holiday | 12 | 13 | 14 | 15 |
| 16 | 17 | 18 Last Possible PDS print date | 19 | 20 | 21 | 22 |
| 23 | 24 | 25 | 26 | 27 | 28 | 29 |
| 30 | | | | | | |
- November
- Company Confidential
## Scheduling Statement Due Date
The Periodic Daily Statement Debit Authorization and/or Entry Summary Presentation (PN Application Identifier) must be processed on schedule for each Periodic Daily Statement
For ACH Debit participants, the “PN” acts as Debit Authorization AND Entry Summary Presentation
For ACH Debit participants, on the 15th working day of each month, CBP will transmit the payment authorizations that were done for each Periodic Daily Statement to the bank
Make certain the money is in the bank on the 15th working day. If there is no money to cover the PNs, nothing will be debited. Thus no payments are processed and all summaries are now subject to liquidated damages
- The Periodic Daily Statement Debit Authorization and/or Entry Summary Presentation (PN Application Identifier) must be processed on schedule for each Periodic Daily Statement
- For ACH Debit participants, the “PN” acts as Debit Authorization AND Entry Summary Presentation
- For ACH Debit participants, on the 15th working day of each month, CBP will transmit the payment authorizations that were done for each Periodic Daily Statement to the bank
- Make certain the money is in the bank on the 15th working day. If there is no money to cover the PNs, nothing will be debited. Thus no payments are processed and all summaries are now subject to liquidated damages
- ACH Debit
## Scheduling Statement Due Date
A PN Application Identifier message must be processed on schedule for each Periodic Daily Statement
For ACH Credit participants, the “PN” acts as Entry Summary Presentation
ACH Credit participants are responsible for transmitting payment to CBP using the Periodic Monthly Statement number by the 15th working day of each month
- A PN Application Identifier message must be processed on schedule for each Periodic Daily Statement
- For ACH Credit participants, the “PN” acts as Entry Summary Presentation
- ACH Credit participants are responsible for transmitting payment to CBP using the Periodic Monthly Statement number by the 15th working day of each month
- ACH Credit
## Scheduling Statement Due Date
If an incorrect amount is pushed to CBP, it will be treated as follows:
Excess payments are placed on the account; entry summaries on the periodic monthly statement are marked as paid
Under payments are placed on the account; no summaries are marked as paid. Summaries will remain unpaid until CBP personnel analyze the statement
- If an incorrect amount is pushed to CBP, it will be treated as follows:
- Excess payments are placed on the account; entry summaries on the periodic monthly statement are marked as paid
- Under payments are placed on the account; no summaries are marked as paid. Summaries will remain unpaid until CBP personnel analyze the statement
- Automated Clearinghouse Credit
## Importer accounts will always have ‘Port’ statements
Just like today with Daily Statements, with Periodic Daily Statements and Periodic Monthly Statements, if an importer uses different brokers to process their entry summaries in a given port, these entry summaries will appear on different Periodic Daily Statements and Periodic Monthly Statements if they are filed with different filer codes. Only if entries are filed with one filer code, can all the entry summaries for that port appear on one Periodic Daily Statement and one Periodic Monthly Statement
- Just like today with Daily Statements, with Periodic Daily Statements and Periodic Monthly Statements, if an importer uses different brokers to process their entry summaries in a given port, these entry summaries will appear on different Periodic Daily Statements and Periodic Monthly Statements if they are filed with different filer codes. Only if entries are filed with one filer code, can all the entry summaries for that port appear on one Periodic Daily Statement and one Periodic Monthly Statement
- General Information
## Options for Participation in Periodic Monthly Statement
- Importers have two options to participate in periodic monthly statement:
- Establish an ACE account
- As an ACE account the importer will have access to the ACE Portal and reports
- Establish a non-Portal account through a broker who is an ACE Account
- As a non-Portal account, the importer will not have access to the ACE Portal and reports
## Instructions for Participation - Current ACE Portal Account
## Instructions for Participation Non Portal Account
## Common Issues
- Sending incorrect month on quota or RLF entries
- Revenue-free statements do not show on the monthly statement
## Liquidated Damages for Late or Non-Payment of Periodic Monthly Statement
- Guidelines have been issued setting forth assessment of claims for liquidated damages (and the mitigation of those claims) for failure to pay or late pay of periodic monthly statement
- See Federal Register Notice (73 FR 61891, published 10/17/08)
- CBP discretion to take any of the following actions:
- Suspend the importer of record from participation in the Periodic Monthly Payment Statement test;
- Require the importer of record to pay estimated duties and fees on an entry-by-entry basis;
- Require the importer of record to file entry summary documentation with estimated duties and fees attached before merchandise is released from any CBP port.
## Key A1 Trade Community Capabilities
- Key A1 Trade Community Capabilities
- Merge Accounts
- Streamlines the process for merging accounts within the ACE Secure Data Portal
- Cross-Account Access
- Allows ACE Portal users to access multiple accounts using one user-id and password
- Broker Management
- Makes broker data (exam, license, and permit information) available at a National level
- New Account Types
- Expands ACE access to virtually every entity doing business with CBP
- Michael Maricich
## ESAR A1- New Account Types
- Account Types
- Broker
- Carrier (all modes)
- Cartman
- Driver/Crew
- Facility Operator
- Filer
- Foreign Trade Zone (FTZ)
- Importer
- Lighterman
- Service Provider
- Surety
## Upcoming Releases
- _Current Schedule Outlook_
- Vessel and Rail Manifest (M1)..................April – June 2009
- Initial Entry Summary Types (A2.2)............May/July 2009 – Aug/Oct 2009
- Air Manifest (M2.1).................................Feb – April 2010
- _Future Releases_
- Remaining Entry Summary Types (A2.3)
- Anti Dumping / Countervailing Duty, Warehouse Withdrawal, Temporary Import Bond, Foreign Trade Zone, Quota entry types, Harmonized Tariff Schedule and Additional Functionality
- Enhanced Entry Summary Functionality (A2.4)
- Finance Functionality
- Cargo Release (M2.3)
- Importer Activity Summary Statement (A3)
- Full Multi-Modal Manifest (M2.2)
- Exports and Mail Entry Writing System (M3)
- Bonded Facilities Control (M4)
## International Trade Data System
- 46 International Trade Data System Participating Government Agencies (PGAs), including:
- Transportation Security Administration
- U.S. Coast Guard
- More than 400 ACE portal end users from 27 PGAs
- Per Office of Management and Budget directive M-07-23:
- 10 of the 12 departments identified have chosen a senior executive to serve on the interagency ITDS team
- 36 of the 45 PGAs have provided an implementation plan to fully utilize ITDS by 2009
## Federal Register Notice A2.2
- Federal Register / Vol. 73, No. 166 / Tuesday, August 26, 2008
- Announces new ACE Entry Summary, Accounts and Revenue (ESAR) capabilities
- First part of a two part Notice
- Interested ABI participants wishing to submit type 01 and 11 entries for this test are asked to provide CBP with the number of expected ACE entry summaries that will be submitted to the ports listed in the Notice within 60 days of Notice publication
- CBP will publish a second Notice setting forth the deployment schedule with specified ports
- CBP Forms 28, 29, and 4647 issued for ACE entry summaries will be posted to a participating importer’s account
## Federal Register Notice A2.2 cont’d
- The following declarations will be supported via the Portal:
- Affidavits of manufacturers
- North American Free Trade Agreement (NAFTA) Certificates of Origin
- Non-Reimbursement Blanket Statements (Anti-Dumping / Countervailing Duty (AD/CVD)
- Importer certifying statements
- Enhanced ACE Reports
- Approved trade participants may begin to file entry summaries electronically in ACE (new CATAIR chapter) for entry types 01 and 11
**Notes:**
There will be 6 new reports including report on Census Warnings, ACE Rejected entries and Status reports on CBPF-28,29 & 4647.
## Federal Register Notice cont’d
- Filers may initiate cargo release from a certified entry summary filed in ACE
- Census warnings may be electronically overridden for ACE entry summaries (new CATAIR chapter) prior to or after receiving a Census warning message through ABI
- ACE entry summaries may be flagged for Automated Invoice Interface and reconciliation
- The ultimate consignee number must be reported for each entry summary _line_
## Federal Register Notice cont’d
- New ACE Entry Summary Status Notification message will contain the status information regarding an action CBP has manually executed for an ACE entry summary
- Importers/brokers wishing to benefit from portal functionality must have an ACE Secure Data Portal Account
- ABI volunteers wishing to participate in this test must:
- File entries on a Statement, i.e., no non-statement, single pay entry summaries will be allowed
- Use a software package that has completed ABI certification testing for ACE
## A2.2 Detail
- Trade testing for a limited number of “early adopters” is currently scheduled to start in February 2009
- Participation will be voluntary until all entry types can be submitted in ACE and sufficient Trade testing is completed
- Entry summary status, payment, liquidation and other applicable information for type 01 and type 11 entry summaries for ACE filers, will be interfaced between ACS and ACE
- ACE and ACS will not have the same set of edits and validations
**Notes:**
Self explanatory
## Edit modification
- In early 2008 CBP concluded that a significant number of edits would not be programmed in ACE
- Trade voiced concern – white papers, statistical evidence and metrics
- Resulted in CBP agreeing to add twenty four “High Priority” groups of edits
- The edits will not be delivered in time for the initial deployment of A2.2
- The edits will be in before ACE Summary filing is mandatory
- More information regarding the edits can be found in CSMS messages number 08-000091 which links to the May issue of the ACE Trade Account Owner newsletter.
## A2.2 Operational Impacts
- Allowing the trade to send entry type 01 and 11 entries to either ACE or ACS means that CBP and Trade will be operating in 2 systems
- Online maintenance of an entry summary will occur in the system of origin (either ACE or ACS); for example:
- The type 01 and 11 entry summaries filed in ACE will be maintained in ACE
- All other entries that are filed by the same filer, including 01 and 11 entry summaries filed in ACS, will be maintained in ACS
- An ACE filer will not have to file all of his type 01 and type 11 summaries in ACE. So long as the filer is ACS certified, he can choose to transmit ANY of his entries via ACS
- Data for reports will be extracted from both ACE and ACS systems
- With A2.2 entry summaries will be processed in ACE through ABI using application identifier AE
- Entry summaries processed in ACE are required to be scheduled for a statement (Daily Statement or Periodic Daily Statement)
- ACS and ACE entry summaries will be commingled on the same daily statements
- Statement payments for entry summaries filed in ACS or ACE will be processed in ACS
- Entry summaries filed in ACS or ACE will be able to be removed from a statement using the statement delete (HP) application identifier in ACS
- If an ACE entry summary is removed from a statement the single entry payment will be processed in ACS
- Entry Summary Processing in A2.2
**Notes:**
Self explanatory
## New CATAIR Records for ACE Entry Summary
- ACE Entry Summary ABI inbound “AE” outbound “AX”
- ACE Entry Summary ABI Query inbound “JI” outbound “JR”
- ACE Entry Summary Error Statistics Query ABI inbound “RC” outbound “RD”
- ACE Entry Summary Status Message ABI outbound “UC”
- ACE Census Warning ABI inbound “CW” outbound “CO”
- ACE Census Warning ABI Query inbound “CJ” outbound “CL”
## Census Warning Override Process
- This is a new process by which the trade community can electronically correct Census warnings through the submission of an override code for entry summaries prior to or after receiving a Census warning message through ABI
- If you know the Census warning will happen you will be able to do a preemptive Census override before filing the entry
- If you get a Census warning due to an error in reporting you will be able to fix the entry then report the Census override
- If you file the entry and receive a Censes warning but my data is correct you will be able to file a Census override
- The detailed list of override codes will be provided as a part of Appendix H of the CATAIR
## Census Warning Overrides
- ACE Census Warning Overrides can be submitted within the ACE Entry Summary ABI inbound “AE”
## ESAR A2.2 Portal Navigation Changes
- Goals
- Solve existing screen real-estate issues and provide room for growth in the Portal
- Create an easier-to-navigate, more intuitive, more modern user interface
- Consolidate like functionality, pages and portlets
- Drive user experience consistency across ACE Portal initiatives
## Home Page
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## References
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Tools / User Access
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Account View (Importer)
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Trade Declarations
- Type of Declarations
- Affidavit of Manufacturer
- Importer Certifying Statement
- North American Free Trade Agreement (NAFTA) Certificate of Origin
- Non-reimbursement Blanket Statement (Anti-Dumping / Countervailing Duty (AD/CVD))
## Home Page
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## CBP Forms 28 (Request for Information), 29 (Notice of Action) and 4647 (Notice to Mark and/or Notice to Redeliver) will be created by CBP and stored in a National Database
CBP can mail and post to Trade’s ACE Portal
Trade Portal Users can select their preferred method of communication via the Portal (mail, Portal or both)
CBP Forms 28, 29, & 4647 will be posted to the Trade’s Task List
Trade Portal Users can interactively respond to the form and attach/upload documents in response to CBP via the Portal
- CBP can mail and post to Trade’s ACE Portal
- Trade Portal Users can select their preferred method of communication via the Portal (mail, Portal or both)
- CBP Forms 28, 29, & 4647 will be posted to the Trade’s Task List
- Trade Portal Users can interactively respond to the form and attach/upload documents in response to CBP via the Portal
- CBP Forms 28, 29 and 4647
## Trade View - Method of Communication
- Access maintained via the Manage Access Tab
- Selection is at the Top Account Level and Account Level
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Trade View – Form 28
- Conceptual Design To be used for discussion only. Not necessarily representative of UI Design.
## Trade View – Forms Response
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Trade View – Attach Files (Forms)
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Trade View – Forms Search
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Trade Testing
- Trade testing for a limited number of “early adopters” is currently scheduled to start in February 2009
- A new “ACE ABI Trade Testing Package” is being developed for ACE A2.2 and later releases
- For members of the trade community, this document will:
- Include information about ACE ABI testing processes and procedures, in addition to the ACE entry summary and related transactions test scenarios (aka the test questions)
- Be available upon request from your assigned client representative
- Be available later this fall – but prior to the start of the trade testing date
## Trade Documentation
- Published on CBP.GOV at _[www.cbp.gov/xp/cgov/trade/automated/modernization/abi_catair/](http://www.cbp.gov/xp/cgov/trade/automated/modernization/abi_catair/)_
- Or from the CBP.GOV home page, click on Trade, ACE and then ACE ABI CATAIR
- Screen shot included as a reference
- ACE ABI CATAIR documentation is organized into 4 sections:
- Getting Started Filing ABI Data in ACE
- CATAIR Chapters
- CATAIR Appendices
- Change Record
- The “Getting Started” section includes:
- ACE ABI CATAIR Table of Contents,
- Introductory ACE details and how to get started filing in ACE
- ACS to ACE transition topics
## Trade Documentation – cont’d
- The “CATAIR Chapters” section includes not just the chapters for ACE ABI transactions but extensive reference and transition information about the new ACE ABI entry summary
- The appendices and change record – self explanatory
- ACE ABI Trade Testing Package – as discussed in a previous email – but only available from the assigned client representative at the appropriate time – not published on CBP.GOV
## ABI/CATAIR Technical Seminars
- 2 sessions were conducted:
- Long Beach, CA June 17 and 18, 2008
- Providence, RI June 24 and 25, 2008
- Trade member attendance included software vendors and self-programming importers and brokers
- 36 participated in Long Beach
- 40 participated in Providence
- The content of the seminars included:
- Overview of ACE Release A2.2 functionality
- ACS to ACE transition topics
- An extensive presentation and discussion of the ACE entry summary including the new CATAIR chapter and associated reference information
- CATAIR chapters for other transactions
- ACE Deployment and testing schedule
## ABI/CATAIR Technical Seminars cont’d
- Based on questions, comments and constructive recommendations from trade community participants, improvements in transactions and documentation will include:
- The Entry Summary Query will be enhanced to include additional input and output options
- The Census Warning Query will be enhanced to include additional input and output options
- Additional clarifying information will be incorporated in various CATAIR chapters and reference documents
- Seminar feedback was favorable including feedback such as:
- Improved quality of the ACE CATAIR
- Invaluable reference information
- Transition topics and other documentation will simplify our move from ACS to ACE
- Constructive exchange of detail information
## ESAR 2.3 – 2.4 – 3.0 Update
- Entry Summary, Accounts & Revenue (ESAR)
## A2.3 Scope
_**Post Release**_
- AD/CVD Case
- AD/CVD Entry Processing
- (Type 03, Type 07)
- FTZ Entry Processing (Type 06)
- Government Entry Processing
- (Type 51, 52, 53)
- HTS (w/ additional Census data)
- PEB Entry Processing (type 25)
- Vessel Repair Processing (Type 05)
- Trade Fair Entry Processing (Type 24)
- Misc. Post Release Interfaces
- NAFTA Duty Referral (Type 08)
- Post Summary Correction-ABI
- PR Reporting
- _**Post Release continued**_
- Quota Entry Processing (Type 02)
- Quota Master Data
- Reconciliation Entry Processing
- (Type 09)
- TIB Entry Processing (Type 23)
- Warehouse Entry Processing
- (Types 21, 22,31,32,34,38)
- Automated Invoice (Part I)
_**Accounts Management**_
- AM Records Enhancements for A2.3 Scope
- EMM Enhancements for A2.3
- EDI Profile for A2.3
_**Finance**_
- Interfaces to ACS
**A2.3**
## A2.3.1 Details
- HTS Reference Data
- ABI Performance Report
- AD/CVD Case Management
- AD/CVD Messages
## HTS Reference Data
- Available via ACE Portal and ABI
- ACE Portal HTS search, display and print capabilities
- Expansion of data contained within the HTS record.
- Fields that Trade can view on the HTS record via ACE Portal
- Visibility to include Duty Computational Codes via the ACE Portal
- New ABI HTS Extract/Query
- Trade HTS reports
## ABI Performance Report
- Available via ACE WEBI (Ad-hoc Reports) and ABI
- ACE Portal Display of ABI Statistics via the WEBI tool
- Query of information by selection fields such as Filer, Processing Port, and Entry Type
- ABI Statistics that will be sent to the Filer via ABI
- Count of ABI Entry Summary Transactions Accepted by Entry Type
- Count of ABI Entry Summary Transactions Rejected by Entry Type
- Current Month, Prior Month, and Year to Date Statistics
## AD/CVD Case Management
- Available via ACE Portal and ABI
- ACE Portal search, display and print capabilities
- Expansion of data contained within the case
- Parties affected by the AD/CVD Case
- Inclusion of specific duty rates
- Reference to associated AD/CVD messages
- Anti-circumvention
- Critical circumstances
- Changed circumstances
- Special Deposits
- Injunctions
- New ABI AD/CVD Case Query
## AD/CVD Messages
- Available via CBP.gov website only
- Expansion of the data within the messages
- Message types and categories will more accurately reflect the action taken
- Versioning of amended or updated messages
- Inclusion of Short Description
## A2.4 and A3 Scope
**A2.4**
_**Post Release**_
- Prior Disclosure
- PSC via the Portal
- EDI Imaging
- Lab Requests
- AD/CVD Recon Entry
- Aggregate Recon Entry
- Liquidation
- Additional PR Reporting
- CF 28, 29, 4647 (Full)
- Drawback
- Protest
- Automated Invoice (Part II)
- Seacats
- TECS Interface
- Interfaces to BEMS
**A3**
_**Post Release**_
- IASS
- Edifact
_**Accounts Management**_
- EDI Profile for A3
- EMM Enhancements for A3
_**Accounts Management**_
- Broker Triennial Notification
- Surety Bond Authorization
- Full MID Processing
- Broker Fees
- Importer Status Processing
- Importer Agent Processing
- LPC
- AM Records Enhancements
- AM Reporting
- EMM Enhancements for A2.4
- eBond
- EDI Profile for A2.4
_**Finance**_
- Interfaces to BEMS
## Cargo Control and Release (CCR)
Future Multi-Modal Manifest Releases
- Future Multi-Modal Manifest Releases
## Cargo Control and Release Overview
- Within ACE, the objective of the Cargo Control and Release (CCR) delivery is to:
- Standardize cargo control processing, reporting tools and query capabilities across all transportation modes and to provide importers, exporters, customs brokers and transportation providers with one system for moving goods into or through the U. S. using ships, planes, trains, trucks and, ultimately, pipelines
- Consolidate manifest, entry, reference file data and screening and targeting results via the Web-based ACE Secure Data Portal to help facilitate identification of shipments that may pose a potential risk
- Providing Participating Government Agencies (PGAs) a single, integrated system and data repository to more efficiently control and evaluate shipments for security, commercial compliance and narcotics enforcement purposes
## CCR Functionality Overview
- M1 & A2.1
- Provides a common “Multi-Modal” database and shared cargo control software for sea and rail modes of transportation
- M2.1
- Inclusion of air cargo processing into ACE Multi-Modal Manifest environment
- M2.3
- Modernizes Cargo Release
- M2.2 (order intentional)
- Inclusion of Truck e-Manifest into the ACE Multi-Modal manifest environment
- M3
- Brings export cargo processing into Multi-Modal Manifest environment allowing for export manifest reporting for truck, sea, rail, and air
## Sea and Rail Manifest (M1)
- Will be deployed for testing early 2009
- Features
- Identification of un-manifested container through vessel stowage plan
- New functionality for sea and rail trade partners via the trade Portal.
- Validation of trade partner authorization to use custodial bonds to be maintained by the trade
- An e-Mail list serve capability for CBP to communicate with ACE trade partners
- Extends the ‘broker download’ functionality into the sea cargo environment
## Sea and Rail Manifest (M1) (cont.)
- CBP will be able to place and remove holds at the container level
- Bring in PGA’s and provide them with hold/hold removal functionality
- Retires ACS vessel and rail manifest processing
- Benefits
- Enhanced trade functionality, improved cargo control processes for CBP, enhanced data capture
- M1 Development Deployment strategy
- The Automated Manifest System (AMS) will be run in parallel
- Builds on lessons learned from truck e-Manifest deployment
- Uses AMS functionality as its baseline
## Ocean and rail carriers will be able to create a carrier in-bond authorization through their ACE Portal account.
If no In-Bond Authorization partners are activated, anyone may obligate the carrier’s bond
If the carrier chooses to restrict the use of their bond to themselves, they must add themselves as an In-Bond Authorization partner
If the carrier elects to restrict the use of their bond to specified carriers, they must add those carriers as In-Bond Authorization partners
- If no In-Bond Authorization partners are activated, anyone may obligate the carrier’s bond
- If the carrier chooses to restrict the use of their bond to themselves, they must add themselves as an In-Bond Authorization partner
- If the carrier elects to restrict the use of their bond to specified carriers, they must add those carriers as In-Bond Authorization partners
- Custodial Bond User Verification for In-Bond Moves – A2.1 / M1
- Create Carrier In-Bond Authorization
- The In-Bond Authorization functionality allows the carrier to identify who (another carrier) is authorized to use its bond to move cargo.
- From the Bonds Tab, select Type 2 Bond
- Click In-Bond Authorization tab within the View Bond Master Data Portlet
- Click on Add Authorized Partner to create new authorization
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
- Maintain Carrier In-Bond Authorization Data
- Port restrictions are recorded as yes or no
- No restrictions allow the partner to use the carriers bond between all ports at all times
- Click hyperlink to view partner authorization details.
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
- Maintain Carrier In-Bond Authorization Data
- If the partner has no restrictions the screen will display “all” for Origin Port(s) and Destination Port(s) and no Effective End Date
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
- Maintain Carrier In-Bond Authorization Data
- To establish date and trade lane restrictions you must complete Origin Port(s), Destination Port(s), Effective Begin Date & Effective End Date fields
- Click Add to List, then SAVE to return to Display Authorized Ports screen
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Ocean conveyances will now be maintained in the ACE Portal.
Ocean conveyances must exist in ACE prior to being used by the Trade on a manifest
Carriers involved in initiating this process must have Mode of Transportation of Sea/Ocean
Non-Vessel Operating Common Carriers will NOT be able to add conveyance data to the Portal
- Ocean conveyances must exist in ACE prior to being used by the Trade on a manifest
- Carriers involved in initiating this process must have Mode of Transportation of Sea/Ocean
- Non-Vessel Operating Common Carriers will NOT be able to add conveyance data to the Portal
- Trade Portal Functionality A2.1 / M1
## From Account Tab click on Conveyance sub-tab Click on Add Conveyance
- From Account Tab click on Conveyance sub-tab Click on Add Conveyance
- Create Ocean Conveyance
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Enter data. SAVE. User will be returned to the Conveyance sub-tab.
- Create Ocean Conveyance
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## Permits the Trade community to download/upload existing ocean conveyance details.
Initiate the download by clicking on the Download Data or Upload File hyperlinks.
- Permits the Trade community to download/upload existing ocean conveyance details**.**
- Initiate the download by clicking on the Download Data or Upload File hyperlinks.
- Ocean Conveyance Trade Download
- Conceptual Design – To be used for discussion only - Not necessarily representative of UI Design
## ACE Ocean and Rail (M1) Trade Testing
- Trade testing of ACE Multi-Modal Manifest release M1 will begin early 2009 Testing will be done using the current EDI data formats
- Ocean Manifest will use
- CAMIR (Amendment 13) or
- ANSI X-12 (version 4010)
- Rail manifest will only use ANSI X12 version 4040 ++ format.
- CBP will be moving to ANSI X-12 Version 5040 at a future date after the initial implementation of M1 in the ACE Production
## Future CCR Releases Air Manifest (M2.1)
- Features:
- Inclusion of air cargo processing into ACE Multi-Modal Manifest environment
- Improves cargo control for CBP, brings PGAs into air environment, better information for CBP and PGAs
- Improved In-bond functionality and intermodal In-Bond cargo movements
- Holds at master, house, sub-house and simple bill of lading levels in air cargo
- Electronic transfer of bond liability between trade partners.
## Air Manifest (M2.1) continued
- New report capabilities for trade partners and CBP field officers via the ACE Portal
- Broker download capability extended to air cargo environment
- Expand 2nd Notify capability into air cargo processing
- Retirement of legacy Air AMS manifest system
- Benefits:
- Addresses requests from trade for new functionality
- Facilitates intermodal movement of cargo between trade
- Improves cargo control for CBP, brings PGAs into air environment
## Cargo Release (M2.3)
- Features:
- Bring new PGAs into ACE Cargo Release application
- Support commercial identifiers in the Multi-Modal Manifest Bill of Lading and In-Bond identifier fields
- Provide custom reporting capabilities to CBP and PGA users
- Provide CBP and PGA user with the capability to attach electronic documents to entries
- Additional electronic status notifications related to PGA requirements
- New functionality as requested by CBP field officers and trade partners
- Ability to send electronic files (PDF, JPEG etc) by brokers to CBP in reply to information requests to facilitate cargo release
## Cargo release M2.3 (continued)
- Benefits:
- Termination of legacy ACS Cargo Selectivity application (the end of ACS in CCR area)
- Cargo Release and Cargo Control applications will share a common database environment that will allow for expanded functionality between transportation and entry filer communities
- Extends PGA functionality in ACE to over 20 different Federal agencies
- Fully enfranchises the entry filer and transportation sectors of the trade in ACE
## ACE Reports
## Reports Dictionary Objectives
- To provide ACE users with a reference document that enhances understanding and encourages use of the reporting tool
- To facilitate identification of reports and attributes by providing detailed definitions of the top 116 frequently-accessed reports and their available data elements
## Reports Dictionary Elements
**1**
**2**
**3**
**4**
**5**
## ACE Portal Application
- Found on CBP.gov
- Select Trade
- Select ACE: Modernization Information Systems
- Select ACE Portal Application and Program Participation
- The following selections are available:
- ACE Application Form – the electronic application form itself
- ACE Application Tutorial – instructions on filling out the electronic ACE application
- ACE Application Information – guidance for new and existing portal accounts.
## Creating a Portal Account
- Creation of an ACE Portal account is a 3 step process.
- Create the ACE top account
- Associate the primary ID# with the ACE top account
- Create or add an existing Trade Account Owner (TAO) or Point of Contact (POC)
- Notification that the account has been created is sent to the TAO or POC via email. This email includes:
- Instructions on retrieving the temporary password and how to log in
- Setting up their portal account
- How to find additional training materials
## Getting Acquainted with ACE
- The following training materials can all be found by going to: http://www.cbp.gov/xp/cgov/trade/automated/modernization
- The ACE Training and Reference Guides
- ACE Frequently Asked Questions (FAQs) - click on What is ACE
- For information on the new account types – click on Accounts
- Official ACE notices can be found by clicking on the ACE Federal Register Notices link on the right-hand side of the Web page
- Sign up for the free CBP
- broadcasting messaging
- system Cargo Systems
- Messaging Service
- (CSMS)
## Contacts for ACE Portal support
- The Technical Support Center (TSC) at
- 1-866-530-4172
- or via email at
- CBP.Technology.Support@DHS.gov
- Questions?
## Questions?
## Slide 91
| en |
converted_docs | 023434 | **Conservation Security Program (CSP)**
**OVERVIEW OF MINIMUM CRITERIA FOR ELIGIBILITY IN TIER II**
Landowner/Operator
County\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Tract & Field
No.s\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_
**[Overview of Minimum Criteria for Tier II]{.underline}**
To be eligible for participation in CSP at the Tier II level, you must
be [currently]{.underline} addressing the criteria for the three
resources as established for Tier I (water quality, soil quality, and
grazing land) on **[all]{.underline}** of your defined agricultural
operation.
You must also [agree]{.underline} to enhance your current natural
resource management by meeting the criteria for at least one
**additional** resource concern for your entire operation during the
life of your CSP contract. You may select any of the following resource
concerns that currently exist on your defined agricultural operation:
+-----+----------------------------------------------------------------+
| ** | ## [Soil Condition]{.underli |
| €** | ne} -- Soil contaminants from applied organic sources (Compreh |
| | ensive Nutrient Management Plan for animal feeding operations) |
+-----+----------------------------------------------------------------+
| ** | ## [Wildlife]{.underline} - Inade |
| €** | quate cover, food and space for grass and shrub nesting birds. |
+-----+----------------------------------------------------------------+
| ** | ## [Aquatic Life]{.underli |
| €** | ne} -- Unfavorable stream processes and poor aquatic habitat. |
+-----+----------------------------------------------------------------+
| ** | ## [Air Quality]{.underline} -- Objectionable odors, el |
| €** | evated amounts of particulates and control of chemical drift. |
+-----+----------------------------------------------------------------+
**[What Specific Treatment is Required for the Tier II Resource
Concerns?]{.underline}**
After you have selected one or more potential Tier II resource concerns,
you should review the attached worksheets to determine what criteria
must be met during the life of your CSP contract.
**Conservation Security Program (CSP)**
**MINIMUM CRITERIA FOR ELIGIBILITY IN TIER II:**
**Soil Contaminants from Applied Organic Sources**
Landowner/Operator
County\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Tract & Field
No.s\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_
**[Criteria for Addressing Soil Contaminants from Applied Organic
Sources]{.underline}**
This resource concern is focused on treatments to avoid contaminating
the soil with excessive metals and nutrients through the proper storage,
handling, treatment, and application of animal waste and other organic
materials on animal feeding operations.
To select this resource concern for Tier II eligibility, you must agree
to implement a Comprehensive Nutrient Management Plan (CNMP) as part of
your CSP contract. This CNMP must include the following:
+-----+----------------------------------------------------------------+
| ** | Adequate waste storage, treatment, and handling facilities. |
| €** | |
+-----+----------------------------------------------------------------+
| ** | ## Proper application of all sources of n |
| €** | utrients, including waste and other organic products. (In addi |
| | tion to meeting the nutrient management criteria established f |
| | or Tier I, the CNMP must also specify that no waste shall be a |
| | pplied to fields with heavy metal concentrations in the soil t |
| | hat exceed the thresholds specified in the NRCS 590 standard.) |
+-----+----------------------------------------------------------------+
| ** | ## Adequate provisions to address animal mortality. |
| €** | |
+-----+----------------------------------------------------------------+
| ** | ## Land treatment of erosion on nutrient application areas |
| €** | |
+-----+----------------------------------------------------------------+
| ** | ## Consideration of other treatment opt |
| €** | ions such as off-site disposal, feed management considerations |
+-----+----------------------------------------------------------------+
| ** | A specific plan for the cleanout and disposal/application of |
| €** | lagoon sludge buildup, including potential areas specified for |
| | disposal, as applicable. |
+-----+----------------------------------------------------------------+
| ** | Other items as determined by NRCS that are needed to address |
| €** | this resource, based on a site-specific evaluation. |
+-----+----------------------------------------------------------------+
The specific criteria for this resource concern are site dependent. Your
local NRCS staff or other NRCS specialists will develop a CNMP to assist
you in meeting the specific criteria for this resource concern.
**Conservation Security Program (CSP)**
**MINIMUM CRITERIA FOR ELIGIBILITY IN TIER II:**
**Inadequate Cover, Food and Space for Grass and Shrub Nesting Birds**
Landowner/Operator
County\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Tract & Field
No.s\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_
**[Criteria for Inadequate Food, Cover and Space for Grass and Shrub
Nesting Birds]{.underline}**
This resource concern is focused on developing and managing the proper
condition, location and amount of habitat to support sustainable
populations of birds such as Bobwhite quail, Meadowlark, Loggerhead
shrike, Sparrow and several other birds that require similar habitat.
Those of birds are traditionally associated with farm land, but their
populations are declining because of habitat loss.
The specific treatments and practices to address this resource concern
will vary by land use and management system. Typical practices include
establishment and maintenance of natural vegetation on field borders and
odd areas, thinning forests and burning their under stories, light
disking and other early succession habitat management practices.
**[How to Satisfy the Criteria]{.underline}**
1. Complete a wildlife habitat self-assessment for your entire
agricultural operation. Assess your crop land, pastures and hay
fields. Answer YES or NO as appropriate for ALL of the required
questions. Pay attention to the OR and AND conditions. Your
responses must be based on conditions the currently exist on your
operation.
2. Evaluate any wildlife habitat area or forest within 500 ft. of your
fields and pastures that are on your farm or land you control. Do
not evaluate resources more than 500 feet away from your fields, off
your farm, or not under your control. If Gamelands or National
Wildlife Refuge is adjacent to your property then you may consider
resources on that public land that are within 500 feet of your
fields.
See the following pages for the CSP wildlife habitat self assessment.
**CSP** Wildlife Habitat Self Assessment
+-----------------------------------------------------------+---+---+---+
| **Does All Your Cropland?** | | * | * |
| | | * | * |
| | | Y | N |
| | | E | O |
| | | S | * |
| | | * | * |
| | | * | |
+-----------------------------------------------------------+---+---+---+
| Use no-till or strip-till in the rotation to provide | | | |
| brood foraging cover. | | | |
+-----------------------------------------------------------+---+---+---+
| **AND** | | | |
+-----------------------------------------------------------+---+---+---+
| Include 2 or more patches of escape cover at least 1,500 | | | |
| square feet on the edges of each field. That escape cover | | | |
| is: | | | |
| | | | |
| - Covered by a stand of shrubs and woody vines- for | | | |
| instance elderberry, sumac, privet, honeysuckle, | | | |
| green brier, and grapes. Sapling sized trees may be a | | | |
| sub-component. A canopy of mature trees may also | | | |
| stand above this cover type. | | | |
| | | | |
| - Available year-round, except for brief periods | | | |
| following management burning or mowing. | | | |
+-----------------------------------------------------------+---+---+---+
| **AND AT LEAST ONE OF THE FOLLOWING** | | * | * |
| | | * | * |
| | | Y | N |
| | | E | O |
| | | S | * |
| | | * | * |
| | | * | |
+-----------------------------------------------------------+---+---+---+
| Include 20 feet (or wider) nesting cover strips | | | |
| surrounding more than 25% of the fields' perimeter. That | | | |
| nesting cover is: | | | |
| | | | |
| - Managed to sustain stands of naturally occurring | | | |
| warm-season bunch grasses and forbs (weeds like | | | |
| broomsedge, rag weed, poke weed, dog fennel) using | | | |
| management such as a 2 to 3 year rotation of light | | | |
| disking, prescribed fire, or herbicide treatment of | | | |
| saplings and shrubs. | | | |
| | | | |
| - Not disturbed during April 15 to Sept 15. | | | |
| | | | |
| - Not used as travel ways, paths, turn rows or storage | | | |
| areas. | | | |
| | | | |
| - Not more than one-quarter covered by Tall fescue, | | | |
| Bermuda grass, or Bahia grass. | | | |
+-----------------------------------------------------------+---+---+---+
| > **OR** | | | |
+-----------------------------------------------------------+---+---+---+
| Include at least two nesting cover patch, at least ¼ acre | | | |
| in size, located in an odd area, pivot corner, forested | | | |
| strips, or "incidental" forest. That nesting cover is: | | | |
| | | | |
| - Managed to sustain stands of naturally occurring | | | |
| warm-season bunch grasses and forbs (weeds like | | | |
| broomsedge, rag weed, poke weed, dog fennel) using | | | |
| management such as a 2 to 3 year rotation of light | | | |
| disking, prescribed fire, or herbicide treatment of | | | |
| saplings and shrubs. | | | |
| | | | |
| - Not disturbed during April 15 to Sept 15. | | | |
| | | | |
| - Not used as travel ways, paths, turn rows or storage | | | |
| areas. | | | |
| | | | |
| - Not more than one-quarter covered by Tall fescue, | | | |
| Bermuda grass, or Bahia grass. | | | |
+-----------------------------------------------------------+---+---+---+
| **OR** | | | |
+-----------------------------------------------------------+---+---+---+
| Adjacent forest stands (pine or hardwood) that have been | | | |
| thinned and is managed to sustain at least two nesting | | | |
| cover patches, each at least ¼ acre in size, of naturally | | | |
| occurring perennial warm-season bunch grasses and forbs | | | |
| in the under story. Under story management typically | | | |
| involves a 2 to 3 year rotation of light disking, | | | |
| prescribed fire, or herbicide treatment of saplings and | | | |
| shrubs. | | | |
+-----------------------------------------------------------+---+---+---+
**COMPLETE THE SECOND PAGE ...**
+------------------------------------------------------------+---+---+---+---+
| **Do All Your Pastures and Hay Fields?** | | * | * | |
| | | * | * | |
| | | Y | N | |
| | | E | O | |
| | | S | * | |
| | | * | * | |
| | | * | | |
+------------------------------------------------------------+---+---+---+---+
| Include 2 or more patches of escape cover at least 1,500 | | | | |
| square feet on the edges of each field. That escape cover | | | | |
| is: | | | | |
| | | | | |
| - Covered by a stand of shrubs and woody vines- for | | | | |
| instance elderberry, sumac, privet, honeysuckle, green | | | | |
| brier, and grapes. Sapling sized trees may be a | | | | |
| sub-component. A canopy of mature trees may also stand | | | | |
| above this cover type. | | | | |
| | | | | |
| - Available year-round, except for brief periods | | | | |
| following management burning or mowing. | | | | |
+------------------------------------------------------------+---+---+---+---+
| **AND AT LEAST ONE OF THE FOLLOWING** | | * | * | |
| | | * | * | |
| | | Y | N | |
| | | E | O | |
| | | S | * | |
| | | * | * | |
| | | * | | |
+------------------------------------------------------------+---+---+---+---+
| Include 20 feet (or wider) nesting cover strips | | | | |
| surrounding more than 25% of the fields' perimeter. That | | | | |
| nesting cover is: | | | | |
| | | | | |
| - Managed to sustain stands of naturally occurring | | | | |
| warm-season bunch grasses and forbs (weeds like | | | | |
| broomsedge, rag weed, poke weed, dog fennel) using | | | | |
| management such as a 2 to 3 year rotation of light | | | | |
| disking, prescribed fire, or herbicide treatment of | | | | |
| saplings and shrubs. | | | | |
| | | | | |
| - Not disturbed during April 15 to Sept 15. | | | | |
| | | | | |
| - Not used as travel ways, paths, turn rows or storage | | | | |
| areas. | | | | |
| | | | | |
| - Not more than one-quarter covered by Tall fescue, | | | | |
| Bermuda grass, or Bahia grass. | | | | |
+------------------------------------------------------------+---+---+---+---+
| > **OR** | | | | |
+------------------------------------------------------------+---+---+---+---+
| Include at least two nesting cover patch, at least ¼ acre | | | | |
| in size, located in an odd area, pivot corner, forested | | | | |
| strips, or "incidental" forest. That nesting cover is: | | | | |
| | | | | |
| - Managed to sustain stands of naturally occurring | | | | |
| warm-season bunch grasses and forbs (weeds like | | | | |
| broomsedge, rag weed, poke weed, dog fennel) using | | | | |
| management such as a 2 to 3 year rotation of light | | | | |
| disking, prescribed fire, or herbicide treatment of | | | | |
| saplings and shrubs. | | | | |
| | | | | |
| - Not disturbed during April 15 to Sept 15. | | | | |
| | | | | |
| - Not used as travel ways, paths, turn rows or storage | | | | |
| areas. | | | | |
| | | | | |
| - Not more than one-quarter covered by Tall fescue, | | | | |
| Bermuda grass, or Bahia grass. | | | | |
+------------------------------------------------------------+---+---+---+---+
| **OR** | | | | |
+------------------------------------------------------------+---+---+---+---+
| Adjacent forest stands (pine or hardwood) that has been | | | | |
| thinned and is managed to sustain at least two nesting | | | | |
| cover patches, each at least ¼ acre in size, of naturally | | | | |
| occurring perennial warm-season bunch grasses and forbs in | | | | |
| the under story. Under story management typically involves | | | | |
| a 2 to 3 year rotation of light disking, prescribed fire, | | | | |
| or herbicide treatment of saplings and shrubs. | | | | |
+------------------------------------------------------------+---+---+---+---+
If you answered YES to all the required items, then your agricultural
operation provides at least 50% of its potential its potential for
cover, food and space for grass and nesting birds; and that satisfies
NRCS wildlife conservation quality criteria. That determination helps
you qualify for CSP Tier II or Tier III.
If you answered NO to one or more of the required items, then your
operation will not qualify for CSP Tier II or III enrollment at this
time. The NRCS staff, the NC Wildlife Resources Commission biologists,
and wildlife TSPs are willing to help you select and plan wildlife
habitat conservation practices that improve habitat conditions on your
farm.
I certify that these conditions exist, to the best of my knowledge, on
the offered area as indicated in the above table.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Participant's Signature Date
**Conservation Security Program (CSP)**
**MINIMUM CRITERIA FOR ELIGIBILITY IN TIER II:**
**Criteria for Unfavorable Stream Processes and Poor Aquatic Habitat**
Landowner/Operator
County\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Tract & Field
No.s\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_
**[Criteria for Unfavorable Stream Processes and Poor Aquatic
Habitat]{.underline}**
This resource concern is focused on developing, restoring, and
maintaining natural stream processes on the margins of farm land so that
all the needed habitat components for a healthy, viable population of
fish and other aquatic animals are provided within the capabilities of a
farming operation.
The specific treatments and practices to address this resource concern
will vary by land use and management system. Typical practices include
establishment of natural vegetation along water courses, stabilizing
eroding stream banks with vegetation, removing barriers to fish
migration, and adopting practices that reconnect the stream with its
floodplain, and similar practices.
**[How to Satisfy the Criteria]{.underline}**
1. Identify all fields and incidental areas to be enrolled in CSP and
categorize the land as either crop land, pasture, or hay land
according to their use.
2. Answer a wildlife habitat self-assessment for each land-use category
you will enroll. Your answers need to be based on conditions in all
of the fields in that land use.
3. When you can answer YES to all the questions for a land-use
category, then that land meets the NRCS wildlife habitat quality
criteria for CSP.
4. If you answer NO to a question, then additional conservation
practice(s) are needed to meet the habitat quality criteria. Your
local NRCS staff or TSP can plan practices needed for your land to
meet the specific criteria for this resource concern.
See the aquatic habitat self assessment on the following page.
[Background]{.underline}:
Healthy populations of native fish, shellfish, crayfish, and insects are
indications of clean water in adequate supply. Many aquatic species once
common are experiencing long-term population declines. The processes
affecting aquatic habitat are strongly influenced by land management
practices at a scale larger than an individual farm. In order for CSP to
reward landowners who manage their land to conserve aquatic habitat,
NRCS is providing a simplified version of its Stream *Visual Assessment
Protocol* (SVAP) to help you evaluate elements of streams that indicate
responsible stewardship on your farm.
The following questions allow you to evaluate aquatic habitat in streams
and rivers beside the fields you will enroll in CSP and to determine if
those fields already meet the quality criteria NRCS has established for
fish and aquatic wildlife habitat conservation. Meeting those criteria
in each field will help establish your eligibility for the CSP's Tiers
II and III.
[Instructions]{.underline}:
Answer YES or NO as appropriate for [ALL]{.underline} the surface waters
(including rivers, swamps, perennial or seasonal streams, and
channelized streams, field ditches and embankment ponds) located along
or beside the fields you will enroll in CSP. Evaluate each field
independently. Do not average among fields.
+-------------------------------------------------------------+---+---+
| | * | * |
| | * | * |
| | Y | N |
| | E | O |
| | S | * |
| | * | * |
| | * | |
+-------------------------------------------------------------+---+---+
| 1. Other than normal, routine ditch maintenance, all | | |
| mining, dredging and other excavation has been | | |
| discontinued in surface waters. | | |
+-------------------------------------------------------------+---+---+
| 2. All ditch maintenance is performed outside the fish | | |
| spawning season -- March 15 to May 30. | | |
+-------------------------------------------------------------+---+---+
| 3. All surface waters are buffered (on all sides, if all | | |
| sides are under control of the participant) by a filter | | |
| strip, or riparian herbaceous cover, riparian forest | | |
| buffer. | | |
+-------------------------------------------------------------+---+---+
| 4. All stream and channel banks are protected by natural | | |
| vegetation (not rock armor), so that bank erosion is | | |
| controlled to a level commensurate with upstream land | | |
| use and normal geologic processes of the watershed. | | |
+-------------------------------------------------------------+---+---+
| 5. All livestock access to surface waters controlled in | | |
| ways that prevent animals from lounging in and around | | |
| the waters. | | |
+-------------------------------------------------------------+---+---+
| 6. All surface waters are: | | |
| | | |
| > Clear (or tea colored), except after storms, but they | | |
| > clear rapidly after storms | | |
| > | | |
| > AND | | |
| > | | |
| > Free of green algae film on the surface or coating the | | |
| > bottom of the channel | | |
| > | | |
| > AND | | |
| > | | |
| > Free of oily sheen and foam on the surface | | |
| > | | |
| > AND | | |
| > | | |
| > Free of "rotten egg" and ammonia odors | | |
+-------------------------------------------------------------+---+---+
I certify that these conditions exist, to the best of my knowledge, on
the offered area as indicated in the above table.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Participant's Signature Date
**Conservation Security Program (CSP)**
**MINIMUM CRITERIA FOR ELIGIBILITY IN TIER II:**
**AIR QUALITY**
Landowner/Operator
County\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Tract & Field
No.s\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_
Criteria for Addressing Air Quality Resources Concerns
This resource concern is focused on treatments to avoid contaminating
the air with excessive particulates, greenhouse gases, chemical drift
and odors through the proper handling, storage, treatment and
application of animal waste, agricultural chemicals and burning.
To select this resource concern for Tier II eligibility, you must agree
to implement the following management activities for all air quality
concerns that exist on the offered acres. Check those that apply.
+-----+----------------------------------------------------------------+
| ** | Odor Control: Establish trees and/or shrubs as windbreaks, |
| €** | covers for lagoons, or other practices as needed around land |
| | application areas and animal feeding operations. Inject liquid |
| | wastes below soil surface, incorporate within 24 hours after |
| | land application, or time applications to avoid high wind |
| | conditions or periods. Handle and apply poultry litter or |
| | other dry manures when weather conditions are calm to reduce |
| | potential blowing. Document in CNMP. |
+-----+----------------------------------------------------------------+
| ** | ## Dust Control: Reduce tillage operations to minimize |
| €** | particulate pollutants in the atmosphere. Conservation tillag |
| | e of all spring planted crops or documentation of average wind |
| | erosion for the cropping sequence ("E" of WEQ of 1.5 or less) |
+-----+----------------------------------------------------------------+
| ** | ## Chemical Drift: Time a |
| €** | pplications to reduce drift, or reduce volume of chemical appl |
| | ied through banding or other application technology, or select |
| | formulations that are less mobile when possible or available. |
| | Document material used and conditions at time of application. |
+-----+----------------------------------------------------------------+
| ** | ## Smoke Elimination: Do not burn crop residues. |
| €** | |
+-----+----------------------------------------------------------------+
| ** | ## ST |
| €** | IR Rating: Keep STIR rating at or below CSP program Standards. |
| | Documentation of RUSLE2 score from NRCS office of 60 or less. |
+-----+----------------------------------------------------------------+
The specific criteria for this resource concern are site dependent. Your
local NRCS staff or other NRCS specialist will develop a plan to assist
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Identification_Information:
Citation:
Citation_Information:
Originator: R. W. Tabor
Originator: R. A. Haugerud
Originator: Wes Hildreth
Originator :E. H. Brown
Publication_Date: 2003 (paper copy); 2006 (digital database)
Title: Geologic Map of the Mount Baker 30- by 60-Minute Quadrangle, Washington
Edition: 1.0
Geospatial_Data_Presentation_Form: vector digital data
Series_Information:
Series_Name: U.S. Geological Survey Miscellaneous Investigation Series
Issue_Identification: I-2660
Publication_Information:
Publication_Place: Menlo Park, CA
Publisher: U.S. Geological Survey
Online_Linkage: http://pubs.usgs.gov/imap/i2660/
Description:
Abstract: Abstract: This digital map database has been prepared by R.W. Tabor from the published Geologic map of the Mount Baker 30- by 60 Minute Quadrangle, Washington. Together with the accompanying text files as PDF, it provides information on the geologic structure and stratigraphy of the area covered. The database delineates map units that are identified by general age and lithology following the stratigraphic nomenclature of the U.S. Geological Survey. The authors mapped most of the geology at 1:100,000. The Quaternary contacts and structural data have been much simplified for the 1:100,000-scale map and database. The spatial resolution (scale) of the database is 1:100,000 or smaller.
Purpose: This database depicts the distribution of geologic materials and structures at a regional (1:100,000) scale. The report is intended to provide geologic information for the regional study of materials properties, earthquake shaking, landslide potential, mineral hazards, seismic velocity, and earthquake faults. In addition, the report contains information and interpretations about the regional geologic history and framework. However, the regional scale of this report does not provide sufficient detail for site development purposes.
Supplemental_Information
DIGITAL COMPILATION- R. W. Tabor and R. A. Haugerud scanned, vectorized and edited the geologic map information from stable ink-on-mylar author compilation at 1:100,000 scale. ARC/INFO vectorized coverage of the geology was later edited by K. Nimtz with assistance from Susan Mayfield and Richard D. Koch.
The digital compilation was done in versions 7.1.1 through 8.2 of ARC/INFO with version 3.0 of the menu interface ALACARTE (Fitzgibbon and Wentworth, 1991, Fitzgibbon, 1991, Wentworth and Fitzgibbon, 1991).
BASE MAP-The geology of this dataset was mapped on dimensionally stable chronflex prints of the Mount Baker 1:100,000 scale topographic quadrangle. Although no base map material is included in this dataset, a vectorized version of the base can be downloaded from http://edcftp.cr.usgs.gov/pub/data/DLG/100K/M/.
Time_Period_of_Content:
Time_Period_Information:
Single_Date/Time:
Calendar_Date: 2003 (paper); 2006 (digital database)
Currentness_Reference: 2003.
Status:
Progress: Complete
Maintenance_and_Update_Frequency: As needed
Spatial_Domain:
Bounding_Coordinates:
West_Bounding_Coordinate: -122.009828
East_Bounding_Coordinate: -120.979965
North_Bounding_Coordinate: 49.013477
South_Bounding_Coordinate: 48.486950
Keywords:
Theme:
Theme_Keyword_Thesaurus: none
Theme_Keyword: Alma Creek pluton
Theme_Keyword: alpine glaciation
Theme_Keyword: bedrock geology
Theme_Keyword: Bell Pass melange
Theme_Keyword: Cascade Magmatic Arc
Theme_Keyword: Cascade River Schist
Theme_Keyword: Cascade Pass dike
Theme_Keyword: Cascade Pass Family
Theme_Keyword: Chelan Mountains terrane
Theme_Keyword: Chilliwack Composite Batholith
Theme_Keyword: Chilliwack Group
Theme_Keyword: Chuckanut Formation
Theme_Keyword: Conglomerate of Bald Mountain
Theme_Keyword: Cordilleran Ice Sheet
Theme_Keyword: Cultus Formaion
Theme_Keyword: Darrington Phyllite
Theme_Keyword: drainage diversion
Theme_Keyword: Easton Metamorphic Suite
Theme_Keyword: Easton terrane
Theme_Keyword: Eldorado Orthogneiss
Theme_Keyword: Entiat Fault
Theme_Keyword: Excelsior nappe
Theme_Keyword: erosional landscape
Theme_Keyword: fault offset
Theme_Keyword: Fraser glaciation
Theme_Keyword: geologic history
Theme_Keyword: geologic structures
Theme_Keyword: geology
Theme_Keyword: glacial geology
Theme_Keyword: Glacier Extensional Fault
Theme_Keyword: Hannegan Volcanics
Theme_Keyword: Hidden Lake stock
Theme_Keyword: Hozomeen Group
Theme_Keyword: Index Family
Theme_Keyword: Kushan Caldera
Theme_Keyword: landslide deposits
Theme_Keyword: Marblemount pluton
Theme_Keyword: Magic Mountain Gneiss
Theme_Keyword: melange
Theme_Keyword: metamorphism
Theme_Keyword: Mount Baker volcanic center
Theme_Keyword: Napeequa Schist
Theme_Keyword: Nooksack Formation
Theme_Keyword: North Cascades
Theme_Keyword: Northwest Cascade System
Theme_Keyword: orogenic deposits
Theme_Keyword: orthogneiss
Theme_Keyword: Orthogneiss of Haystack Creek
Theme_Keyword: Orthogneiss of Marble Creek
Theme_Keyword: Phyllite and schist of Little Jack Mountain
Theme_Keyword: radiometric ages
Theme_Keyword: rock samples
Theme_Keyword: Ruby Creek Heterogeneous Plutonic Belt
Theme_Keyword: Semischist anf phyllite of Mount Josephine
Theme_Keyword: Shuksan Greenschist
Theme_Keyword: Shuksan Nappe
Theme_Keyword: Skagit Gneiss
Theme_Keyword: Skymo Complex
Theme_Keyword: Slate of Rinker Ridge
Theme_Keyword: Snoqualmie Family
Theme_Keyword: Straight Creek Fault
Theme_Keyword: stitiching units
Theme_Keyword: Sulphur Mountain pluton
Theme_Keyword: surficial geology
Theme_Keyword: terrane overlap units
Theme_Keyword: Twin Sisters Dunite
Theme_Keyword: transtensional deposits
Theme_Keyword: ultramafic rocks
Theme_Keyword: Vedder Complex
Theme_Keyword: Vashon stade
Theme_Keyword: Volcanic rocks of Big Bosom Buttes
Theme_Keyword: Volcanic rocks of Mount Rahm
Theme_Keyword: Wells Creek Volcanic Member
Theme_Keyword: Yellow Aster Complex
Theme_Keyword_Thesaurus: none
Place:
Place_Keyword_Thesaurus: none
Place_Keyword: Pacific Northwest
Place_Keyword: North Cascade Mountains
Place_Keyword: Skagit River
Place_Keyword: Washington
Place:
Place_Keyword_Thesaurus: Augmented FIPS 10-4 and FIPS 6-4, version 1.0
Place_Keyword: Whatcom County
Place_Keyword: Skagit County
Access_Constraints: none.
Use_Constraints: SPATIAL RESOLUTION- Uses of this digital geologic map should not violate the spatial resolution of the data. Although the digital form of the data removes the constraint imposed by the scale of a paper map, the detail and accuracy inherent in map scale are also present in the digital data. The fact that this database was edited for a scale of 1:100,000 means that higher resolution information is not present in the dataset. Plotting at scales larger than 1:100,000 will not yield greater real detail, although it may reveal fine- scale irregularities below the intended resolution of the database. Similarly, where this database is used in combination with other data of higher resolution, the resolution of the combined output will be limited by the lower resolution of these data..
Native_Data_Set_Environment: Microsoft Windows 2000 Version 5.0 (Build 2195) Service Pack 4; ESRI ArcCatalog 9.0.0.535
Spatial_Data_Organization_Information: mbgeology is contact, fault, and polygon coverage; bmlines is fold axes, cross-section lines, river-cut terrace boundaries, and mineral isograds; mbisofoss is locations of samples analysed for isotope age and identified; mbsmoc is locations of small outcrops of ultramafic rocks, limestone, or marble; mbstruct is structural symbols: bedding: foliation, lineation, and fault balls (These symbols will not show on screen or plot without appropriate symbol sets available in Alacarte); mbrocksamp is a point coverage of rock samples archived at North Cascades National Park, Marblemount. For more information about the rock samples contact the curator at Marblemount, telephone 360 873 4500.
Direct_Spatial_Reference_Method: Vector
Point_and_Vector_Object_Information:
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Complete chain
Point_and_Vector_Object_Count: 8250
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Label point
Point_and_Vector_Object_Count: 2765
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: GT-polygon composed of chains
Point_and_Vector_Object_Count: 2765
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Point
Point_and_Vector_Object_Count: 49
Spatial_Reference_Information:
Horizontal_Coordinate_System_Definition:
Planar:
Map_Projection:
Map_Projection_Name: Transverse Mercator
Transverse_Mercator:
Scale_Factor_at_Central_Meridian: 0.999600
Longitude_of_Central_Meridian: -123.000000
Latitude_of_Projection_Origin: 0.000000
False_Easting: 500000.000000
False_Northing: 0.000000
Planar_Coordinate_Information:
Planar_Coordinate_Encoding_Method: coordinate pair
Coordinate_Representation:
Abscissa_Resolution: 0.000128
Ordinate_Resolution: 0.000128
Planar_Distance_Units: meters
Geodetic_Model:
Horizontal_Datum_Name: D_Clarke_1866
Ellipsoid_Name: Clarke 1866
Semi-major_Axis: 6378206.400000
Denominator_of_Flattening_Ratio: 294.978698
Entity_and_Attribute_Information:
Detailed_Description: mbgeology
Entity_Type:
Entity_Type_Label: mbgeology.aat
Attribute:
Attribute_Label: FID
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: Shape
Attribute_Definition: Feature geometry.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Coordinates defining the features.
Attribute:
Attribute_Label: FNODE#
Attribute_Definition: Internal node number for the beginning of an arc (from-node).
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Whole numbers that are automatically generated.
Attribute:
Attribute_Label: TNODE#
Attribute_Definition: Internal node number for the end of an arc (to-node).
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Whole numbers that are automatically generated.
Attribute:
Attribute_Label: LPOLY#
Attribute_Definition: Internal node number for the left polygon.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Whole numbers that are automatically generated.
Attribute:
Attribute_Label: RPOLY#
Attribute_Definition: Internal node number for the right polygon.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Whole numbers that are automatically generated.
Attribute:
Attribute_Label: LENGTH
Attribute_Definition: Length of feature in internal units.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Positive real numbers that are automatically generated.
Attribute:
Attribute_Label: MBGEOLOGY#
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: MBGEOLOGY-ID
Attribute_Definition: User-defined feature number.
Attribute_Definition_Source: ESRI
Attribute:
Attribute_Label: LTYPE
Detailed_Description:
Attribute_Definition: Geologic contact description
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: contact, certain
Enumerated_Domain_Value_Definition: Boundary between geologic units established in reconnaissance mapping by authors or compiled from other workers
Enumerated_Domain:
Enumerated_Domain_Value: contact, concealed
Enumerated_Domain_Value_Definition: Boundary between geologic units that is concealed by a younger units
Enumerated_Domain:
Enumerated_Domain_Value: contact, inferred
Enumerated_Domain_Value_Definition: Boundary of uncertain location between geologic units; contact exists but location inferred from indirect evidence(Shown with short dash beteen units on published map)
Enumerated_Domain:
Enumerated_Domain_Value: contact, approx. located
Enumerated_Domain_Value_Definition: Boundary that is approximately located between geologic units (Shown with long dash between units on published map)
Enumerated_Domain:
Enumerated_Domain_Value: high-angle fault, certain
Enumerated_Domain_Value_Definition: Trace of fault established in reconnaissance mapping by authors or compiled from other workers
Enumerated_Domain:
Enumerated_Domain_Value: high-angle fault, inferred
Enumerated_Domain_Value_Definition Uncertain location of fault; positional accuracy uncertain but but general location inferred from indirect evidence
Enumerated_Domain:
Enumerated_Domain_Value: high-angle fault, concealed
Enumerated_Domain_Value_Definition: Trace of fault concealed by younger unit; positional accuracy uncertain
Enumerated_Domain:
Enumerated_Domain_Value: high-angle fault, approx. located
Enumerated_Domain_Value_Definition: Very uncertain location of fault
Enumerated_Domain:
Enumerated_Domain_Value: thrust fault, certain
Enumerated_Domain_Value_Definition: Trace of fault established in reconnaissance mapping by authors or compiled from other workers
Enumerated_Domain:
Enumerated_Domain_Value: thrust fault, concealed
Enumerated_Domain_Value_Definition: Trace of thrust fault concealed by younger unit; positional accuracy uncertain
Enumerated_Domain_Value: thrust fault, inferred
Enumerated_Domain_Value_Definition Uncertain location of fault; positional accuracy uncertain but but general location inferred from indirect evidence
Enumerated_Domain:
Enumerated_Domain_Value: map boundary
Enumerated_Domain_Value_Definition: map boundary of this 1:100,000 study
Enumerated_Domain:
Enumerated_Domain_Value: glacier boundary
Enumerated_Domain_Value_Definition: Boundary of glacier derived from Mount Baker 1:100,000 scale topographic map
Enumerated_Domain:
Enumerated_Domain_Value: scratch boundary
Enumerated_Domain_Value_Definition: Boundary that is indefinate, gradational or very approximately located (shown without a line between units on published map)
Enumerated_Domain:
Enumerated_Domain_Value: atten. fault, certain
Enumerated_Domain_Value_Definition: Extensional fault, location certain
Enumerated_Domain:
Enumerated_Domain_Value: atten. fault,, concealed
Enumerated_Domain_Value_Definition: Trace of extensional fault concealed by younger unit; positional accuracy uncertain
Enumerated_Domain_Value: atten. fault, inferred
Enumerated_Domain_Value_Definition Uncertain location of extensional fault; positional accuracy uncertain but but general location inferred from indirect evidence
Enumerated_Domain:
Enumerated_Domain_Value: water boundary
Enumerated_Domain_Value_Definition: Boundary of open water derived from Mount Baker 1:100,000 scale topographic map
Enumerated_Domain:
Enumerated_Domain_Value: limebed
Enumerated_Domain_Value_Definition: Trace of limestone or marble bed
Entity_Type:
Entity_Type_Label: mbgeology.pat
Attribute:
Attribute_Label: FID
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: Shape
Attribute_Definition: Feature geometry.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Coordinates defining the features.
Attribute:
Attribute_Label: AREA
Attribute_Definition: Area of feature in internal units squared.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Positive real numbers that are automatically generated.
Attribute:
Attribute_Label: PERIMETER
Attribute_Definition: Perimeter of feature in internal units.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Positive real numbers that are automatically generated.
Attribute:
Attribute_Label: MBGEOLOGY#
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: MBGEOLOGY-ID
Attribute_Definition: User-defined feature number.
Attribute_Definition_Source: ESRI
Attribute:
Attribute_Label: PTYPE
Attribute_Definition: symbol of geologic unit
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Ql
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Non-glacial deposits: Landslide deposits (Holocene)-Diamictons composed of angular clasts of bedrock and surficial deposits derived from upslope. Commonly shown on map without unit label; arrows denote downslope direction of movement. Includes both transported material and unstable scarp area if present.
Enumerated_Domain:
Enumerated_Domain_Value: Qlo
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Non-glacial deposits: Older landslide deposits (Holocene and Pleistocene)-Similar to diamictons described above but with data to show age. Generally large and with somewhat subdued hilly topography. Church Mountain landslide in the North Fork of the Nooksack, the Bear Creek landslide, and landslides in the Skagit River valley south of Damnation Creek.
Enumerated_Domain:
Enumerated_Domain_Value:Qmw
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Non-glacial deposits: Mass-wastage deposits (Holocene and Pleistocene)-Colluvium, soil, or landslide debris with indistinct morphology, mapped where sufficiently continuous and thick to obscure underlying material. Unit is gradational with units Qf and Ql.
Enumerated_Domain:
Enumerated_Domain_Value: Qt
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Non-glacial deposits: Talus deposits (Holocene)-Non-sorted angular gravel to boulder diamicton. At lower elevations gradational with unit Qf. At higher elevations includes small rock-avalanche deposits as well as some Holocene moraines, rock glaciers, and protalus rampart deposits that lack characteristic morphology. Surfaces generally unvegetated. Mostly mapped from aerial photos in alpine valleys. Grades into unit Qf.
Enumerated_Domain:
Enumerated_Domain_Value:Qf
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Non-glacial deposits: Alluvial-fan deposits (Holocene)-Poorly sorted cobble to boulder gravel, deposited either as a discrete lobe at the intersection of a steep stream with a valley floor of lower gradient or as a broad apron on steep sideslopes. Gradational with unit Qt, especially in granitic terrane where fans along major valleys commonly merge with talus. Mostly mapped from topography and aerial photos in alpine valleys.
Enumerated_Domain:
Enumerated_Domain_Value: Qyal
Enumerated_Domain_Value_Definition: Non-glacial deposits: SURFICIAL DEPOSITS: Younger alluvium (Holocene)-Moderately sorted deposits of cobble gravel to pebbly sand along rivers and streams. Generally unvegetated surfaces; gradational with both units Qf and Qb.
Enumerated_Domain:
Enumerated_Domain_Value: Qb
Enumerated_Domain_Value_Definition: Non-glacial deposits: SURFICIAL DEPOSITS: Bog deposits (Holocene)-Peat and alluvium. Poorly drained and intermittently wet. Grades into unit Qyal.
Enumerated_Domain:
Enumerated_Domain_Value: Qoal
Enumerated_Domain_Value_Definition: Non-glacial deposits: SURFICIAL DEPOSITS: Older alluvium (Holocene and Pleistocene)-Deposits similar to unit Qyal, but standing above modern-flood plain level and generally separated from it by a distinct topographic scarp. Age of deposits presumed younger than that of unit Qvr, but relations are ambiguous in some localities. In Middle Fork of the Nooksack River valley, may include lahar deposits from Mount Baker (Easterbrook and Kovanen, 1996).
Enumerated_Domain:
Enumerated_Domain_Value: Qam
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Alpine glacial moraine (Holocene)-Boulder till; sparsely vegetated to unvegetated. Commonly shown with symbolized moraine crest on bedrock unit.
Enumerated_Domain:
Enumerated_Domain_Value: Qag
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Alpine glacial deposits (Holocene and Pleistocene)-Deposits ranging from boulder till in uplands and upvalley to gravel or sand outwash on broad valley floors. On valley sides and uplands, includes areas veneered with drift but also includes subordinate areas of bedrock, alluvial fans, colluvium, or talus deposits. On valley floors also includes small fans, bogs, and modern stream alluvium. Areas of thin, sparse drift not distinguished from bedrock.
Enumerated_Domain:
Enumerated_Domain_Value: Qgu
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Glacial deposits, undivided (Holocene and Pleistocene)-Mostly morainal deposits or vegetated talus deposits similar to unit Qag or Qt, but includes outwash. May include considerable debris deposited from the Cordilleran ice sheet, especially in the North Fork of the Nooksack River and along Ross Lake. As mapped, includes deposits in part belonging to units Qyal, Qf, and Qmw.
Enumerated_Domain:
Enumerated_Domain_Value: Qvr
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Deposits of the Vashon stade of the Fraser glaciation of Armstrong and others (1965) (Pleistocene): Recessional outwash deposits-Stratified sand and gravel, moderately sorted to well-sorted, and well-bedded silty sand to silty clay. This deposit formed predominantly in outwash plain and valley train environments in the lowland areas.
Enumerated_Domain:
Enumerated_Domain_Value: Qvt
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Deposits of the Vashon stade of the Fraser glaciation of Armstrong and others (1965) (Pleistocene): Till-Mainly compact diamicton with subangular to rounded clasts, glacially transported and deposited. In ice-marginal areas or where covered by a thin layer of recessional outwash, contact with unit Qvr is gradational. As mapped, also includes deposits of units Qf, Qmw, and Qyal too poorly exposed or too small to show at map scale.
Enumerated_Domain:
Enumerated_Domain_Value: Qva
Enumerated_Domain_Value_Definition: SURFICIAL DEPOSITS: Glacial deposits: Deposits of the Vashon stade of the Fraser glaciation of Armstrong and others (1965) (Pleistocene): Advance outwash deposits-Well-bedded gravelly sand, fine-grained sand, and bedded silt, generally firm and unoxidized; deposited by proglacial streams and in proglacial lakes.
Enumerated_Domain:
Enumerated_Domain_Value: Qpf
Enumerated_Domain_Value_Definition: Non-glacial and glacial deposits: Non-glacial and glacial sedimentary deposits older than Fraser Glaciation (Pleistocene)-Moderately to deeply weathered, moderately sorted sand with volcanic clasts. Exposed only in the western part of the quadrangle along the south boundary.
Enumerated_Domain:
Enumerated_Domain_Value: Qbsc
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Sulphur Creek (Holocene) - Plagioclase-rich olivine-pyroxene basalt to andesite lava flows and scoria cone produced by a monogenetic eruption near the head of Sulphur Creek in the early Holocene. Lava complex dominantly basaltic but consists of basaltic andesite medially and andesite proximally, zoned 51-59% SiO2. Lavas flowed 12 km eastward to Baker River, where a remnant survives on the east shore of Baker Lake.
Enumerated_Domain:
Enumerated_Domain_Value: Qbscc
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Sulphur Creek (Holocene) - Scoria cone of Qbsc (shown with pattern on published map)
Enumerated_Domain:
Enumerated_Domain_Value: Qbv
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of present-day Mount Baker stratovolcano (Holocene and late Pleistocene) - Plagioclase-rich pyroxene andesite (56-63% SiO2; mostly olivine-bearing) lava flows and flow breccia with subordinate agglutinate, scoria, and pyroclastic-flow deposits - all erupted from the central vent of the modern stratovolcano. Consists dominantly of about 200 lava flows, nearly all emplaced radially and sector-confined. About 25 flows exposed between elevations of 2,500 m and 3,200 m make up the steep ridge west of the summit of Mount Baker. Debris flows derived from the cone have moved far down Park, Boulder, Sandy, Sulphur, Rocky, Bar, and Glacier Creeks and the Middle Fork of the Nooksack River, but deposits have largely been reworked as alluvium or till. Unit includes andesite lava remnants along Kulshan, Heliotrope, and Glacier Creeks.
Enumerated_Domain:
Enumerated_Domain_Value: Qbm
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Miscellaneous lava-flow remnants (Pleistocene) - Isolated andesite and dacite lava flows largely removed by erosion; source vents unknown but presumed to have erupted in the Kulshan caldera-Mount Baker area in postcaldera time. Includes: (1) reversely magnetized, olivine-pyroxene andesite lava-flow (55.5% SiO2) remnant in upper Thompson Creek, K-Ar dated at 878 18 ka; (2) reversely magnetized, undated, olivine-bearing pyroxene andesite lava-flow (60% SiO2) remnant on southwest slope of Lookout Mountain, K-Ar dated at 859 14 ka; (3) undated, hornblende-pyroxene-plagioclase andesite (59% SiO2) lava-flow remnant on lower north slope of Slate Mountain, 400 m east of Anderson Creek, about 370 m above the modern valley floor; and (4) undated plagioclase-rich hornblende-pyroxene andesite (57.5% SiO2) dike cutting south slope of Mount Herman (at 1,525 m elevation; but too small to show at map scale); and (5) rhyodacite lava-flow remnant on distal nose of Boulder Ridge, north of Boulder Creek, K-Ar dated at 1995 ka.
Enumerated_Domain:
Enumerated_Domain_Value: Qbsw
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Swift Creek (late Pleistocene)- Plagioclase-rich olivine-pyroxene basaltic andesite (54-56% SiO2); isolated eroded remnants of lava flows along the floor of Swift Creek or banked against its east wall as high as 110 m above the floor. Vent unknown, probably farther north within Swift Creek drainage. Yields K-Ar determined age of 4818 ka. Lava flows were emplaced after downcutting of Swift Creek gorge to approximately its present depth.
Enumerated_Domain:
Enumerated_Domain_Value: Qbtp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of The Portals (late Pleistocene) - Pyroxene andesite lava flows (57-62% SiO2) distinguished by abundant small (<1 mm) plagioclase, erupted from a glacially eroded vent exposed on east face of Landes Cleaver (east of Mazama Glacier). A few thick flows form a proximal stack still more than 500 m thick and an intracanyon tongue more than 200 m thick that caps the divide between Sholes and Bar Creeks. Most exposures are glassy and polygonally jointed, owing to ice-contact emplacement. Different flows yield K-Ar ages of 767 ka and 407 ka
Enumerated_Domain:
Enumerated_Domain_Value: Qbls
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Lake Shannon (late Pleistocene) - Plagioclase-olivine basalt (51-52% SiO2), hyaloclastite tuff and thin lava flows, making up two glaciated knobs and a roadcut remnant 1-2 km west of upper Lake Shannon. Poorly sorted and poorly stratified deposit, as thick as 150 m. Vesicular fragments 1-15 cm make up only 5-10% of glassy deposit dominated by sand-and silt-sized particles, which are locally palagonitized and indurated. Intercalated lava tongues, probably spatter-fed, are 1-3 m thick; one gave an age of 94_21 ka.
Enumerated_Domain:
Enumerated_Domain_Value: Qbcd
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Cougar Divide (middle Pleistocene) - Plagioclase-rich pyroxene andesite and olivine-pyroxene andesite lava flows (56-63% SiO2) capping the northern part of Cougar Divide and forming smaller remnants near upper Dobbs Creek.
Enumerated_Domain:
Enumerated_Domain_Value: Qbpc
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Park Creek (late Pleistocene) - Stack of five pyroxene andesite lava flows (57-61% SiO2) on south wall of Park Creek. Source vent concealed beneath modern Mount Baker. Middle flow gives K-Ar age of 14055 ka
Enumerated_Domain:
Enumerated_Domain_Value: Qbpl
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Pinus Lake (middle Pleistocene) - Plagioclase-rich pyroxene andesite (59-62% SiO2; sparse olivine) intracanyon lava flow, surviving only as a 1-km2 remnant 100 m thick, 1-2 km east of the confluence of Wells Creek with the North Fork of the Nooksack River. Base of flow 120 m above present-day river. Not distinguished separately on map is a second intracanyon flow remnant of glassy hornblende dacite (65% SiO2) that supports a 60-m cliff below the northwest face of the andesite. Another remnant of yet a third intracanyon flow is present 1.5 km farther west; consisting of olivine-pyroxene andesite (59% SiO2), its base is 225 m above the river junction.
Enumerated_Domain:
Enumerated_Domain_Value: Qbbb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Black Buttes (middle Pleistocene) - Olivine-pyroxene andesite (mostly 55-59% SiO2) lava flows, flow breccia, and near-vent fragmental deposits (pattern) of Black Buttes stratovolcano. Plagioclase small and sparse in the dominant mafic lavas and ejecta but abundant in thicker flows of silicic andesite. Unit also includes sparse thin flows of olivine-plagioclase basalt (52% SiO2). A fragmental vent complex interfingers radially with thick stacks of thin (1-15 m) proximal flows and flow-breccia. The fragmental core, extensively altered by fumarolic-hydrothermal fluids, has been glacially gutted to provide the west cirque of Deming Glacier. A few much thicker lava flows of pyroxene andesite (59-64% SiO2) extend outward from the edifice, today supporting several high divides. Separate vents active during Black Buttes time include Forest Divide (Unit Qbfd), lava Divide (unit Qbid), and Lasiocarpa Ridge (unit Qbir).
Enumerated_Domain:
Enumerated_Domain_Value: Qbcp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Coleman Pinnacle (middle Pleistocene) - Hornblende-plagioclase andesite (59-63% SiO2; pyroxene sparse to absent) lava flows and dikes, capping much of Ptarmigan Ridge. Erupted from dike-fed fissure system that extends more than 2 km northeasterly along Ptarmigan Ridge. Glacially sculptured remnants are as thick as 200 m.
Enumerated_Domain:
Enumerated_Domain_Value: Qbtm
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Table Mountain (middle Pleistocene) - Plagioclase-rich pyroxene andesite lava flows (59-62.5% SiO2) that form stacks as thick as 150 m at Table Mountain [17] and 250 m at nearby Kulshan Ridge. Glacially scoured remnants, mostly glassy and polygonally jointed, make up much of the surface in the Heather Meadows ski area.
Enumerated_Domain:
Enumerated_Domain_Value: Qbld
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Lava Divide (middle Pleistocene) - Plagioclase-rich pyroxene andesite (58-63% SiO2) lava flows, chaotic and stratified breccias, and vent-filling intrusion. Some flows olivine bearing. Vent plug is conical peak, fumarolically altered and laced with sulfides, forming western prow of cleaver between Park and Rainbow Glaciers. Most lavas bracketed between 460 and 296 ka, but a basal flow on Park Creek gives 743_72 ka.
Enumerated_Domain:
Enumerated_Domain_Value: Qbbr
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Bastille Ridge (middle Pleistocene) - Plagioclase-rich pyroxene andesite (59-63% SiO2) lavas that form a 200-m stack of about10 west-dipping flows that cap Bastille Ridge. Remnant of a single 60-m-thick flow about1 km northwest (on north side of Smith Creek) is similar, probably related.
Enumerated_Domain:
Enumerated_Domain_Value: Qbfd
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Forest Divide (middle Pleistocene)-Olivene-bearing pyroxene andesite (58-61% SiO2). Stack of about 10 lava flows capping Forest Divide. Vent buried by Mount Baker. Basal and top flows yield K-Ar ages of 455_9 ka and 366_10 ka.
Enumerated_Domain:
Enumerated_Domain_Value: Qblr
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Lasiocarpa Ridge (middle Pleistocene) - Plagioclase-rich olivine-pyroxene andesite (58-62% SiO2) lava flows and thick flow breccia. K-Ar dated at 5158 ka.
Enumerated_Domain:
Enumerated_Domain_Value: Qbpb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Park Butte (and associated rocks) (middle Pleistocene) -Plagioclase-olivine basalt (50% SiO2) lava flow capping east ridge of Park Butte; yields K-Ar age of 71645 ka. Nearby remnants of basaltic andesite lavas (52.5-56% SiO2; mapped as Qbm) containing clinopyroxene as well as olivine and plagioclase, cap Cathedral Crag, the ridge north of Baker Pass, and the small plateau just east of Park Butte. These yield K-Ar ages between 333 and 203 Ka and have no recognizable source vent.
Enumerated_Domain:
Enumerated_Domain_Value: Qkrl
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of Kulshan caldera (early Pleistocene): Rhyodacite lava flows, domes, dikes and shallow intrusions - At least seven separate eruptive units of biotite-hypersthene-hornblende-plagioclase rhyodacite (69-72% SiO2) intrude and overlie intracaldera ignimbrite or sedimentary deposits. Five more intrude and overlie unit KJna on Cougar Divide (where three are shown on the geologic map), and at least one dike (30 m thick, but not shown on the map) of similar rhyodacite cuts unit Pcmv on the divide between Swift and Rainbow Creeks just south of the caldera.
Compositionally, the lavas and dikes are similar to the dominant pumice in the ignimbrite or slightly less evolved. Phenocryst contents range widely, from 5 to 25%. Like the ignimbrite, the lavas and dikes contain plagioclase, hypersthene, hornblende, biotite, FeTi oxides, apatite, and zircon, although one or more of these may be missing in some flows; sanidine is lacking, and clinopyroxene and quartz are absent or very rare. Lithologically, the lavas and dikes are massive or flow-banded felsite; glacial erosion has stripped all but sparse remnants of glassy external zones, which tend to be altered where they survive. The felsite is pale to medium grey where fresh but is largely tan to orange-brown owing to pervasive oxidation and ferruginous films on joints and vugs. In areas of hydrothermal alteration, especially where brecciated, the lavas are pale green, cream, or white, commonly stained and streaked ochre to rusty brown due to decomposition of disseminated pyrite.
Enumerated_Domain:
Enumerated_Domain_Value: unit Qkls
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of Kulshan caldera (early Pleistocene): Caldera-lake sedimentary deposits - Laminated to thin-bedded ashy mudstone, ash-dominated debris-flow deposits, and intercalated sheets of rockfall breccia. Ashy sediments that originally consisted predominantly of vitric shards are mostly well-lithified and rich in calcite, clays, and pyrite. Colors range from pale grey or tan to black, or, where altered, ochre to rusty brown. Debris-flow deposits are diamictic massive or graded beds 0.1-7 m thick, containing pumice, caldera-wall lithics, and mudstone intraclasts in an ashy matrix. Sheets of lithic breccia, poor in ash, 0.1-5 m thick, largely made up of angular clasts of argillite, sandstone, and conglomerate, alternate with ash-rich laminated mudstone. Unit has been widely stripped by erosion. Surviving sections dip gently toward middle of caldera or are locally disrupted by intrusive rhyodacite and andesite.
Enumerated_Domain:
Enumerated_Domain_Value:Qkig
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of Kulshan caldera (early Pleistocene): Ignimbrite of Swift Creek - Intracaldera rhyodacite ignimbrite (ash-flow tuff) filling Kulshan caldera. Mostly massive, but crudely stratified in top 100 m and near walls where myriad sheets of wall-collapse breccia are intercalated. Largely nonwelded but firmly indurated by groundwater and hydrothermal fluids. White to pale grey except where hydrothermally altered ochre to orange-brown. Pumice clasts are rarely larger than 10 cm and mostly smaller than 2 cm; nearly all are rhyodacite (72% SiO2) containing 10-15 wt % phenocrysts (plagioclase >> hypersthene _ hornblende > biotite > FeTi oxides > rounded quartz > apatite _ zircon). Andesitic pumice is also present but very sparse. Ignimbrite matrix is crystal-enriched (relative to pumice) and is poor in lithic fragments except near walls, where they are abundant. In addition to feeders for the postcaldera rhyodacite lavas (unit Qkrl), the ignimbrite is cut by at least 60 andesitic dikes and irregular intrusions, none of which are known to extend out of the caldera into surrounding wall rocks.
Enumerated_Domain:
Enumerated_Domain_Value: Qkmba
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of Kulshan caldera (early Pleistocene): Caldera-collapse megablocks - Partly shattered and sheared but quasi-coherent 0.1-to-1-km slide blocks of caldera-wall rock (unit Tcla) surrounded by intracaldera ignimbrite. Examples shown on printed map are labeled QKmb.
Enumerated_Domain:
Enumerated_Domain_Value: Qkmbn
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Rocks of Kulshan caldera (early Pleistocene): Caldera-collapse megablocks - Partly shattered and sheared but quasi-coherent 0.1-to-1-km slide blocks of caldera-wall rock (unit KJna) surrounded by intracaldera ignimbrite. Examples shown on printed map are labeled QKmb.
Enumerated_Domain:
Enumerated_Domain_Value: Thb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Hannegan Volcanics (Pliocene): Volcanic breccia-Mostly clinopyroxene-hornblende andesite clasts along with many clasts of older rocks in andesite tuff matrix. Many andesite dikes, sills and (or) flows.
Enumerated_Domain:
Enumerated_Domain_Value: Thmb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Hannegan Volcanics (Pliocene): Monolithologic breccia-Angular debris of older rocks, probably talus, and (or) debris-flow deposits. Mapped on north side of Ruth Mountain and above Sulphide Creek. The latter occurrence includes volcanic breccia, is outside the caldera, and may be of different origin.
Enumerated_Domain:
Enumerated_Domain_Value: Tht
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Hannegan Volcanics (Pliocene): Tuff-White to light-brown dacite tuff and welded tuff, some rhyolite tuff, and rare andesite tuff and flow rocks, commonly highly altered. Bedding obscure.
Enumerated_Domain:
Enumerated_Domain_Value: Tvr
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Other volcanic rocks: Volcanic rocks of Mount Rahm (Oligocene)-Dacitic to less commonly andesitic breccias, tuffs, and flows with some feldspathic sandstone and conglomerate interbeds. Welded dacite tuff common.
Enumerated_Domain:
Enumerated_Domain_Value: Tvbb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Other volcanic rocks: Volcanic rocks of Big Bosom Buttes (Oligocene): Breccia-Predominantly dacite breccia; minor tuff beds. Forms massive cliffs. Scattered clasts of older rocks, including light-colored granitic rocks.
Enumerated_Domain:
Enumerated_Domain_Value: Tvbd
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Other volcanic rocks: Volcanic rocks of Big Bosom Buttes (Oligocene): Dacite tuff-Biotite dacite tuff, commonly ash-flow tuff and bedded fine-grained tuff. Also includes dacite on Middle Peak.
Enumerated_Domain:
Enumerated_Domain_Value: Tvbm
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Other volcanic rocks: Volcanic rocks of Big Bosom Buttes (Oligocene): Monolithologic granite breccia-Angular blocks of biotite granite from a few cm to several meters across in a granitic sand matrix. Scattered volcanic fragments. Derived from granite of Pocket Peak phase (unit Tcp).
Enumerated_Domain:
Enumerated_Domain_Value: Tvpd
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Volcanic rocks of Pioneer Ridge (Oligocene): Dacite flows-Plagioclase- and quartz-phyric dacite. Mafic minerals altered to smectites.
Enumerated_Domain:
Enumerated_Domain_Value: Tvpb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: Volcanic rocks of Pioneer Ridge (Oligocene): Mudflow breccia-Clasts of dacitic volcanic rocks and abundant clasts of underlying metamorphic rocks. Also includes volcanic-lithic sandstone. Locally strongly thermally metamorphosed.
Enumerated_Domain:
Enumerated_Domain_Value: Tdt
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Tonalite of Cascade Pass dike (Miocene)-Medium-grained hornblende-biotite tonalite, hypidiomorphic granular with small glomeroporphyrocrysts of mafic minerals. CI = 7-26 (Tabor, 1961, p. 175; Ford and others, 1988, p. 34), mostly CI=15-17. Massive and coarsely jointed, with local areas of disseminated sulfide minerals. The dike has finer-grained, porphyritic, chilled margins; contact lit-par-lit complexes are common, and alteration is locally pervasive.
Enumerated_Domain:
Enumerated_Domain_Value: Tcla
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Lake Ann stock (Pliocene)-Medium-grained hypersthene-clinopyroxene quartz monzodiorite and quartz monzonite, locally with biotite and very minor hornblende. Normatively some is granodiorite; CI=12_19 (James, 1980). Euhedral biotite common near roof above Lake Ann.
Enumerated_Domain:
Enumerated_Domain_Value: Tcmi
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Miscellaneous granodiorite intrusions (Pliocene and/or Miocene)-Biotite granodiorite, micrographic, commonly altered, with much chlorite. As mapped comprises lithologically-similar stocks cropping out on the north side of Hagan Mountain, in Sulphide Creek, and upper Noisy Creek. Also includes fine-grained biotite pyroxene amphibole granodiorite stock on Bar Creek, which may be as young as middle Pleistocene (Hildreth and others, 2003).
Enumerated_Domain:
Enumerated_Domain_Value: Tcnm
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Quartz monzonite and granite of Nooksack cirque (Pliocene)-Quartz monzonite and granite with minor granodiorite and quarzt monzodiorite. Predominantly with uralitic hornblende and relict clinopyroxene. CI=7-15.
Enumerated_Domain:
Enumerated_Domain_Value: Tcrg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Granite of Ruth Mountain (Pliocene)-Biotite granite and granodiorite, commonly with large twinned perthite crystals. Minor hornblende. CI=4-17.
Enumerated_Domain:
Enumerated_Domain_Value: Tcid
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Quartz diorite and quartz monzodiorite of Icy Peak (Pliocene)-Biotite-clinopyroxene quartz diorite to quartz monzodiorite with minor hypersthene and uralite. Some rock is plagioclase-porphyritic. CI=15-32.
Enumerated_Domain:
Enumerated_Domain_Value: Tcgp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Granite porphyry of Egg Lake (Pliocene)-Hornblende and biotite granite and granodiorite porphyry with phenocrysts of quartz, plagioclase, and hornblende in a xenomorphic matrix of K-feldspar, quartz, and plagioclase. Compositionally heterogeneous and commonly altered.
Enumerated_Domain:
Enumerated_Domain_Value: Tcrgd
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Ruth Creek pluton (Miocene)-Biotite granodiorite, some granite and quartz monzodiorite, locally with quartz eyes as large as 1 cm in diameter; CI=3-7 (Tepper, 1991, p. 78), but mostly 4-5. Rare blocky hornblende with pyroxene cores.
Enumerated_Domain:
Enumerated_Domain_Value: Tcm
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Mineral Mountain pluton (Miocene)-Biotite granite. CI=3-7. Characterized by conspicuous quartz eyes several centimeters across which are glomerocrysts of rounded quartz grains with K-feldspar in the curved triangular interstices. Micrographic integrowths of K-feldspar and quartz common. Conspicuous chloritic alteration.
Enumerated_Domain:
Enumerated_Domain_Value: Tcwb
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Granite of western Bear Mountain (Miocene?)-Biotite granite and granodiorite, some with hornblende. Rock is heterogeneous; CI=2-12. Quartz eyes conspicuous. Rock is cut by numerous aplitic dikes (Tepper, 1991, p. 79).
Enumerated_Domain:
Enumerated_Domain_Value: Tcdcg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Granite of Depot Creek (Miocene)-Biotite-hornblende granite with relict clinopyroxene cores in hornblende. Forms a small stock below the Redoubt Glacier.
Enumerated_Domain:
Enumerated_Domain_Value: Tcrq
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Quartz monzodiorite of Redoubt Creek (Miocene)-Biotite-pyroxene-hornblende quartz monzodiorite, quartz monzonite, granite, granodiorite, and diorite, commonly altered, with pinkish cast. CI=3-20, but most CI=11-17. Some rocks are porphyritic allotriomorphic and vermicular; micrographic quartz is common (Tepper, 1991, p. 68).
Enumerated_Domain:
Enumerated_Domain_Value:Tcbx
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Intrusive breccia (Miocene and/or Oligocene)-On north ridge of Mount Blum, unit consists of alaskite and other intermediate plutonic rocks mixed with hypabyssal rocks in altered porphyroclastic xenomorphic and cataclastic matrix of rhyolitic composition; rocks are thermally metamorphosed. Breccia is cut by or marginal to a variety of silicic dike rocks. Above Luna Lake, gneiss, hypabyssal dike rocks, mafic schist, and country rock gneiss clasts with vuggy quartz, pyrite, and radial amphibole bursts. Near Tapto Lakes, mafic plutonic-rock clasts, such as diorite, are mixed with andesite clasts in an altered dacitic matrix (Moore, 1972, p. 49-50).
Enumerated_Domain:
Enumerated_Domain_Value: Tcsg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Mount Sefrit Gabbronorite of Tepper and others (1993) (Miocene)-Mostly olivine-bearing gabbronorite with minor two-pyroxene diorite, hornblende diorite, and quartz diorite. Rocks are dark, partly because of swarms of minute dark inclusions in calcic plagioclase (Tepper, 1985).
Enumerated_Domain:
Enumerated_Domain_Value: Tcpc
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Perry Creek phase (Miocene and Oligocene)-Mostly biotite-hornblende tonalite and granodiorite, commonly with relict clinopyroxene. Minor quartz monzodiorite and quartz diorite. Hornblende or biotite may predominate. Quartz is typically mesostasic. CI=8-22, but most are CI=12-19.
Enumerated_Domain:
Enumerated_Domain_Value: Tcpct
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Perry Creek phase (Miocene and Oligocene)-Mostly biotite-hornblende tonalite and granodiorite, commonly with relict clinopyroxene. Minor quartz monzodiorite and quartz diorite. Hornblende or biotite may predominate. Quartz is typically mesostasic. CI=8-22, but most are CI=12-19: Tectonized tonalite -Shattered and locally cataclastic to mylonitic, highly altered tonalite and granodiorite; mafic minerals chloritized. Also includes hornfels and shattered and recrystallized plutonic and hypabyssal rocks, with biotite, amphibole, plagioclase and quartz mosaics.
Enumerated_Domain:
Enumerated_Domain_Value: Tcbg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Biotite granodiorite of Little Beaver Creek (Oligocene)-Mostly hornblende-biotite granodiorite and minor granite, locally quartz and plagioclase phyric; CI=3-10.
Enumerated_Domain:
Enumerated_Domain_Value: Tccv
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Chilliwack valley phase (Oligocene)-Biotite-hornblende tonalite, granodiorite, and minor quartz diorite, commonly with subhedral plagioclase prisms in quartz mesostasis. Minor clinopyroxene; locally. CI=7-30, but mostly CI=15-20. As mapped, probably includes several plutons.
Enumerated_Domain:
Enumerated_Domain_Value: Tccvt
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Chilliwack valley phase (Oligocene)- Dark tonalite-Pyroxene-hornblende tonalite with distinctive dark vitreous appearance in outcrop.
Enumerated_Domain:
Enumerated_Domain_Value: Tcig
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Indian Mountain phase (Oligocene)-Biotite-hornblende granodiorite and granite, with minor quartz monzonite and quartz monzodiorite. CI=3-19, most CI=12-19. Texturally heterogeneous, some quartz or K-feldspar pheoncrystic but these minerals are generally mesostasic; locally granophyric. Rock is commonly pinkish and with chloritized hornblende and biotite. As mapped, probably includes several plutons.
Enumerated_Domain:
Enumerated_Domain_Value: Tcbr
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Baker River phase (Oligocene)-Mostly biotite hornblende granodiorite with some tonalite and quartz diorite, locally with clinopyroxene and hypersthene. Subhedral plagioclase in quartz mesostasis common. CI=7-25, but for most rocks in southern part CI=13-18 and, in Skagit Range, CI=17-20. Mostly tonalite, quartz diorite, and rare diorite in Skagit Range and in small pluton on American Border Peak; some diorite is hornfelsic. As mapped, probably includes several plutons.
Enumerated_Domain:
Enumerated_Domain_Value: Tcbrp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Price Glacier pluton-Biotite-hornblende quartz diorite with mesostasic quartz. CI=16-18. Tepper (1991) describes some of the rock making up this unit as part of his granodiorite of Ruth Mountain. Specific age uncertain.
Enumerated_Domain:
Enumerated_Domain_Value: Tcml
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Tonalite of Maiden Lake-Biotite-hornblende metatonalite and metaquartz diorite with highly altered plagioclase and biotite. Hypidiomorphic granular. Metamorphic minerals are chlorite, epidote, prehnite, pumpellyite, sericite and carbonate.
Enumerated_Domain:
Enumerated_Domain_Value: Tcsp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Silesia Creek pluton (Oligocene)-Biotite-hornblende granodiorite, quartz monzodiorite and quartz diorite with inclusions and layers of biotite granodiorite and granite; some granitic xenoliths as long as 200 m. CI=5-20. Quartz diorite displays prominent magmatic alignment of feldspar and mafic minerals.
Enumerated_Domain:
Enumerated_Domain_Value: Tcba
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Biotite alaskite of Mount Blum (Oligocene)-Medium-grained biotite alaskite (granite) with prominent perthite prisms, rare hornblende, locally quartz phyric. CI=1-4
Enumerated_Domain:
Enumerated_Domain_Value: Tcp
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Pocket Peak phase (Oligocene)-Biotite granite. Medium grained, hypidiomorphic granular. Commonly with quartz eyes, which are glomerocrysts of rounded quartz grains with K-feldspar in the curved triangular interstices. CI=1-5 mostly CI=3-5. As mapped, probably includes several plutons.
Enumerated_Domain:
Enumerated_Domain_Value: Tcht
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Heterogeneous tonalite and granodiorite of Middle Peak (Oligocene?)-Quartz diorite to biotite granite, mostly mafic-poor. Many rocks hornfelsic. Also includes amphibolite of unknown origin.
Enumerated_Domain:
Enumerated_Domain_Value: Tcdg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granodiorite of Mount Despair (Oligocene)-Biotite-hornblende granodiorite with minor tonalite, quartz diorite, and quartz monzodiorite. Conspicuous quartz eyes which are glomerocrysts of rounded quartz grains with K-feldspar in the curved triangular interstices. CI=7-20, but mostly CI=10-12; hornblende usually predominates.
Enumerated_Domain:
Enumerated_Domain_Value: Tcdga
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granodiorite of Mount Despair (Oligocene)- Agmatite-Swarms of dark rounded inclusions from 0,25m to several meters across composed of mafic biotite-hornblende quartz diorite and fine-grained tonalite in a lighter colored granodiorite and tonalite matrix.
Enumerated_Domain:
Enumerated_Domain_Value: Tcmg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Miscellaneous gabbros and diorites (Oligocene?)-Pyroxene-hornblende gabbro, diorite, and quartz diorite. Rocks contain much uralite. Mafic hornblende gabbro near Mount Spickard is mixed with granitic rocks A small body of pyroxene gabbro at Chilliwack Pass is not shown on the map.
Enumerated_Domain:
Enumerated_Domain_Value: Tcmge
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Miscellaneous gabbros and diorites (Oligocene?)- Inclusion-rich diorite of Ensawkwatch Creek-Layered hypersthene hornfels inclusions in diorite and quartz diorite. East of Pocket Peak.
Enumerated_Domain:
Enumerated_Domain_Value: Tcclg
Enumerated_Domain_Value_Definition: ROCKS OF THE CASCADE MAGMATIC ARC: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Gabbro of Copper Lake (Oligocene)-Oikocrystic hornblende gabbro surrounded by equigranular hornblende diorite. Some pyroxene in the diorite which is also zoned to quartz and biotite-bearing varieties. CI=25_40. Cumulous textures throughout. Description adopted from Tepper (1991, p. 20-27).
Enumerated_Domain:
Enumerated_Domain_Value: Tc
Enumerated_Domain_Value_Definition: LATE OROGENIC AND POST OROGENIC DEPOSITS: Chuckanut Formation (Eocene)-Mostly fluvial, plagioclase arkose, biotite-rich with minor muscovite, buff-weathering, medium- to thick-bedded, and minor interbeds of siltstone, mudstone, and very fine grained sandstone. Also includes minor pebble to cobble conglomerate. Conspicuous crossbeds, convolute bedding, and plant fossils. Sandstone is locally thinner bedded and more lithic. Ochre-colored silty beds near base of unit may be paleosols. Basal beds, where exposed, commonly include bull-quartz pebble conglomerate which appears to have been derived from the underlying Easton Metamorphic Suite.
Enumerated_Domain:
Enumerated_Domain_Value:Tys
Enumerated_Domain_Value_Definition: LATE OROGENIC AND POST OROGENIC DEPOSITS: Younger sandstone and conglomerate (middle Eocene or younger)-West of lower Bacon Creek, mostly coarse cobble conglomerate with clasts derived from the Marblemount pluton.
Enumerated_Domain:
Enumerated_Domain_Value: Tos
Enumerated_Domain_Value_Definition: LATE OROGENIC AND POST OROGENIC DEPOSITS: Older sandstone and conglomerate (age uncertain)-Thick- to thin-bedded fluviatile arkosic sandstone and interbedded argillite, siltstone, and very fine grained sandstone. Locally has conspicuous crossbeds, fossil leaves, and fossil logs. Basal beds commonly rich in angular fragments derived from underlying rocks. Southeast of Berdeen Lake, unit includes conglomerate with clasts of granitic rock, geenstone, gneiss, schist, phyllite, abundant well-rounded cobbles of quartzite, and minor sandstone and limestone. On Mount Despair, unit includes pebble to cobble conglomerate with clasts of gneiss, metachert, and minor pegmatite; intruded by granodiorite of Mount Despair, indicating unit age here is early Oligocene or older. Converted to biotite hornfels, commonly with cordierite and (or) andalusite, in proximity to younger plutons.
Enumerated_Domain:
Enumerated_Domain_Value: bc
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Conglomerate of Bald Mountain (Age uncertain)-Coarse polymictic conglomerate, chert-pebble conglomerate, grey lithic sandstone, and phyllitic black to silvery argillite. Polymictic conglomerate includes clasts of chert, argillite, green metatonalite, dacite, buff-weathering calcite-cemented quartzose sandstone, and rare bedded lithic sandstone. Clast-supported, pebbles and boulders well rounded. Clasts in conglomerates locally flattened and boudinaged. Rare siltstone and shale interbeds. East of Goat Mountain unit contains abundant fossil plant material.
Enumerated_Domain:
Enumerated_Domain_Value:bcs
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Conglomerate of Bald Mountain (Age uncertain)-Sandstone and argillite-Highly indurated, thin- to medium-bedded sandstone; beds generally disrupted. Sandstone poorly sorted, rich in chert clasts. Black argillite, flaky to slaty. Minor chert-pebble conglomerate beds.
Enumerated_Domain:
Enumerated_Domain_Value: Kjb
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Bell Pass mlange, undivided-Disrupted argillite, slate, phyllite, sandstone, semischist, ribbon chert, and basalt of the Elbow Lake Formation of Brown and others (1987), with tectonic blocks of meta-igneous rocks, gneiss, schist, ultramafic rocks, and marble. Sandstone commonly lithic subquartzose, either volcanic rich and(or) chert rich; argillite is mostly scaly, and grades into slate and phyllite. Greenstones are recrystallized basalt, mafic tuff, diabase, and gabbro and commonly make the most prominent outcrops. Metamorphic minerals in greenstones and metasedimentary rocks are chlorite, epidote, albite, pumpellyite, rare actinolite, carbonate minerals, and indistinct masses of pumpellyite and(or) lawsonite.
Enumerated_Domain:
Enumerated_Domain_Value: bb
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Blueschist of Baker Lake (Cretaceous to Jurassic metamorphic age)-Metabasaltic rocks, meta-ribbon chert, and marble, characterized by distinctive (for the Northwest Cascades System) high-pressure/low-temperature crossite, lawsonite, some aragonite metamorphism. Metabasaltic rocks range from very fine grained schistose metatuff to incipiently recrystallized basalt.
Enumerated_Domain:
Enumerated_Domain_Value: byan
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age)- Non-gneissic rocks-Predominantly massive metagabbro, metadiabase, metatonalite; locally includes minor gneissic igneous rocks. May include late Paleozoic or Mesozoic intrusive rocks similar to units MzPzg and MzPzt.
Enumerated_Domain:
Enumerated_Domain_Value: byag
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age)- Gneissic rocks-Layered siliceous gneiss, quartz-rich pyroxene gneiss, gneissic megacrystic granite, and minor marble, as well as associated metagabbro, metadiabase, and metatonalite. Gneissic granite with K-feldspar megacrysts known only from Kidney Creek. Includes areas lacking siliceous gneiss, but with strongly mylonitic quartz-rich meta-igneous rocks. Talus blocks east of Park Butte grade from graphitic marble to quartz-rich pyroxene gneiss. Most rocks are highly strained and recrystallized in amphibolite or upper-greenschist facies. Locally, intruded by associated metagabbro, metadiabase, and metatonalite.
Enumerated_Domain:
Enumerated_Domain_Value: bu
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age): Ultramafic rocks-Serpentinite and partially serpentinized dunite and harzburgite.
Enumerated_Domain:
Enumerated_Domain_Value: but
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age): Ultramafic rocks: Twin Sisters Dunite of Ragan (1961; 1963)-Dunite and harzburgite, locally serpentinized.
Enumerated_Domain:
Enumerated_Domain_Value: bup
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Ultramafic rocks: Pyroxenite-Massive pyroxenite consisting of mostly enstatite and minor olivine and serpentine minerals.
Enumerated_Domain:
Enumerated_Domain_Value: bv
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Vedder Complex of Armstrong and others (1983) (Permian metamorphic age)-Amphibolite, blueschist, micaceous quartzite, and mica-quartz schist. Some garnet. Amphiboles are hornblende, actinolite, and barroisite. Some amphibolites contain albite porphyroblasts.
Enumerated_Domain:
Enumerated_Domain_Value: bm
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Marble-Coarsely crystalline marble. Outcrops near Anderson Creek.
Enumerated_Domain:
Enumerated_Domain_Value: KJrs
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Slate of Rinker Ridge (Cretaceous to Late Jurassic)-Slate and semischist similar to the semischist of Mount Josephine, but less thoroughly recrystallized. Metamorphic minerals are chlorite and sericite. Exposed only in lower Skagit River valley.
Enumerated_Domain:
Enumerated_Domain_Value: MzPzg
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Gabbroic intrusions (Mesozoic and Paleozoic)-Metagabbro, metadiabase, and minor mafic metatonalite. Generally highly cataclastically deformed and altered to chlorite, epidote, albite, pumpellyite, and carbonate minerals. Many rocks with very fine grained high-relief minerals replacing plagioclase, probably pumpellyite and (or) lawsonite.
Enumerated_Domain:
Enumerated_Domain_Value: MzPzt
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Tonalitic intrusions (Mesozoic and Paleozoic)-Metatonalite, commonly strongly cataclastically deformed. Metatonalite in the Cultus Formation of Daly (1912) consists of albitic plagioclase and quartz, commonly in micrographic intergrowths, with less than10% chlorite, epidote, and opaque ore minerals, which have replaced hornblende and (or) biotite.
.
Enumerated_Domain:
Enumerated_Domain_Value: MxPzcc
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) and Cultus Formation of Brown and others (1987) undivided (Mesozoic and Paleozoic).
.
Enumerated_Domain:
Enumerated_Domain_Value: JTrc
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Cultus Formation of Brown and others (1987) (Early Jurassic and Late Triassic)-Tuffaceous siltstone, sandstone, and argillite, mostly thin bedded to finely laminated. Also includes much rhythmite. Medium-bedded sandstone on Loomis Mountain.
Enumerated_Domain:
Enumerated_Domain_Value: JTrcd
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Cultus Formation of Brown and others (1987) (Early Jurassic and Late Triassic): Dacite and associated tuffaceous sedimentary rocks-Generally light green vitreous metadacite with microphyric plagioclase.
Enumerated_Domain:
Enumerated_Domain_Value: PDc
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian)-Mostly well bedded gray to brown and black argillite and volcanic subquartzose sandstone with minor pebble conglomerate, marble, and rare chert. Also basalt, andesite, dacite, volcanic breccia, and tuff. In sedimentary rocks, graded beds, scour structures, and load casts locally prominent; also includes some rhythmite. Locally sandstone beds strongly disrupted in argillite matrix. Rocks grade rapidly from little-deformed to phyllitic with a pronounced foliation generally subparallel to bedding. Most rocks partially recrystallized in sub-greenschist facies.
Enumerated_Domain:
Enumerated_Domain_Value: Pcmv
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Volcanic rocks of Mount Herman (Permian)-Breccia, pillows, pillow breccia, and associated volcanic sandstone of basalt or basaltic andesite composition. Most volcanic rocks are plagioclase-phyric, some are amygdaloidal. Unit weathers orange-brown; dark- to light-green on fresh surfaces.
Enumerated_Domain:
Enumerated_Domain_Value: Pcms
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Sedimentary rocks of Mount Herman (Permian)-Volcanic sandstone, siliceous siltstone, argillite, and limestone. Generally well bedded and with little foliation.
Enumerated_Domain:
Enumerated_Domain_Value: PDcv
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Volcanic rocks (Permian, Carboniferous, and Devonian)-Mostly basaltic greenstone, with subordinate andesite and rare dacite or rhyolite. Breccia and tuff predominate. Mafic volcanic rocks commonly with relict plagioclase and clinopyroxene in a chlorite-epidote matrix, commonly with carbonate minerals. Plagioclase is mostly recrystallized as albite. Also includes some gabbro and diabase.
Enumerated_Domain:
Enumerated_Domain_Value: PDcl
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Welker Peak and Excelsior nappes: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Limestone and marble (Permian, Carboniferous, and Devonian)-Mostly coarsely crystalline, gray to black, and petroliferous limestone and marble; occurs in small isolated pods and blocks; locally fossiliferous.
Enumerated_Domain:
Enumerated_Domain_Value: Kg
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Gabbroic intrusions (Early Cretaceous?)-Metagabbro with relict clinopyroxene. Altered to chlorite, epidote, albite, carbonate minerals, and montmorillonoids after olivine(?). Intrudes the Nooksack Formation at the toe of the Roosevelt Glacier. Lithologically similar dikes (unmapped) form swarm southeast of intrusion.
Enumerated_Domain:
Enumerated_Domain_Value: KJna
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Nooksack Formation (Early Cretaceous to Middle Jurassic)-Described here as sedimentary rocks, although much of the unit is incipiently recrystallized (Brown and others, 1981, 1987): Argillite and sandstone-Predominantly massive to laminated black argillite. Locally with thin to medium beds of mostly lithic-volcanic sandstone. Also includes minor limy siltstone and limestone. Some beds heavily bioturbated. Local detrital muscovite. Cleavage weakly developed north of Mount Baker, but pronounced to south. Argillite near top of the Wells Creek Volcanic Member rich in pyrogenic plagioclase and quartz phenocrysts. Belemnite molds characteristic.
Enumerated_Domain:
Enumerated_Domain_Value: KJnt
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Nooksack Formation (Early Cretaceous to Middle Jurassic)-Described here as sedimentary rocks, although much of the unit is incipiently recrystallized (Brown and others, 1981, 1987): Thick-bedded sandstone and argillite-Volcanic lithic sandstone with minor interbeds of argillite.
Enumerated_Domain:
Enumerated_Domain_Value: KJng
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Nooksack Formation (Early Cretaceous to Middle Jurassic)-Described here as sedimentary rocks, although much of the unit is incipiently recrystallized (Brown and others, 1981, 1987): Grit and thick-bedded sandstone-Poorly rounded to angular small pebble conglomerate and volcanic-lithic sandstone. Minor interbeds of argillite.
Enumerated_Domain:
Enumerated_Domain_Value: KJnv
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Nooksack Formation (Early Cretaceous to Middle Jurassic)-Described here as sedimentary rocks, although much of the unit is incipiently recrystallized (Brown and others, 1981, 1987): Volcanic-rich conglomerate and sandstone-Massive to locally well-bedded pebble to boulder conglomerate rich in dacite and tonalite clasts. Boulders as large as 1 m diameter. Also includes some well-bedded volcanic sandstone and tuff. Belemnite fragments common.
Enumerated_Domain:
Enumerated_Domain_Value: Jnw
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Rocks of the Autochthon: Nooksack Formation (Early Cretaceous to Middle Jurassic)-Described here as sedimentary rocks, although much of the unit is incipiently recrystallized (Brown and others, 1981, 1987): Wells Creek Volcanic Member -Incipiently recrystallized dacite, dacite breccia and tuff, and andesite, with some argillite interbeds. Metamorphic pumpellyite, chlorite, epidote, and albite.
Enumerated_Domain:
Enumerated_Domain_Value: Kjs
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Shuksan nappe: Semischist and phyllite of Mount Josephine (Early Cretaceous?)-Graphitic sericite-plagioclase-quartz phyllite and semischistose lithic-volcanic subquartzose sandstone. Protolith sediments thin to medium bedded. Locally highly contorted, but generally lacks prominent multiple crenulations characteristic of the Darrington Phyllite.
Enumerated_Domain:
Enumerated_Domain_Value: KJsu
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Shuksan nappe: Semischist and phyllite of Mount Josephine (Early Cretaceous?): Ultramafic rocks-Serpentinite and silica-carbonate rock.
Enumerated_Domain:
Enumerated_Domain_Value: Ked
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Shuksan nappe: Easton Metamorphic Suite (Early Cretaceous): Darrington Phyllite (Early Cretaceous)-Silvery to black quartzose graphitic phyllite, with minor greenschist, metachert, and muscovite-quartz-albite schist. Commonly with multiple foliations and crenulation lineations; abundant quartz veins. Dominant foliation is commonly second-generation or later. Mineralogy is quartz-albite-white mica-chlorite, + lawsonite, garnet, and margarite. Thin sections show well-crystallized white mica: fine grain size in hand sample reflects tendency of rock to break along post-peak metamorphic pressure-solution cleavage surfaces along which fine insoluble material has concentrated. Locally interlayered with unit Kes.
Enumerated_Domain:
Enumerated_Domain_Value: Kes
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Shuksan nappe: Easton Metamorphic Suite (Early Cretaceous): Shuksan Greenschist (Early Cretaceous)-Greenschist and lesser blueschist. Locally includes iron- and manganese-rich quartzite (metachert), greenstone, and graphitic phyllite. Rare relict clinopyroxene in some greenschist. Schist varieties include dark-green, fine-grained, muscovite-chlorite-epidote-actinolite schist with common knots and masses of epidote, quartz-albite-chlorite veins, and relict pillow or breccia structure, and well-layered light-green chlorite-rich schist that appears to be metamorphosed tuff. Well-layered, Fe3+-poor metatuffs with conspicuous patches of albite relict after plagioclase phenocrysts are locally abundant. Blueschist bears Na-amphibole (crossite-soda actinolite-riebeckite) + hematite (Brown, 1986). Locally interlayered with unit Ked.
Enumerated_Domain:
Enumerated_Domain_Value: Keu
Enumerated_Domain_Value_Definition: ROCKS WEST OF THE STRAIGHT CREEK FAULT: Northwest Cascades System: Shuksan nappe: Easton Metamorphic Suite (Early Cretaceous): Ultramafic rock (Early Cretaceous)-Serpentinite, silica-carbonate rock, and forsterite-enstatite-tremolite-chlorite rock on Mount Sefrit (Tepper, 1985) and west of Grandy Creek.
Enumerated_Domain:
Enumerated_Domain_Value: TKsgp
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): -Heterogeneous complex of supracrustal schist, amphibolite, and rare marble and ultramafic rocks intruded in a lit-par-lit fashion by mostly hornblende-biotite and biotite-tonalite orthogneiss. Orthogneiss bodies range from a few centimeters thick in the banded gneisses to several kilometers thick in the mapped orthogneiss. Abundant deformed dikes and sills of light-colored pegmatitic tonalite and lineated granite: Granite pegmatite -Granite pegmatite (associated with unit TKeb) in mostly layer-parallel sills and dikes; country rock sparse to absent between multiple intrusions. Quartz in pegmatite generally highly strained, mylonitic to blastomylonitic.
Enumerated_Domain:
Enumerated_Domain_Value: TKsbg
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Banded gneiss, mostly biotite gneiss-Biotite schist, biotite-garnet schist, biotite paragneiss (some garnet, cummingtonite), hornblende-biotite paragneiss, gneissic hornblende-biotite tonalite, and tonalite gneiss. Strongly layered rocks with minor amphibolite gneiss, and hornblende schist. Commonly strongly migmatitic with concordant and crosscutting light-colored dikes of foliated, lineated, fine-grained to pegmatitic leucotonalite and lineated granite and granodiorite.
Enumerated_Domain:
Enumerated_Domain_Value: TKsbga
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Banded gneiss, mostly amphibole gneiss and amphibolite-Hornblende and biotite-hornblende paragneiss, gneissic amphibolite, hornblende schist, biotite schist and paragneiss, and tonalite gneiss. Rare marble. In some mapped areas, hornblendic rocks are conspicuous but may not be dominant. Commonly strongly migmatitic with concordant and crosscutting light-colored dikes of foliated, lineated, fine-grained to pegmatitic leucotonalite and lineated granite and granodiorite.
Enumerated_Domain:
Enumerated_Domain_Value: TKso
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss-Gneissic hornblende-biotite tonalite. Relatively uniform crystalloblastic granitoid gneiss with rare relict euhedral oscillatory-zoned plagioclase crystals. Hornblende or biotite may predominate. Garnet locally. Quartz and biotite commonly moderately to highly strained. Locally migmatitic with concordant and crosscutting light-colored dikes of foliated, lineated, fine-grained to pegmatitic leucotonalite.
Enumerated_Domain:
Enumerated_Domain_Value: TKsom
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss: Mafic orthogneiss-Garnet-hornblende diorite orthogneiss above Diablo Lake. Also includes amphibolite and hornblendite.
Enumerated_Domain:
Enumerated_Domain_Value: TKsoa
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss: Mafic migmatite-Heterogeneous hornblende tonalite migmatite and orthogneiss rich in slivers of hornblendite and amphibolite east of Snowfield Peak. Cross-cutting dikes of light-colored, fine-grained to pegmatitic, foliated and lineated tonalite and lineated granite and granodiorite.
Enumerated_Domain:
Enumerated_Domain_Value: TKsn
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss of The Needle-Hornblende tonalite to granodiorite orthogneiss with distinctive texture of approximately 1-mm equant crystals forming centimeter size patches rich in quartz, plagioclase, hornblende, or biotite. Dominant foliation locally axial-planar to small folds of an earlier foliation.
Enumerated_Domain:
Enumerated_Domain_Value: Tksu
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Ultramafic rocks-Harzburgite tectonite, talc-tremolite schist, anthophyllite-talc-tremolite schist, chlorite-rich blackwall, and retrograde serpentinite.
Enumerated_Domain:
Enumerated_Domain_Value: TKsm
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Marble and calcsilicate rocks.
Enumerated_Domain:
Enumerated_Domain_Value: TKho
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the tonalitic group: Orthogneiss of Haystack Creek (Middle Eocene to Late Cretaceous)-Hornblende biotite gneiss with blotchy patches of aggregate mafic minerals.
Enumerated_Domain:
Enumerated_Domain_Value: TKmo
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the tonalitic group: Orthogneiss of Marble Creek (Middle Eocene to Late Cretaceous)-Biotite tonalite to granodiorite gneiss with minor hornblende, muscovite, and well-formed igneous(?) epidote. Ranges from granitoid gneiss with intergranular quartz and relict euhedral oscillatory zoned plagioclase to highly strained flaser gneiss with anastomosing mylonite with quartz and biotite. Pluton is rich in screens and rafts of supracrustal schists and pods of ultramafic rocks.
Enumerated_Domain:
Enumerated_Domain_Value: TKto
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the tonalitic group: Orthogneiss of Mount Triumph (Tertiary and Late Cretaceous)-Gneissic medium-grained biotite-hornblende tonalite. Epidote locally intergrown with hornblende and biotite. Weak foliation and lineation and common cataclasis. Contact metamorphism by adjacent Chilliwack batholith has annealed some textures of earlier deformation.
Enumerated_Domain:
Enumerated_Domain_Value: TKeb
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous)-Biotite-hornblende monzodiorite to biotite granodiorite gneiss, rare tonalite and quartz diorite (Ford and others, 1988, p. 107-108). Medium-grained subhedral to euhedral sodic plagioclase commonly filled with epidote or clinozoisite and set in a crystalloblastic to mylonitic matrix of quartz, K-feldspar, hornblende, biotite, and epidote; accessory sphene, apatite, zircon, and opaque oxides; commonly well -aligned prismatic aggregates of hornblende and biotite, but in many rocks mafic minerals are aligned in a streaky planar fabric. Common mafic enclaves locally define strong flattening and weak strike-parallel elongation. Gradational over several 100 meters into unit TKef.
Enumerated_Domain:
Enumerated_Domain_Value: TKef
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous): Flaser gneiss border zone-Fine- to medium-grained biotite-hornblende metatonalite and metagranodiorite flaser gneiss, with augen of quartz and plagioclase or simple sodic plagioclase mosaic and rare filled plagioclase crystals set in mylonitic fabric of finer-grained quartz, plagioclase, and mafic minerals.
Enumerated_Domain:
Enumerated_Domain_Value: TKbl
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Hidden Lake stock (Middle Eocene to Late Cretaceous)-Biotite metatonalite with relict hypidiomorphic granular texture. Rocks are granodiorite based on CIPW normative minerals and (18O values greater than 10 (Ford and others, 1988, p. 26). Plagioclase mostly filled with well-crystallized metamorphic epidote and muscovite; some grain margins have recrystallized and quartz is sutured. Some K-feldspar is microcline. Rock is massive and sharply intrusive.
Enumerated_Domain:
Enumerated_Domain_Value: TKao
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Orthogneiss of Alma Creek (Middle Eocene to Late Cretaceous)-Biotite leucogranodiorite and leucotonalite gneiss, with minor muscovite. Hypidiomorphic granular with highly strained quartz; biotite commonly decussate. CI<10. Local 2 to 4 -cm diameter orbicules are biotite which tangentially rims quartzofeldspathic cores. Some small irregular bodies northwest of Skagit River are not shown.
Enumerated_Domain:
Enumerated_Domain_Value: TKns
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Napeequa Schist (Middle Eocene to Late Cretaceous)-Predominantly fine-grained hornblende-mica schist, mica-quartz schist, hornblende schist, amphibolite, garnet-biotite schist, and minor hornblende-zoisite schist, hornblende garbenschiefer, calc-silicate schist, marble, and ultramafic rocks. In the Cascade River area and in the Straight Creek Fault zone, phyllitic muscovite-chlorite-quartz schist predominates. Rocks are mostly white, tan, brown to black, locally greenish with conspicuous compositional banding. Fine lamellar foliation, locally blastomylonitic. On outcrop scale the schist is isoclinally folded, commonly crenulated; small crinkle folds of prominent foliation surfaces.
Enumerated_Domain:
Enumerated_Domain_Value: Kns
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Napeequa Schist (Late Cretaceous)-Predominantly fine-grained hornblende-mica schist, mica-quartz schist, hornblende schist, amphibolite, garnet-biotite schist, and minor hornblende-zoisite schist, hornblende garbenschiefer, calc-silicate schist, marble, and ultramafic rocks. In the Cascade River area and in the Straight Creek Fault zone, phyllitic muscovite-chlorite-quartz schist predominates. Rocks are mostly white, tan, brown to black, locally greenish with conspicuous compositional banding. Fine lamellar foliation, locally blastomylonitic. On outcrop scale the schist is isoclinally folded, commonly crenulated; small crinkle folds of prominent foliation surfaces.
Enumerated_Domain:
Enumerated_Domain_Value: TKnu
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Napeequa Schist (Middle Eocene to Late Cretaceous): Ultramafic rocks-Serpentinite, talc-magnesite schist, talc schist, tremolite-talc schist, and olivine-talc rocks.
Enumerated_Domain:
Enumerated_Domain_Value: Knu
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Napeequa Schist (Late Cretaceous): Ultramafic rocks-Serpentinite, talc-magnesite schist, talc schist, tremolite-talc schist, and olivine-talc rocks.
Enumerated_Domain:
Enumerated_Domain_Value: TKcs
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Cascade River Schist (Middle Eocene to Late Cretaceous)-Mostly fine grained, highly fissile, green, brown, and black micaceous schist ranging from phyllitic sericite-quartz schist to granoblastic biotite- and muscovite-biotite-quartz-albite schist, hornblende-biotite-andesine schist, garbenschiefer, fine-grained amphibolite, and fine-grained paragneiss. Many rocks have garnet, less commonly staurolite and kyanite. Rare chloritoid. Calcareous mica schist locally. Hornblende is commonly blue green. Relict clastic textures common in metasandstone; unit also includes small-pebble metaconglomerate.
Enumerated_Domain:
Enumerated_Domain_Value: Kcs
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Cascade River Schist (Late Cretaceous)-Mostly fine grained, highly fissile, green, brown, and black micaceous schist ranging from phyllitic sericite-quartz schist to granoblastic biotite- and muscovite-biotite-quartz-albite schist, hornblende-biotite-andesine schist, garbenschiefer, fine-grained amphibolite, and fine-grained paragneiss. Many rocks have garnet, less commonly staurolite and kyanite. Rare chloritoid. Calcareous mica schist locally. Hornblende is commonly blue green. Relict clastic textures common in metasandstone; unit also includes small-pebble metaconglomerate.
Enumerated_Domain:
Enumerated_Domain_Value: TKcc
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Cascade River Schist (Middle Eocene to Late Cretaceous): Metaconglomerate-Gray to dark-green rocks ranging from boulder conglomerate with weak foliation to highly schistose rocks in which clasts are so highly attenuated that they are only visible on surfaces cut perpendicular to fabric lineation. Identifiable clast protoliths are quartzite, volcanic rocks, and granitoid rocks, including rocks derived from the protolith of the Marblemount pluton.
Enumerated_Domain:
Enumerated_Domain_Value: Kcc
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Cascade River Schist (Late Cretaceous): Metaconglomerate-Gray to dark-green rocks ranging from boulder conglomerate with weak foliation to highly schistose rocks in which clasts are so highly attenuated that they are only visible on surfaces cut perpendicular to fabric lineation. Identifiable clast protoliths are quartzite, volcanic rocks, and granitoid rocks, including rocks derived from the protolith of the Marblemount pluton.
Enumerated_Domain:
Enumerated_Domain_Value: Kcmv
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Cascade River Schist (Middle Eocene to Late Cretaceous): Metavolcanic rocks-Fine-grained leucogreenschist, commonly with relict highly flattened phenocrysts of plagioclase or mafic minerals.
Enumerated_Domain:
Enumerated_Domain_Value: Kmd
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Marblemount pluton (Middle Eocene to Late Cretaceous)-Meta-quartz diorite and metatonalite and tonalitic gneiss; light-colored metatonalite dikes. Locally includes unmetamorphosed hornblende tonalite north of Skagit River. Rocks have CI =16-54 (Ford and others, 1988), are medium-grained, pale green, have numerous anastomosing zones rich in chlorite, epidote, and actinolitic hornblende, and vary from massive with relict hypidiomorphic granular texture to highly foliate and mylonitic. Plagioclase commonly transformed to unzoned, complexly twinned albite filled with epidote and (or) white mica.
Enumerated_Domain:
Enumerated_Domain_Value: Kmf
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Chelan Mountains terrane: Marblemount pluton (Middle Eocene to Late Cretaceous): Flaser gneiss border zone-Dark-colored epidote-chlorite-muscovite-quartz-plagioclase flaser gneiss, locally with chlorite schist. Subhedral to subidioblastic sodic plagioclase in a foliate matrix, locally with biotite.
Enumerated_Domain:
Enumerated_Domain_Value: TKhr
Enumerated_Domain_Value_Definition: ROCKS IN THE ROSS LAKE FAULT ZONE: Ruby Creek Heterogeneous Plutonic Belt of Misch (1966) (Middle Eocene to Late Cretaceous)-Heterogeneous gabbro to granodiorite in small masses and dikes. Grain size and composition varies considerably on an outcrop scale. Some rocks cataclastically foliated. Plutons of the belt intrude the phyllite and schist of Little Jack Mountain and are commonly rich in inclusions of the country rock. Also includes much medium-colored fine- to medium-grained, locally cataclastic, hornblende-biotite tonalite and abundant light-colored hornblende-biotite tonalite to granodiorite.
Enumerated_Domain:
Enumerated_Domain_Value: TKhri
Enumerated_Domain_Value_Definition: ROCKS IN THE ROSS LAKE FAULT ZONE: Ruby Creek Heterogeneous Plutonic Belt of Misch (1966) (Middle Eocene to Late Cretaceous): Prominent inclusions of mafic metagabbro and ultramafic rocks-Similar to TKhr, with prominent inclusions of mafic and ultramafic components of the Skymo Complex of Wallace (1976).
Enumerated_Domain:
Enumerated_Domain_Value: TKhrd
Enumerated_Domain_Value_Definition: ROCKS IN THE ROSS LAKE FAULT ZONE: Ruby Creek Heterogeneous Plutonic Belt of Misch (1966) (Middle Eocene to Late Cretaceous): Diorite-Pyroxene metadiorite, highly altered, locally cataclastic.
Enumerated_Domain:
Enumerated_Domain_Value: TKs
Enumerated_Domain_Value_Definition: ROCKS IN THE ROSS LAKE FAULT ZONE: Skymo Complex of Wallace (1976) (Middle Eocene to Late Cretaceous)-Metamorphosed troctolite, gabbronorite, and anorthosite intruded by irregular patches and veins of lighter colored medium- to coarse-grained gabbro and rare tonalitic pegmatite. Gabbronorite locally grades to pyroxenite. Troctolite and gabbronorite weather orange-brown. Oikocrystic orthopyroxene in gabbronorite. Troctolite, gabbronorite, and anorthosite weakly layered; cumulate origin is probable. Unit is highly faulted and cut by mylonitic zones.
Enumerated_Domain:
Enumerated_Domain_Value: TKsf
Enumerated_Domain_Value_Definition: ROCKS IN THE ROSS LAKE FAULT ZONE: Skymo Complex of Wallace (1976) (Middle Eocene to Late Cretaceous): Fine-grained granulites-Interlayered calc-silicate gneiss, garnet plagioclase schist, hypersthene-plagioclase gneiss, and orthogneiss (Hyatt and others, 1996).
Enumerated_Domain:
Enumerated_Domain_Value: TKlp
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Little Jack terrane: Phyllite and schist of Little Jack Mountain (Middle Eocene to Late Cretaceous)-Mostly quartz-mica phyllite and biotite schist with local staurolite, garnet, andalusite, and sillimanite. Rare ribbon chert, local marble, and ubiquitous pods of metapyroxenite, talc-bearing metaperidotite, and serpentinite. Local amphibolite and hornblende-biotite schist. Biotite commonly porphyroblastic. Intruded by dacite porphyry dikes ranging from undeformed to mylonitic with strong, mostly northwest-trending, stretching lineation.
Enumerated_Domain:
Enumerated_Domain_Value: JTrhgs
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Hozomeen terrane: Hozomeen Group (Mesozoic and Paleozoic): Greenstone, clastic sedimentary rock, limestone, and chert (Middle Jurassic to Late Triassic)-Heterogeneous discontinuously bedded greenstone, graywacke, argillite, marble, and ribbon chert. Local chaotic mixing suggestive of deposition by submarine landslides. Greenstones commonly derived from Ti-rich basalt, locally with well-developed pillows. Partially recrystallized to prehnite-pumpellyite facies. Limestones mostly coarsely recrystallized, gray, and in 0.1- to 10-m pods. Deformational fabric ranges from none to (mostly) incipient slaty cleavage. Description modified from Haugerud (1985). Unit JTrhgs corresponds to the uppermost of four units described by McTaggart and Thompson (1967).
Enumerated_Domain:
Enumerated_Domain_Value: Trhc
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Hozomeen terrane: Hozomeen Group (Mesozoic and Paleozoic): Chert (Late and Middle Triassic)-Mostly ribbon chert and slaty argillite with minor greenstone and marble. Probably equivalent to third highest of four units described by McTaggart and Thompson (1967).
Enumerated_Domain:
Enumerated_Domain_Value: Pzhg
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Hozomeen terrane: Hozomeen Group (Mesozoic and Paleozoic): Greenstone with minor argillite, chert, and limestone (Permian and Pennsylvanian)-Mostly pillow basalt, pillow breccia, flows, and minor basaltic tuff, with minor argillite, volcanic lithic sandstone, ribbon chert, and limestone. Partially recrystallized to prehnite-pumpellyite facies. Probably corresponds to second highest of four units described by McTaggart and Thompson (1967).
Enumerated_Domain:
Enumerated_Domain_Value: Pzhgl
Enumerated_Domain_Value_Definition: ROCKS BETWEEN THE STRAIGHT CREEK FAULT AND ROSS LAKE FAULT ZONE: Hozomeen terrane: Hozomeen Group (Mesozoic and Paleozoic): Greenstone with minor argillite, chert, and limestone (Permian and Pennsylvanian): Limestone, chert, and minor greenstone and metatuff-Mostly gray, well-recrystallized limestone.
Enumerated_Domain:
Enumerated_Domain_Value: wa
Enumerated_Domain_Value_Definition: water.
Enumerated_Domain:
Enumerated_Domain_Value: gl
Enumerated_Domain_Value_Definition: glacier.
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Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Perimeter is always zero for point coverages. Values are automatically generated.
Attribute:
Attribute_Label: MBISOFOSS#
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: MBISOFOSS-ID
Attribute_Definition: User-defined feature number.
Attribute_Definition_Source: ESRI
Attribute
Attribute_Label: PTTYPE
Attribute_Definition: Location of sample dated by radiometric or fission track methodes, and locations of reported fossils..
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: isoage
Enumerated_Domain_Value_Definition: radiometric or fission-track age. See Table 3 in published text keyed to sample number (http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: foss loc
Enumerated_Domain_Value_Definition: Fossil locality with identified fossil. See Table 2 in published text keyed to sample number (http://pubs.usgs.gov/imap/i2660/
Attribute:
Attribute_Label: SAMPNO
Attribute_Definition: Field number of rock sample analysed for age determination or containing fossils
Attribute_Definition_Source: Author
Attribute:
Attribute_Label: DESCRIPTION
Attribute_Definition: additional information about sample, includes, comments on lithology, age, fossils, minerals analysed for radiometric age etc.
Attribute:
Attribute_Label: AGE
Attribute_Definition: age(s) of samples dated by radimetric or fission track methodes
Attribute:
Attribute_Label: REFERENCE
Attribute_Definition: bibliographic reference for age of sample; see References Cited in map text (http://pubs.usgs.gov/imap/i2660/)
Attribute:
Attribute_Label: MAPNO
Attribute_Definition: number on printed map; keyed to Tables 2 or 3 respectively (see http://pubs.usgs.gov/imap/i2660/)
Attribute:
Attribute_Label: UNIT
Attribute_Definition: Source unit of sample.
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: AlmaCr pluton
Enumerated_Domain_Value_Definition: Orthogneiss of Alma Creek (Middle Eocene to Late Cretaceous)-Biotite leucogranodiorite and leucotonalite gneiss, with minor muscovite. Hypidiomorphic granular with highly strained quartz; biotite commonly decussate. CI<10. Local 2 to 4 -cm diameter orbicules are biotite which tangentially rims quartzofeldspathic cores.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: B.granodi.LittleBeav
Enumerated_Domain_Value_Definition: Biotite granodiorite of Little Beaver Creek (Oligocene)-Mostly hornblende-biotite granodiorite and minor granite, locally quartz and plagioclase phyric; CI=3-10
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: BakerLk.blueschist
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Blueschist of Baker Lake (Cretaceous to Jurassic metamorphic age)-Metabasaltic rocks, meta-ribbon chert, and marble, characterized by distinctive (for the Northwest Cascades System) high-pressure/low-temperature crossite, lawsonite, some aragonite metamorphism. Metabasaltic rocks range from very fine grained schistose metatuff to incipiently recrystallized basalt
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Bell Pass mlange, undivided-Disrupted argillite, slate, phyllite, sandstone, semischist, ribbon chert, and basalt of the Elbow Lake Formation of Brown and others (1987), with tectonic blocks of meta-igneous rocks, gneiss, schist, ultramafic rocks, and marble. Sandstone commonly lithic subquartzose, either volcanic rich and(or) chert rich; argillite is mostly scaly, and grades into slate and phyllite. Greenstones are recrystallized basalt, mafic tuff, diabase, and gabbro and commonly make the most prominent outcrops. Metamorphic minerals in greenstones and metasedimentary rocks are chlorite, epidote, albite, pumpellyite, rare actinolite, carbonate minerals, and indistinct masses of pumpellyite and(or) lawsonite
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Biot. alaskite of Mt
Enumerated_Domain_Value_Definition: Biotite alaskite of Mount Blum (Oligocene)-Medium-grained biotite alaskite (granite) with prominent perthite prisms, rare hornblende, locally quartz phyric. CI=1-4
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: CascadeRiver Schist
Enumerated_Domain_Value_Definition: Cascade River Schist (Middle Eocene to Late Cretaceous)-Mostly fine grained, highly fissile, green, brown, and black micaceous schist ranging from phyllitic sericite-quartz schist to granoblastic biotite- and muscovite-biotite-quartz-albite schist, hornblende-biotite-andesine schist, garbenschiefer, fine-grained amphibolite, and fine-grained paragneiss. Many rocks have garnet, less commonly staurolite and kyanite. Rare chloritoid. Calcareous mica schist locally. Hornblende is commonly blue green. Relict clastic textures common in metasandstone; unit also includes small-pebble metaconglomerate; Metavolcanic rocks-Fine-grained leucogreenschist, commonly with relict highly flattened phenocrysts of plagioclase or mafic minerals.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Group
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian)-Mostly well bedded gray to brown and black argillite and volcanic subquartzose sandstone with minor pebble conglomerate, marble, and rare chert. Also basalt, andesite, dacite, volcanic breccia, and tuff. In sedimentary rocks, graded beds, scour structures, and load casts locally prominent; also includes some rhythmite. Locally sandstone beds strongly disrupted in argillite matrix. Rocks grade rapidly from little-deformed to phyllitic with a pronounced foliation generally subparallel to bedding. Most rocks partially recrystallized in sub-greenschist facies; Limestone and marble (Permian, Carboniferous, and Devonian)-Mostly coarsely crystalline, gray to black, and petroliferous limestone and marble; occurs in small isolated pods and blocks; locally fossiliferous.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: ChilliwackVal phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene) Chilliwack valley phase (Oligocene)-Biotite-hornblende tonalite, granodiorite, and minor quartz diorite, commonly with subhedral plagioclase prisms in quartz mesostasis. Minor clinopyroxene; locally. CI=7-30, but mostly CI=15-20. As mapped, probably includes several plutons.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Conglom.ofBaldMtn
Enumerated_Domain_Value_Definition: Conglomerate of Bald Mountain (Age uncertain)-Coarse polymictic conglomerate, chert-pebble conglomerate, grey lithic sandstone, and phyllitic black to silvery argillite. Polymictic conglomerate includes clasts of chert, argillite, green metatonalite, dacite, buff-weathering calcite-cemented quartzose sandstone, and rare bedded lithic sandstone. Clast-supported, pebbles and boulders well rounded. Clasts in conglomerates locally flattened and boudinaged. Rare siltstone and shale interbeds. East of Goat Mountain unit contains abundant fossil plant material.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Cultus & Chilliwack
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) and Cultus Formation of Brown and others (1987) undivided (Mesozoic and Paleozoic).
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Cultus Formation
Enumerated_Domain_Value_Definition: Cultus Formation of Brown and others (1987) (Early Jurassic and Late Triassic)-Tuffaceous siltstone, sandstone, and argillite, mostly thin bedded to finely laminated. Also includes much rhythmite. Medium-bedded sandstone on Loomis Mountain.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: dike
Enumerated_Domain_Value_Definition: Dike cutting older rocks.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Easton Meta.Suite
Enumerated_Domain_Value_Definition: Easton Metamorphic Suite (Early Cretaceous): Shuksan Greenschist (Early Cretaceous)-Greenschist and lesser blueschist. Locally includes iron- and manganese-rich quartzite (metachert), greenstone, and graphitic phyllite. Rare relict clinopyroxene in some greenschist. Schist varieties include dark-green, fine-grained, muscovite-chlorite-epidote-actinolite schist with common knots and masses of epidote, quartz-albite-chlorite veins, and relict pillow or breccia structure, and well-layered light-green chlorite-rich schist that appears to be metamorphosed tuff. Well-layered, Fe3+-poor metatuffs with conspicuous patches of albite relict after plagioclase phenocrysts are locally abundant. Blueschist bears Na-amphibole (crossite-soda actinolite-riebeckite) + hematite (Brown, 1986). Locally interlayered with unit Ked.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Elbow Lake Fm.
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Bell Pass mlange, undivided-Disrupted argillite, slate, phyllite, sandstone, semischist, ribbon chert, and basalt of the Elbow Lake Formation of Brown and others (1987), with tectonic blocks of meta-igneous rocks, gneiss, schist, ultramafic rocks, and marble. Sandstone commonly lithic subquartzose, either volcanic rich and(or) chert rich; argillite is mostly scaly, and grades into slate and phyllite. Greenstones are recrystallized basalt, mafic tuff, diabase, and gabbro and commonly make the most prominent outcrops. Metamorphic minerals in greenstones and metasedimentary rocks are chlorite, epidote, albite, pumpellyite, rare actinolite, carbonate minerals, and indistinct masses of pumpellyite and(or) lawsonite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Eldorado Orthogneiss
Enumerated_Domain_Value_Definition: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous)-Biotite-hornblende monzodiorite to biotite granodiorite gneiss, rare tonalite and quartz diorite (Ford and others, 1988, p. 107-108). Medium-grained subhedral to euhedral sodic plagioclase commonly filled with epidote or clinozoisite and set in a crystalloblastic to mylonitic matrix of quartz, K-feldspar, hornblende, biotite, and epidote; accessory sphene, apatite, zircon, and opaque oxides; commonly well -aligned prismatic aggregates of hornblende and biotite, but in many rocks mafic minerals are aligned in a streaky planar fabric. Common mafic enclaves locally define strong flattening and weak strike-parallel elongation. Gradational over several 100 meters into unit TKef.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Gabbro of CopperLk.
Enumerated_Domain_Value_Definition: Gabbro of Copper Lake (Oligocene)-Oikocrystic hornblende gabbro surrounded by equigranular hornblende diorite. Some pyroxene in the diorite which is also zoned to quartz and biotite-bearing varieties. CI=25-40. Cumulous textures throughout. Description adopted from Tepper (1991, p. 20-27).
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Grano.Mt.Despair
Enumerated_Domain_Value_Definition: Granodiorite of Mount Despair (Oligocene)-Biotite-hornblende granodiorite with minor tonalite, quartz diorite, and quartz monzodiorite. Conspicuous quartz eyes which are glomerocrysts of rounded quartz grains with K-feldspar in the curved triangular interstices. CI=7-20, but mostly CI=10-12; hornblende usually predominates
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Hannegan Vols.
Enumerated_Domain_Value_Definition: Hannegan Volcanics (Pliocene): Volcanic breccia-Mostly clinopyroxene-hornblende andesite clasts along with many clasts of older rocks in andesite tuff matrix. Many andesite dikes, sills and (or) flows; Tuff-White to light-brown dacite tuff and welded tuff, some rhyolite tuff, and rare andesite tuff and flow rocks, commonly highly altered. Bedding obscure.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: HaystackCr pluton
Enumerated_Domain_Value_Definition: Orthogneiss of Haystack Creek (Middle Eocene to Late Cretaceous)-Hornblende biotite gneiss with blotchy patches of aggregate mafic minerals.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: HiddenLk stock
Enumerated_Domain_Value_Definition: Hidden Lake stock (Middle Eocene to Late Cretaceous)-Biotite metatonalite with relict hypidiomorphic granular texture. Rocks are granodiorite based on CIPW normative minerals and d 18O values greater than 10 (Ford and others, 1988, p. 26). Plagioclase mostly filled with well-crystallized metamorphic epidote and muscovite; some grain margins have recrystallized and quartz is sutured. Some K-feldspar is microcline. Rock is massive and sharply intrusive.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Hozomeen Group
Enumerated_Domain_Value_Definition: Hozomeen Group (Mesozoic and Paleozoic): Chert (Late and Middle Triassic)-Mostly ribbon chert and slaty argillite with minor greenstone and marble. Probably equivalent to third highest of four units described by McTaggart and Thompson (1967); Limestone, chert, and minor greenstone and metatuff-Mostly gray, well-recrystallized limestone.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Indian Mtn.phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Indian Mountain phase (Oligocene)-Biotite-hornblende granodiorite and granite, with minor quartz monzonite and quartz monzodiorite. CI=3-19, most CI=12-19. Texturally heterogeneous, some quartz or K-feldspar pheoncrystic but these minerals are generally mesostasic; locally granophyric. Rock is commonly pinkish and with chloritized hornblende and biotite. As mapped, probably includes several plutons.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Kulshan
Enumerated_Domain_Value_Definition: Rocks of Kulshan caldera (early Pleistocene): Rhyodacite lava flows, domes, dikes and shallow intrusions - At least seven separate eruptive units of biotite-hypersthene-hornblende-plagioclase rhyodacite (69-72% SiO2) intrude and overlie intracaldera ignimbrite or sedimentary deposits. Five more intrude and overlie unit KJna on Cougar Divide (where three are shown on the geologic map), and at least one dike (30 m thick, but not shown on the map) of similar rhyodacite cuts unit Pcmv on the divide between Swift and Rainbow Creeks just south of the caldera. Compositionally, the lavas and dikes are similar to the dominant pumice in the ignimbrite or slightly less evolved. Phenocryst contents range widely, from 5 to 25%. Like the ignimbrite, the lavas and dikes contain plagioclase, hypersthene, hornblende, biotite, FeTi oxides, apatite, and zircon, although one or more of these may be missing in some flows; sanidine is lacking, and clinopyroxene and quartz are absent or very rare. Lithologically, the lavas and dikes are massive or flow-banded felsite; glacial erosion has stripped all but sparse remnants of glassy external zones, which tend to be altered where they survive. The felsite is pale to medium grey where fresh but is largely tan to orange-brown owing to pervasive oxidation and ferruginous films on joints and vugs. In areas of hydrothermal alteration, especially where brecciated, the lavas are pale green, cream, or white, commonly stained and streaked ochre to rusty brown due to decomposition of disseminated pyrite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Lake Ann stock
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Lake Ann stock (Pliocene)-Medium-grained hypersthene-clinopyroxene quartz monzodiorite and quartz monzonite, locally with biotite and very minor hornblende. Normatively some is granodiorite; CI=12-19 (James, 1980). Euhedral biotite common near roof above Lake Ann.
Enumerated_Domain:
Enumerated_Domain_Value: Lake Ann stock hornf
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Lake Ann stock (Pliocene)-hornfels adjacent to Lake Ann stock.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: MarbleCr.pluton
Enumerated_Domain_Value_Definition: Orthogneiss of Marble Creek (Middle Eocene to Late Cretaceous)-Biotite tonalite to granodiorite gneiss with minor hornblende, muscovite, and well-formed igneous(?) epidote. Ranges from granitoid gneiss with intergranular quartz and relict euhedral oscillatory zoned plagioclase to highly strained flaser gneiss with anastomosing mylonite with quartz and biotite. Pluton is rich in screens and rafts of supracrustal schists and pods of ultramafic rocks.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Marblemount pluton
Enumerated_Domain_Value_Definition: Marblemount pluton (Middle Eocene to Late Cretaceous)-Meta-quartz diorite and metatonalite and tonalitic gneiss; light-colored metatonalite dikes. Locally includes unmetamorphosed hornblende tonalite north of Skagit River. Rocks have CI =16-54 (Ford and others, 1988), are medium-grained, pale green, have numerous anastomosing zones rich in chlorite, epidote, and actinolitic hornblende, and vary from massive with relict hypidiomorphic granular texture to highly foliate and mylonitic. Plagioclase commonly transformed to unzoned, complexly twinned albite filled with epidote and (or) white mica.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: MineralMtn.pluton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Mineral Mountain pluton (Miocene)-Biotite granite. CI=3-7. Characterized by conspicuous quartz eyes several centimeters across which are glomerocrysts of rounded quartz grains with K-feldspar in the curved triangular interstices. Micrographic integrowths of K-feldspar and quartz common. Conspicuous chloritic alteration.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Mount Baker
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of present-day Mount Baker stratovolcano (Holocene and late Pleistocene) - Plagioclase-rich pyroxene andesite (56-63% SiO2; mostly olivine-bearing) lava flows and flow breccia with subordinate agglutinate, scoria, and pyroclastic-flow deposits - all erupted from the central vent of the modern stratovolcano. Unit includes andesite lava remnants along Kulshan, Heliotrope, and Glacier Creeks; Andesite of Table Mountain (middle Pleistocene) - Plagioclase-rich pyroxene andesite lava flows (59-62.5% SiO2) that form stacks as thick as 150 m at Table Mountain and 250 m at nearby Kulshan Ridge. Glacially scoured remnants, mostly glassy and polygonally jointed, make up much of the surface in the Heather Meadows ski area.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Mt.Sefrit gabbronori
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Mount Sefrit Gabbronorite of Tepper and others (1993) (Miocene)-Mostly olivine-bearing gabbronorite with minor two-pyroxene diorite, hornblende diorite, and quartz diorite. Rocks are dark, partly because of swarms of minute dark inclusions in calcic plagioclase (Tepper, 1985).
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Napeequa Schist
Enumerated_Domain_Value_Definition: Napeequa Schist (Middle Eocene to Late Cretaceous)-Predominantly fine-grained hornblende-mica schist, mica-quartz schist, hornblende schist, amphibolite, garnet-biotite schist, and minor hornblende-zoisite schist, hornblende garbenschiefer, calc-silicate schist, marble, and ultramafic rocks. In the Cascade River area and in the Straight Creek Fault zone, phyllitic muscovite-chlorite-quartz schist predominates. Rocks are mostly white, tan, brown to black, locally greenish with conspicuous compositional banding. Fine lamellar foliation, locally blastomylonitic. On outcrop scale the schist is isoclinally folded, commonly crenulated; small crinkle folds of prominent foliation surfaces.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Nooksack Formation
Enumerated_Domain_Value_Definition: Nooksack Formation (Early Cretaceous to Middle Jurassic): Argillite and sandstone-Predominantly massive to laminated black argillite. Locally with thin to medium beds of mostly lithic-volcanic sandstone. Also includes minor limy siltstone and limestone. Some beds heavily bioturbated. Local detrital muscovite. Cleavage weakly developed north of Mount Baker, but pronounced to south. Argillite near top of the Wells Creek Volcanic Member rich in pyrogenic plagioclase and quartz phenocrysts. Belemnite molds characteristic; Thick-bedded sandstone and argillite-Volcanic lithic sandstone with minor interbeds of argillite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Perry Creek phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Perry Creek phase (Miocene and Oligocene)-Mostly biotite-hornblende tonalite and granodiorite, commonly with relict clinopyroxene. Minor quartz monzodiorite and quartz diorite. Hornblende or biotite may predominate. Quartz is typically mesostasic. CI=8-22, but most are CI=12-19. As mapped, probably includes several plutons.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Qtzmonzodi.RedoubtCt
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Quartz monzodiorite of Redoubt Creek (Miocene)-Biotite-pyroxene-hornblende quartz monzodiorite, quartz monzonite, granite, granodiorite, and diorite, commonly altered, with pinkish cast. CI=3-20, but most CI=11-17. Some rocks are porphyritic allotriomorphic and vermicular; micrographic quartz is common (Tepper, 1991, p. 68).
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Ruth Cr.pluton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Quartz monzodiorite of Redoubt Creek (Miocene): Ruth Creek pluton (Miocene)-Biotite granodiorite, some granite and quartz monzodiorite, locally with quartz eyes as large as 1 cm in diameter; CI=3-7 (Tepper, 1991, p. 78), but mostly 4-5. Rare blocky hornblende with pyroxene cores.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Semisch&phy.MtJoseph
Enumerated_Domain_Value_Definition: Semischist and phyllite of Mount Josephine (Early Cretaceous?)-Graphitic sericite-plagioclase-quartz phyllite and semischistose lithic-volcanic subquartzose sandstone. Protolith sediments thin to medium bedded. Locally highly contorted, but generally lacks prominent multiple crenulations characteristic of the Darrington Phyllite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: SilesiaCr pluton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Silesia Creek pluton (Oligocene)-Biotite-hornblende granodiorite, quartz monzodiorite and quartz diorite with inclusions and layers of biotite granodiorite and granite; some granitic xenoliths as long as 200 m. CI=5-20. Quartz diorite displays prominent magmatic alignment of feldspar and mafic minerals.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Skagit Gneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous)-Heterogeneous complex of supracrustal schist, amphibolite, and rare marble and ultramafic rocks intruded in a lit-par-lit fashion by mostly hornblende-biotite and biotite-tonalite orthogneiss. Orthogneiss bodies range from a few centimeters thick in the banded gneisses to several kilometers thick in the mapped orthogneiss. Abundant deformed dikes and sills of light-colored pegmatitic tonalite and lineated granite: Banded gneiss, mostly biotite gneiss-Biotite schist, biotite-garnet schist, biotite paragneiss (some garnet, cummingtonite), hornblende-biotite paragneiss, gneissic hornblende-biotite tonalite, and tonalite gneiss. Strongly layered rocks with minor amphibolite gneiss, and hornblende schist. Commonly strongly migmatitic with concordant and crosscutting light-colored dikes of foliated, lineated, fine-grained to pegmatitic leucotonalite and lineated granite and granodiorite; Orthogneiss-Gneissic hornblende-biotite tonalite. Relatively uniform crystalloblastic granitoid gneiss with rare relict euhedral oscillatory-zoned plagioclase crystals. Hornblende or biotite may predominate. Garnet locally. Quartz and biotite commonly moderately to highly strained. Locally migmatitic with concordant and crosscutting light-colored dikes of foliated, lineated, fine-grained to pegmatitic leucotonalite; Mafic orthogneiss-Garnet-hornblende diorite orthogneiss above Diablo Lake. Also includes amphibolite and hornblendite; and Orthogneiss of The Needle-Hornblende tonalite to granodiorite orthogneiss with distinctive texture of approximately 1-mm equant crystals forming centimeter size patches rich in quartz, plagioclase, hornblende, or biotite. Dominant foliation locally axial-planar to small folds of an earlier foliation.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Tonalite of Maiden L
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Tonalite of Maiden Lake-Biotite-hornblende metatonalite and metaquartz diorite with highly altered plagioclase and biotite. Hypidiomorphic granular. Metamorphic minerals are chlorite, epidote, prehnite, pumpellyite, sericite and carbonate.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Vedder Cmplx
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Vedder Complex of Armstrong and others (1983) (Permian metamorphic age)-Amphibolite, blueschist, micaceous quartzite, and mica-quartz schist. Some garnet. Amphiboles are hornblende, actinolite, and barroisite. Some amphibolites contain albite porphyroblasts.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Vol.rks.MtRahm
Enumerated_Domain_Value_Definition: Volcanic rocks of Mount Rahm (Oligocene)-Dacitic to less commonly andesitic breccias, tuffs, and flows with some feldspathic sandstone and conglomerate interbeds. Welded dacite tuff common.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Vol.rks.ofMt.Herman
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Volcanic rocks of Mount Herman (Permian)-Breccia, pillows, pillow breccia, and associated volcanic sandstone of basalt or basaltic andesite composition. Most volcanic rocks are plagioclase-phyric, some are amygdaloidal. Unit weathers orange-brown; dark- to light-green on fresh surfaces.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Wells Creek Member
Enumerated_Domain_Value_Definition: Nooksack Formation (Early Cretaceous to Middle Jurassic): Wells Creek Volcanic Member -Incipiently recrystallized dacite, dacite breccia and tuff, and andesite, with some argillite interbeds. Metamorphic pumpellyite, chlorite, epidote, and albite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Yellow Aster
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age): Non-gneissic rocks-Predominantly massive metagabbro, metadiabase, metatonalite; locally includes minor gneissic igneous rocks. May include late Paleozoic or Mesozoic intrusive rocks similar to units MzPzg and MzPzt and Gneissic rocks-Layered siliceous gneiss, quartz-rich pyroxene gneiss, gneissic megacrystic granite, and minor marble, as well as associated metagabbro, metadiabase, and metatonalite. Gneissic granite with K-feldspar megacrysts known only from Kidney Creek. Includes areas lacking siliceous gneiss, but with strongly mylonitic quartz-rich meta-igneous rocks. Talus blocks east of Park Butte grade from graphitic marble to quartz-rich pyroxene gneiss. Most rocks are highly strained and recrystallized in amphibolite or upper-greenschist facies. Locally, intruded by associated metagabbro, metadiabase, and metatonalite.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Younger ss & cgl
Enumerated_Domain_Value_Definition: Younger sandstone and conglomerate (middle Eocene or younger)-West of lower Bacon Creek, mostly coarse cobble conglomerate with clasts derived from the Marblemount pluton
Spatial_Data_Organization_Information: mbstruct
Direct_Spatial_Reference_Method: Vector
Point_and_Vector_Object_Information:
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Entity point
Point_and_Vector_Object_Count: 2302
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Point
Point_and_Vector_Object_Count: 49
Spatial_Reference_Information:
Horizontal_Coordinate_System_Definition:
Planar:
Map_Projection:
Map_Projection_Name: Transverse Mercator
Transverse_Mercator:
Scale_Factor_at_Central_Meridian: 0.999600
Longitude_of_Central_Meridian: -123.000000
Latitude_of_Projection_Origin: 0.000000
False_Easting: 500000.000000
False_Northing: 0.000000
Planar_Coordinate_Information:
Planar_Coordinate_Encoding_Method: coordinate pair
Coordinate_Representation:
Abscissa_Resolution: 0.000128
Ordinate_Resolution: 0.000128
Planar_Distance_Units: meters
Geodetic_Model:
Horizontal_Datum_Name: D_Clarke_1866
Ellipsoid_Name: Clarke 1866
Semi-major_Axis: 6378206.400000
Denominator_of_Flattening_Ratio: 294.978698
Entity_and_Attribute_Information:
Detailed_Description:
Entity_Type:
Entity_Type_Label: mbstruct.pat
Attribute:
Attribute_Label: FID
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: Shape
Attribute_Definition: Feature geometry.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Coordinates defining the features.
Attribute:
Attribute_Label: AREA
Attribute_Definition: Area of feature in internal units squared.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Area is always zero for point coverages. Values are automatically generated.
Attribute:
Attribute_Label: PERIMETER
Attribute_Definition: Perimeter of feature in internal units.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Perimeter is always zero for point coverages. Values are automatically generated.
Attribute:
Attribute_Label: MBSTRUCT#
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: MBSTRUCT-ID
Attribute_Definition: User-defined feature number.
Attribute_Definition_Source: ESRI
Attribute:
Attribute_Label: PTTYPE
Attribute_Definition: strike and dip of planar structures and bearing and plunge of linear structures
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: _l_lineation_i_
Enumerated_Domain_Value_Definition: inclined lineation
Enumerated_Domain:
Enumerated_Domain_Value: bedding w/tops
Enumerated_Domain_Value_Definition: strike and dip of bedding; top direction known
Enumerated_Domain:
Enumerated_Domain_Value: bedding
Enumerated_Domain_Value_Definition: strike and dip of bedding; top direction unknown
Enumerated_Domain:
Enumerated_Domain_Value: crumpled bedding
Enumerated_Domain_Value_Definition: strike and dip of bedding, somewhat folded on outcrop scale; top direction unknown
Enumerated_Domain:
Enumerated_Domain_Value: horizontal lineation
Enumerated_Domain_Value_Definition: strike of lineation
Enumerated_Domain:
Enumerated_Domain_Value: foliation
Enumerated_Domain_Value_Definition: strike and dip of aligned planar minerals in metamorphic rocks
Enumerated_Domain:
Enumerated_Domain_Value: fault_ball
Enumerated_Domain_Value_Definition: position of ball symbol showing downthrown side of high-angle fault
Enumerated_Domain:
Enumerated_Domain_Value: vert foliation
Enumerated_Domain_Value_Definition: strike of vertical foliation
Enumerated_Domain:
Enumerated_Domain_Value: ot bedding w/tops
Enumerated_Domain_Value_Definition: strike and dip of overturned bedding; original top direction known
Enumerated_Domain:
Enumerated_Domain_Value: vert bedding
Enumerated_Domain_Value_Definition: Vertical bedding; top direction unknown
Enumerated_Domain:
Enumerated_Domain_Value: vert bedding w/tops
Enumerated_Domain_Value_Definition: vertical bedding; top direction known
Enumerated_Domain:
Enumerated_Domain_Value: horz foliation
Enumerated_Domain_Value_Definition: horizontal foliation
Enumerated_Domain:
Enumerated_Domain_Value: flat bedding
Enumerated_Domain_Value_Definition: horizontal bedding
Enumerated_Domain:
Enumerated_Domain_Value: _l_fold_i_
Enumerated_Domain_Value_Definition: minor fold with inclined axis
Enumerated_Domain:
Enumerated_Domain_Value: _l_lineation_att_I_
Enumerated_Domain_Value_Definition: inclined lineation combined with foliation
Attribute:
Attribute_Label: DIP
Attribute_Definition: Dip of planar structure (angle of plane to horizontal) or plunge of lineation (angle of lineation to horizontal)
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Attribute:
Attribute_Label: STRIKE
Attribute_Definition: Strike of planar structure (azimuth of horizontal line on plane) or azimuth of linear structure
Spatial_Data_Organization_Information: mbrocksamp
Direct_Spatial_Reference_Method: Vector
Point_and_Vector_Object_Information:
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Entity point
Point_and_Vector_Object_Count: 1108
SDTS_Terms_Description:
SDTS_Point_and_Vector_Object_Type: Point
Point_and_Vector_Object_Count: 49
Spatial_Reference_Information:
Horizontal_Coordinate_System_Definition:
Planar:
Map_Projection:
Map_Projection_Name: Transverse Mercator
Transverse_Mercator:
Scale_Factor_at_Central_Meridian: 0.999600
Longitude_of_Central_Meridian: -123.000000
Latitude_of_Projection_Origin: 0.000000
False_Easting: 500000.000000
False_Northing: 0.000000
Planar_Coordinate_Information:
Planar_Coordinate_Encoding_Method: coordinate pair
Coordinate_Representation:
Abscissa_Resolution: 0.000128
Ordinate_Resolution: 0.000128
Planar_Distance_Units: meters
Geodetic_Model:
Horizontal_Datum_Name: D_Clarke_1866
Ellipsoid_Name: Clarke 1866
Semi-major_Axis: 6378206.400000
Denominator_of_Flattening_Ratio: 294.978698
Entity_and_Attribute_Information:
Detailed_Description:
Entity_Type:
Entity_Type_Label: mbrocksamp.pat
Attribute:
Attribute_Label: FID
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: Shape
Attribute_Definition: Feature geometry.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Coordinates defining the features.
Attribute:
Attribute_Label: AREA
Attribute_Definition: Area of feature in internal units squared.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Area is always zero for point coverages. Values are automatically generated.
Attribute:
Attribute_Label: PERIMETER
Attribute_Definition: Perimeter of feature in internal units.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Perimeter is always zero for point coverages. Values are automatically generated.
Attribute:
Attribute_Label: MBROCKSAMP#
Attribute_Definition: Internal feature number.
Attribute_Definition_Source: ESRI
Attribute_Domain_Values:
Unrepresentable_Domain: Sequential unique whole numbers that are automatically generated.
Attribute:
Attribute_Label: MBROCKSAMP-ID
Attribute_Definition: User-defined feature number.
Attribute_Definition_Source: ESRI
Attribute:
Attribute_Label: PTTYPE
Attribute_Definition: archival category
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: archival
Enumerated_Domain_Value_Definition: most representative sample or unusual specimen in easily retrieved archive, North Cascades National Park, Marblemount, WA
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: store
Enumerated_Domain_Value_Definition: sample in boxed storage, North Cascades National Park, Marblemount, WA
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: combine
Enumerated_Domain_Value_Definition:multiple samples from same collection site in archive and store.
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: special
Enumerated_Domain_Value_Definition: unusual disposition of sample and/or thin section
Attribute_Label: SAMPNO
Attribute_Definition: Field number of sample
Attribute_Definition_Source: Author
Attribute:
Attribute_Label: SEL
Attribute_Definition: number indicating category (archival or store, etc.) and existence of thin section for sample
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 1
Enumerated_Domain_Value_Definition: archival sample, no thin section
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 2
Enumerated_Domain_Value_Definition: archival sample with thin section
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 3
Enumerated_Domain_Value_Definition: stored sample without thin section
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 4
Enumerated_Domain_Value_Definition: stored sample with thin section
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 5
Enumerated_Domain_Value_Definition: Thin section exists, but sample missing from NCNP collection or record incomplete (see description field below)
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 7
Enumerated_Domain_Value_Definition: Sample and/or thin secion sent to Dave Tucker, Western Washington University, Bellingham, WA (see description field below)
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: 6
Enumerated_Domain_Value_Definition: multiple samples at collection site. Some may have thin sections (see description field below)
Attribute:
Attribute_Label: DESCRIPTION
Attribute_Definition: additional information about sample, includes, comments on lithology, age, references, etc. For "combine" samples, identifies those with thin sections
Attribute_Definition_Source: Author
Attribute:
Attribute_Label: UNIT
Attribute_Definition: Source unit of sample
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: B.granodiorite of Little Beaver Cr
Enumerated_Domain_Value_Definition: Biotite granodiorite of Little Beaver Creek (Oligocene); number of samples of this unit = 14; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange: Vedder Complex
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Vedder Complex of Armstrong and others (1983) (Permian metamorphic age); number of samples of this unit = 8; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange: Yellow Aster Cmplx
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Yellow Aster Complex of Misch (1966) (Paleozoic protolith age); number of samples of this unit = 50; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange; Baker Lk blueschist
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Blueschist of Baker Lake (Cretaceous to Jurassic metamorphic age); number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange; Elbow Lk. Fm.
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Bell Pass mlange, undivided; number of samples of this unit = 50; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange; ultramafite
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Ultramafic rocks; number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Bell Pass melange; Twin Sisters
Enumerated_Domain_Value_Definition: Rocks of the Bell Pass mlange (Cretaceous to Late Jurassic): Ultramafic rocks: Twin Sisters Dunite of Ragan; number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Biot. alaskite of Mt. Blum
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Biotite alaskite of Mount Blum (Oligocene); number of samples of this unit = 11; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Cascade River Schist
Enumerated_Domain_Value_Definition: Cascade River Schist (Middle Eocene to Late Cretaceous); number of samples of this unit = 11; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack bath:BakerR phase:PriceGl plu
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Price Glacier pluton; number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack bath;Baker R.phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Baker River phase (Oligocene); number of samples of this unit = 34; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Group
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian); Limestone and marble (Permian, Carboniferous, and Devonian); number of samples of this unit = 46; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Group: sed.rks.of Mt.Herman
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Sedimentary rocks of Mount Herman (Permian); number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Group: vol.rks.of Mt.Herman
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Volcanic rocks of Mount Herman (Permian) ; number of samples of this unit = 14; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Group: volcanic rocks
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) (Permian, Carboniferous, and Devonian): Volcanic rocks (Permian, Carboniferous, and Devonian); number of samples of this unit = 22; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack Grp, Cultus Fm, undivided
Enumerated_Domain_Value_Definition: Chilliwack Group of Cairnes (1944) and Cultus Formation of Brown and others (1987) undivided (Mesozoic and Paleozoic); number of samples of this unit = 12; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack val.phase:dark ton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Chilliwack valley phase (Oligocene): Dark tonalite; number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chilliwack valley phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Chilliwack valley phase (Oligocene); number of samples of this unit = 51; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Chuckanut Formation
Enumerated_Domain_Value_Definition: LATE OROGENIC AND POST OROGENIC DEPOSITS : Chuckanut Formation (Eocene); number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Conglomerate of Bald Mountain
Enumerated_Domain_Value_Definition: Conglomerate of Bald Mountain (Age uncertain); number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Cultus Formation
Enumerated_Domain_Value_Definition: Cultus Formation of Brown and others (1987) (Early Jurassic and Late Triassic); number of samples of this unit = 25; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Darrington Phyllite
Enumerated_Domain_Value_Definition: Easton Metamorphic Suite (Early Cretaceous): Darrington Phyllite (Early Cretaceous); number of samples of this unit = 7; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: dike
Enumerated_Domain_Value_Definition: dike which cuts Rocks of the Chilliwack composite batholith: Pocket Peak phase (Oligocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Eldorado orthogneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous); number of samples of this unit = 17; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Eldorado orthogneiss: flaser gneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous): Flaser gneiss border zone; number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Eldorado orthogneiss: metadikes
Enumerated_Domain_Value_Definition: foliated dikes cutting Terrane overlap units and stitching plutons: Plutons of the granodioritic group: Eldorado Orthogneiss (Middle Eocene to Late Cretaceous); number of samples of this unit = 16; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Ensawkwatch diorite
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Miscellaneous gabbros and diorites (Oligocene?): Inclusion-rich diorite of Ensawkwatch Creek; number of samples of this unit = 10; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Gabbro of Copper Lake
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Gabbro of Copper Lake (Oligocene); number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Granite of Depot Cr
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granite of Depot Creek (Miocene); number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Granite of Ruth Mtn.
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granite of Ruth Mountain (Pliocene); number of samples of this unit = 7; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Granite of W. Bear Mtn.
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granite of western Bear Mountain (Miocene?); number of samples of this unit = 8; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Granite porphyry of Egg Lake
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Granite porphyry of Egg Lake (Pliocene); number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Granodiorite of Mt.Despair
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene):Granodiorite of Mount Despair (Oligocene); number of samples of this unit = 17; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Grd. Mt.Despair: agmatite
Enumerated_Domain_Value_Definition: : INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene):Granodiorite of Mount Despair (Oligocene): Agmatite; number of samples of this unit = 8; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Hannegan Volcanics
Enumerated_Domain_Value_Definition: Hannegan Volcanics (Pliocene): Volcanic breccia and Tuff; number of samples of this unit = 18; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Hetero. ton. and granod. of Middle Pk.
Enumerated_Domain_Value_Definition INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Heterogeneous tonalite and granodiorite of Middle Peak (Oligocene?); number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Hozomeen Group
Enumerated_Domain_Value_Definition: Hozomeen Group (Mesozoic and Paleozoic): Chert (Late and Middle Triassic) and Greenstone with minor argillite, chert, and limestone (Permian and Pennsylvanian); number of samples of this unit = 39; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Indian Mtn. Phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Indian Mountain phase (Oligocene); number of samples of this unit = 17; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Intrusive breccia
Enumerated_Domain_Value_Definition: : INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Intrusive breccia (Miocene and/or Oligocene); number of samples of this unit = 13; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Lake Ann stock
Enumerated_Domain_Value_Definition: : INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Lake Ann stock; number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Marblemount pluton
Enumerated_Domain_Value_Definition: Marblemount pluton; number of samples of this unit = 7; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Marblemount pluton:flaser gn. border
Enumerated_Domain_Value_Definition: Marblemount pluton; Flaser gneiss border zone number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Bastille Ridge
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Bastille Ridge (middle Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Black Buttes
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Black Buttes (middle Pleistocene); number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Coleman Pinnacle
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Coleman Pinnacle (middle Pleistocene); number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Cougar Divide
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Cougar Divide (middle Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Forest Divide
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Forest Divide (middle Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Lava Divide
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Lava Divide (middle Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of present-day cone
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of present-day Mount Baker stratovolcano (Holocene and late Pleistocene; number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of Swift Creek
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of Swift Creek (late Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:andesite of The Portals
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Andesite of The Portals (late Pleistocene); number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:basalt of Lake Shannon
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Lake Shannon (late Pleistocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:basalt of Sulphur Creek
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Basalt of Sulphur Creek (Holocene); number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: MB:misc. lava-flow remnants
Enumerated_Domain_Value_Definition: Rocks of the Mount Baker volcanic center (Holocene and Pleistocene): Miscellaneous lava-flow remnants (Pleistocene): remnant in upper Thompson Creek; remnant on southwest slope of Lookout Mountain; number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value Metagabbro intrusions
Enumerated_Domain_Value_Definition: Gabbroic intrusions (Mesozoic and Paleozoic); number of samples of this unit = 7; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Metatonalite intrusions
Enumerated_Domain_Value_Definition: Tonalitic intrusions (Mesozoic and Paleozoic); number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Gabbroic intrusions
Enumerated_Domain_Value_Definition: Gabbroic intrusions (Early Cretaceous?); number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Mineral Mountain pluton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Mineral Mountain pluton (Miocene); number of samples of this unit = 24; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Misc. gabbros and diorites
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Miscellaneous gabbros and diorites (Oligocene?)-; number of samples of this unit = 19; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Misc. granodiorite intrusions
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Pliocene and Miocene): Miscellaneous granodiorite intrusions (Pliocene and/or Miocene); number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Mt Sefrit Gabbronorite
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Mount Sefrit Gabbronorite of Tepper and others (1993) (Miocene); number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Napeequa Schist
Enumerated_Domain_Value_Definition: Napeequa Schist (Middle Eocene to Late Cretaceous); number of samples of this unit = 57; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Nooksack Formation
Enumerated_Domain_Value_Definition: Nooksack Formation (Early Cretaceous to Middle Jurassic): Argillite and sandstone; Thick-bedded sandstone and argillite; Grit and thick-bedded sandstone; and Volcanic-rich conglomerate and sandstone; number of samples of this unit =38; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Nooksack Formation: Wells Creek Member
Enumerated_Domain_Value_Definition: Nooksack Formation (Early Cretaceous to Middle Jurassic): Wells Creek Volcanic Member; number of samples of this unit = 7; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Older sandstone and conglomerate
Enumerated_Domain_Value_Definition: LATE OROGENIC AND POST OROGENIC DEPOSITS: Older sandstone and conglomerate (age uncertain); number of samples of this unit = 18; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Orthogneiss of Alma Creek
Enumerated_Domain_Value_Definition: Plutons of the granodioritic group: Orthogneiss of Alma Creek (Middle Eocene to Late Cretaceous); number of samples of this unit = 2; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Perry Cr. phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Perry Creek phase (Miocene and Oligocene); number of samples of this unit = 44; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Perry Cr. Phase; tectonized
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE SNOQUALMIE FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Perry Creek phase (Miocene and Oligocene): tectonized tonalite; number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Phyllite and sch of Little Jack Mtn
Enumerated_Domain_Value_Definition: Phyllite and schist of Little Jack Mountain (Middle Eocene to Late Cretaceous); number of samples of this unit = 33; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Pocket Peak phase
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Pocket Peak phase (Oligocene); number of samples of this unit = 17; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Q.di and q.monzodi. of Icy Pk
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Quartz diorite and quartz monzodiorite of Icy Peak; number of samples of this unit = 16; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Q.monz. and gr. of Nooksack cirq
Enumerated_Domain_Value_Definition: : INTRUSIVE ROCKS OF CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Quartz monzonite and granite of Nooksack cirque (Pliocene); number of samples of this unit = 9; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Q.monzodiorite of Redoubt Cr.
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Quartz monzodiorite of Redoubt Creek (Miocene); number of samples of this unit = 17; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Rocks of Kulshan caldera
Enumerated_Domain_Value_Definition: Rocks of Kulshan caldera (early Pleistocene): Rhyodacite lava flows, domes, dikes and shallow intrusions and Ignimbrite of Swift Creek; number of samples of this unit = 15; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Ruby Cr Heterogeneous Plutonic Belt
Enumerated_Domain_Value_Definition: Ruby Creek Heterogeneous Plutonic Belt of Misch (1966) (Middle Eocene to Late Cretaceous); number of samples of this unit = 10; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Ruth Cr. pluton
Enumerated_Domain_Value_Definition: : INTRUSIVE ROCKS OF CASCADE PASS FAMILY: Rocks of the Chilliwack composite batholith (Miocene and Oligocene): Ruth Creek pluton (Miocene); number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Semisch. and phyllite of Mount Josephene
Enumerated_Domain_Value_Definition: Shuksan nappe: Semischist and phyllite of Mount Josephine (Early Cretaceous?); number of samples of this unit = 13; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Shuksan Greenschist
Enumerated_Domain_Value_Definition: Shuksan nappe: Shuksan Greenschist (Early Cretaceous); number of samples of this unit = 13; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Silesia Cr. Pluton
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Silesia Creek pluton (Oligocene); number of samples of this unit = 5; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: ultramafic rock
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Ultramafic rocks; number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: banded biot. Gneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Banded gneiss, mostly biotite gneiss; number of samples of this unit = 56; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: banded hrnbl. Gneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Banded gneiss, mostly amphibole gneiss and amphibolite; number of samples of this unit = 28; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: granite pegmatite
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Granite pegmatite: amphibolite screens; number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: lineated orthogneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss; number of samples of this unit = 12; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: mafic orthogneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss: Mafic othogneiss; number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: mafic migmatite
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss: Mafic migmatite; number of samples of this unit = 1; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: orthogneiss
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss: number of samples of this unit = 67; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skagit: orthogneiss of the Needle
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Skagit Gneiss Complex (Middle Eocene to Late Cretaceous): Orthogneiss of The Needle; number of samples of this unit = 4; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Skymo Complex
Enumerated_Domain_Value_Definition: Skymo Complex of Wallace (1976) (Middle Eocene to Late Cretaceous); number of samples of this unit = 36; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Slate of Rinker Ridge
Enumerated_Domain_Value_Definition: Slate of Rinker Ridge (Cretaceous to Late Jurassic); number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Stitching: orthogneiss of Haystack Creek
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Plutons of the tonalitic group: Orthogneiss of Haystack Creek (Middle Eocene to Late Cretaceous); number of samples of this unit = 11; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Stitching: orthogneiss of Marble Creek
Enumerated_Domain_Value_Definition: Terrane overlap units and stitching plutons: Plutons of the tonalitic group: Orthogneiss of Marble Creek (Middle Eocene to Late Cretaceous); number of samples of this unit = 6; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Tonalite of Maiden Lk.
Enumerated_Domain_Value_Definition: INTRUSIVE ROCKS OF THE INDEX FAMILY: Rocks of the Chilliwack composite batholith (Oligocene): Tonalite of Maiden Lake; number of samples of this unit = 3; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Volcanic rocks of Big Bosom Buttes
Enumerated_Domain_Value_Definition: Volcanic rocks of Big Bosom Buttes (Oligocene): Breccia; Dacite tuff; and Monolithologic granite breccia; number of samples of this unit = 24; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Volcanic rocks of Mt. Rahm
Enumerated_Domain_Value_Definition: Volcanic rocks of Mount Rahm (Oligocene); number of samples of this unit = 8; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Enumerated_Domain:
Enumerated_Domain_Value: Volcanic rocks of Pioneer Ridge
Enumerated_Domain_Value_Definition: Volcanic rocks of Pioneer Ridge (Oligocene): Dacite flows and Mudflow breccia; number of samples of this unit = 10; for description see downloadable pdf of Description of Map Units: http://pubs.usgs.gov/imap/i2660/
Attribute:
Attribute_Label: COUNTY2
Attribute_Definition: County in Washington State where sample collected
Attribute_Definition_Source: Author
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: what
Enumerated_Domain_Value_Definition: Whatcom County
Attribute_Domain_Values:
Enumerated_Domain:
Enumerated_Domain_Value: Skag
Enumerated_Domain_Value_Definition: Skagit County
Distribution_Information:
Distributor:
Contact_Information:
Contact_Person_Primary:
Contact_Person: Database Coordinator
Contact_Organization: U.S. Geological Survey
Contact_Address:
Address_Type: mailing address
Address: 345 Middlefield Rd., M/S 973
City: Menlo Park
State_or_Province: CA
Postal_Code: 94025
Country: USA
Contact_Voice_Telephone: 650-329-4935
Contact_Facsimile_Telephone: 650-329-4936
Contact_Electronic_Mail_Address: kwheeler@usgs.gov
Contact_Instructions:
Resource_Description: USGS Miscellaneous Investigations Series I-2660 and USGS Data Series, DS-205 consists of both traditional geologic map products and ARC/INFO format geospatial databases. Furthermore, the traditional geologic map products (map sheets and pamphlets) can be obtained either as paper or as PDF files.
Distribution_Liability: Any use of trade, product, or firm names is for descriptive purposes only and does not imply endorsement by the U.S. Government. Although this publication has been subjected to rigorous review and is substantially complete, the USGS reserves the right to revise the data pursuant to further analysis and review. Furthermore, it is released on condition that neither the USGS nor the United States Government may be held liable for any damages resulting from its authorized or unauthorized use.
Standard_Order_Process:
Digital_Form:
Digital_Transfer_Information:
Format_Name: Mount Baker geologic map as a PDF file
Format_Specification:Adobe Acrobat Document
Format_Information_Content: PDFs (2 files) of geologic map and cross sections, correlation chart, generalized geologic map, and maps of previous work and sources of data
Transfer_Size: 21.6 MB
Digital_Transfer_Option:
Online_Option:
Computer_Contact_Information:
Network_Address:
Network_Resource_Name: http://pubs.usgs.gov/imap/i2660/
Digital_Form:
Digital_Transfer_Information:
Format_Name:accompanying pamphlet as a PDF file
Format_Specification:Adobe Acrobat Document
Format_Information_Content: Introduction, Acknowledgements, Summary of Geologic History, expanded description of rock units, tables, and reference list
Transfer_Size: 732 KB
Digital_Transfer_Option:
Online_Option:
Computer_Contact_Information:
Network_Address:
Network_Resource_Name http://pubs.usgs.gov/imap/i2660/
Digital_Form:
Digital_Transfer_Information:
Format_Name: mbcovers2.tar.gz
Format_Version_Number: 1
Format_Version_Date: 2006
Format_Specification: ARC/INFO v. 7.1.1
Format_Information_Content: 7 ARC/INFO export (.e00) files.
File_Decompression_Technique: TAR and gzip (see the readme for more information about TAR and gzip).
Transfer_Size: 4.2 MB
Digital_Transfer_Option:
Online_Option:
Computer_Contact_Information:
Network_Address:
Network_Resource_Name: http://pubs.usgs.gov/ds
Fees: No fees for digital forms of the report.
Ordering_Instructions: Digital files (both PDFs and database files) can be obtained on-line as described above at the publication web-site, or by sending a request to the Database Coordinator at the address shown above.
Distributor:
Contact_Information:
Contact_Organization_Primary:
Contact_Organization: USGS Information Services
Contact_Address:
Address_Type: mailing address
Address: Box 25286, Denver Federal Center
City: Denver
State_or_Province: CO
Postal_Code: 80225-0046
Country: USA
Contact_Voice_Telephone: (303) 202-4200
Contact_Voice_Telephone: 1-888-ASK-USGS
Contact_Facsimile_Telephone: (303) 202-4695
Contact_Electronic_Mail_Address: infoservices@usgs.gov
Hours_of_Service:
Contact_Instructions:
Resource_Description: USGS Miscellaneous Investigations I-2660
and USGS Data Series consist of both traditional geologic map
products and ARC/INFO format geospatial databases. Furthermore,
the traditional geologic map products (map sheets and pamphlets)
can be obtained either as paper or as digital files.
Distribution_Liability: Any use of trade, product, or firm
names is for descriptive purposes only and does not imply
endorsement by the U.S. Government. Although this publication has
been subjected to rigorous review and is substantially complete,
the USGS reserves the right to revise the data pursuant to further
analysis and review. Furthermore, it is released on condition
that neither the USGS nor the United States Government may be held
liable for any damages resulting from its authorized or
unauthorized use.
Standard_Order_Process:
Non-digital_Form: Paper copies of the map sheets and
pamphlet can be obtained by contacting USGS Information Services
via the contact information listed above.
Metadata_Reference_Information:
Metadata_Date: 8/17/06
Metadata_Contact:
Contact_Information:
Contact_Organization_Primary:
Contact_Organization: United States Geological Survey
Contact_Person: Karen L. Wheeler
Contact_Address:
Address_Type: 345 Middlefield Rd. MS 973
City: Menlo Park
State_or_Province: California
Postal_Code: 94025
Contact_Voice_Telephone: 650-329-4935
Contact_Facsimile_Telephone: 650-329-4936
Contact_Electronic_Mail_Address: kwheeler@usgs.gov]
Metadata_Standard_Name: FGDC Content Standards for Digital
Geospatial Metadata
Metadata_Standard_Version: FGDC-STD-001-1998
Metadata_Time_Convention: local time
Metadata_Extensions:
Online_Linkage: http://www.esri.com/metadata/esriprof80.html
Profile_Name: ESRI Metadata Profile
| en |
all-txt-docs | 853653 |
``Search for the Higgs Boson in $H\rightarrow WW^{(*)}$ Decays in
$p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 96}, 011801 (2006)
``Direct Limits on B$_s^0$ Oscillation
Frequency", V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97}, 021802 (2006)
"Search for Resonant 2nd Generation Slepton Production
at the Tevatron", V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97}, 111801 (2006).
"Search for Neutral Higgs Bosons Decaying to tau pairs in
$p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97}, 121802 (2006).
"Search for associated Higgs boson production $WH \rightarrow WWW^*
\rightarrow \ell^{\pm}\nu \ell '^{\pm} \nu ' + X$ in $p\bar{p}$ collisions at
$\sqrt{s}$ = 1.96 TeV", V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97}, 151804 (2006).
"Search for Neutral, Long Lived Particles Decaying to Two Muons
in $p \bar{p}$ Collisions at $\sqrt{s} = 1.96$ TeV",
V.~M.~Abazov {\it et al.}, Phys. Rev. Lett. {\bf 97}, 161802 (2006).
"Search for the standard model higgs boson in the $p\bar{p}
\rightarrow Z H \rightarrow \nu \bar{\nu} b \bar{b}$ channel'',
V.~M.~Abazov {\it et al.}, Phys. Rev. Lett. {\bf 97}, 161803 (2006).
"Search for Pair Production of Scalar Bottom Quarks in
$p\bar{p}$ Collisions at $\sqrt{s}$ = 1.96 TeV', V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97}, 171806 (2006).
"Measurement of the $B_s 0$ Lifetime Using Semileptonic Decays",
V.~M.~Abazov {\it et al.},
Phys. Rev. Lett. {\bf 97},241801 (2006).
``Search for the Rare Decay $B0_s \rightarrow \phi \mu^+ \mu-$
with the D\O \ Detector", V.~M.~Abazov {\it et al.},
Phys. Rev. D {\bf 74}, 031107 (2006).
"Limits on anomalous trilinear gauge couplings from
$WW\rightarrow ee$, $WW\rightarrow e\mu$, and $WW\rightarrow \mu\mu$
events from $p\bar{p}$ collisions at $\sqrt{s}=1.96$ TeV",
V.~M.~Abazov {\it et al.},
Phys. Rev. D {74}, 057101 (2006).
"Measurement of the CP-violating parameter of $B^0$
mixing and decay in the $p\bar{p}\rightarrow \mu \mu + X$ data'',
V.~M.~Abazov {\it et al.}, Phys. Rev. D {74}, 092001 (2006).
"Measurement of the top quark mass in the lepton+jets final
state with the matrix element method'', V.~M.~Abazov {\it et al.},
by Phys. Rev. D {\bf 74}, 092005 (2006).
"Search for Heavy Resonance Decaying into a $Z$+jet
Final State in $p\bar{p}$ Collisions at $\sqrt{s} = 1.96$
TeV using the D\O \ Detector", V.~M.~Abazov {\it et al.},
Phys. Rev. D Rap. Comm. {\bf 74}, 100104 (2006).
``Search for Excited Muons in $p\bar{p}$ Collisions at
$\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Rev. D (Rapid Communications) {\bf 73}, 111102
(2006).
"Measurement of $B_d$ Mixing Using Opposite-side Flavor Tagging'',
V.~M.~Abazov {\it et al.}, Phys. Rev. D {\bf 74}, 112002 (2006).
"Measurement of the $t\bar{t}$ Cross Section in $p\bar{p}$
Collisions at $\sqrt{s}=1.96$ TeV using secondary vertex $b$ tagging
Phys. Rev. D {\bf 74}, 112004 (2006).
----------------------------------------------------
\item ``The Upgraded D\O \ Detector", V.~M.~Abazov {\it et al.},
accepted by Nucl. Instr. and Methods A {\bf 565}, 463 (2006), physics/0507191,
Fermilab-Pub-05/341-E.
``Search for Pair Production of Second Generation Leptoquarks in
$p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 636}, 183 (2006).
``Search for Squarks and Gluinos in Events with Jets and Missing
Transverse Energy in $p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV",
V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 638}, 119 (2006).
"Search for R-parity Violating Supersymmetry via the LLE
Couplings $\Lambda_{121}$, $\Lambda_{122}$, or $\Lambda_{133}$
in $p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 638}, 441 (2006).
``Measurement of the isolated photon cross section in
$p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV", V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 639}, 151 (2006).
``Measurement of $B(t\rightarrow bW)/B(t\rightarrow qW) at
\sqrt(s)$ = 1.96 TeV", V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 639}, 616 (2006).
"Search for scalar leptoquarks in the acoplaner jet topology'',
V.~M.~Abazov {\it et al.},
Phys. Lett. B {\bf 640}, 230 (2006).
"Search for Particles Decaying to a $Z$ Boson and a
Photon in $p\bar{p}$ Collisions at $\sqrt{s}=1.96$ TeV",
V.~M.~Abazov {\it et al.}, Phys. Lett. B {\bf 641}, 415 (2006).
"Search for $W'$ \boson production in the top quark decay channel",
V.~M.~Abazov {\it et al.}, Phys. Lett. B {\bf 641}, 423 (2006).
| en |
all-txt-docs | 258908 | *Pages 1--2 from Microsoft Word - 3181.doc*
Federal Communications Commission DA 00- 1896
Before the
Federal Communications Commission
Washington, D. C. 20554
In the Matter of
Amendment of Section 73.202( b),
FM Table of Allotments,
FM Broadcast Stations.
Meeteetse and Cody, Wyoming 1
)
)
)
)
)
)
)
MM Docket No. 98- 85
RM- 9286
RM- 9359
REPORT AND ORDER
(Proceeding Terminated)
Adopted: August 9, 2000 Released: August 18, 2000
By the Chief, Allocations Branch:
1. The Allocations Branch has before it a Notice of Proposed Rule Making, 13 FCC Rcd
11937 (1998), issued at the request of Windy Valley Broadcasting, requesting the allotment of Channel
273C at Meeteetse, Wyoming, as the communitys first local aural transmission service. L. Topaz
Enterprises, Inc. ( Topaz), filed comments and a counterproposal requesting the allotment of Channel
273C3 at Cody, Wyoming, as the communitys fourth local aural transmission service. Petitioner filed
comments reiterating its intention to file for the channel, if allotted.
2. In support of its proposal, petitioner states that the community of Meeteetse, with a 1990
U. S. Census population of 368 persons, is located in Park County, population 23,178 persons, in
northwestern Wyoming. It states that the allotment will provide the community with an outlet for local self
expression and will increase the health and safety of the community by having a local communication outlet
to warn the community of emergency conditions such as severe weather or other health hazards. As
further support of its community status, we note that Meeteetse also has a zip code, post office, city hall,
police and fire departments, a U. S. Forest Service station, and Sheriffs office. It also has schools, a
library, museum, recreation district, a bank, medical clinic, veterinary clinic, motels, restaurants and
numerous other businesses.
3. In support of its proposal, Topaz states that the community of Cody is an incorporated
community with a 1990 U. S. Census population of 7,897 persons, and is also located in Park County.
Stations KTAG( FM) and KODI( AM), as well as noncommercial educational station KYDZ( FM) are
already licensed to Cody.
4. We find that Meeteetse is a community for allotment purposes and that Cody has already
been established as a community for allotment purposes. As such, both communities are deserving of
allotments. A Commission engineering analysis shows that Channel 273C is available at Meeteetse and
1 The community of Cody, Wyoming, has been added to the caption.
1
Federal Communications Commission DA 00- 1896
2
Channel 244C3 is available for allotment at Cody. Therefore, since interest has been expressed in channels
at these communities, we will allot both channels and avoid any comparison of the proposals. Thus,
Channel 273C will be allotted at Meeteetse and Channel 244C3 will be allotted at Cody.
5. Channel 273C can be allotted at Meeteetse 2 and Channel 244C3 can be allotted at Cody 3
consistent with the minimum distance separation requirements of Section 73.207( b) and the principal
community coverage requirements of Section 73.315( a) of the Commissions Rules without site
restrictions.
6. Accordingly, pursuant to the authority contained in Sections 4( i), 5( c)( 1), 303( g) and (r)
and 307( b) of the Communications Act of 1934, as amended, and Sections 0.61, 0.204( b) and 0.283 of the
Commission's Rules, IT IS ORDERED, That effective October 2, 2000, the FM Table of Allotments,
Section 73.202( b) of the Commission's Rules, IS AMENDED with respect to the communities listed below,
as follows:
City Channel
Meeteetse, Wyoming 273C
Cody, Wyoming 250C, 244C3
7. Filing windows for Channel 273C at Meeteetse and 244C3 at Cody, Wyoming, will not be
opened at this time. Instead, the issue of opening filing windows for those channels will be addressed by
the Commission in a subsequent Order.
8. IT IS FURTHER ORDERED, That this proceeding IS TERMINATED.
9. For further information concerning the above, contact Victoria McCauley, Mass Media
Bureau (202) 418- 2180. Questions related to the application filing process should be addressed to the
Audio Services Division, Mass Media Bureau (202) 418- 2700.
FEDERAL COMMUNICATIONS COMMISSION
John A. Karousos
Chief, Allocations Branch
Policy and Rules Division
Mass Media Bureau
2 The coordinates for Channel 273C at Meeteetse, Wyoming, are 44- 09- 24 and 108- 52- 24.
3 The coordinates for Channel 244C3 at Cody, Wyoming, are 44- 31- 36 and 109- 03- 18.
2
| en |
converted_docs | 540076 | {width="0.55in" height="0.7027777777777777in"}
**To:**
**Fax Number:**
Some Tips for Group Reservations and Educational Fee Waivers
**Please read all information carefully**
1\. It is best if you can provide us with 2-3 weeks notice. We are
unable to provide special programs such as Interpretive Programs or a
DVD of the park films if we do not have this notice.
2\. Please try to get the documentation back to us as soon as possible.
Once we have received all of the needed documentation, we will send out
a confirmation letter.
3\. Due to concerns about impacts on the historic resources at
Appomattox Court House, we are not able to accommodate multiple large
groups at one particular time. If there is a conflict, we will contact
you and try to accommodate all groups requesting a reservation.
4\. If you are leading a group of students please read the requirements
for chaperones in the confirmation document. Teachers and group leaders
are responsible for their students.
**School Groups and Curriculum Based Education Programs**
Is this part of a curriculum-based education program? \_\_\_\_\_\_Yes
\_\_\_\_\_\_\_No
Educational fee waivers are granted to groups who are visiting the park
as part of a curriculum based educational program (schools, Elderhostel,
home school group) as long as the visit corresponds directly to a course
of study. If the fee waiver is granted, the waiver covers the student,
teachers, and bus drivers, along with one additional adult chaperone per
10 students.
**\*\*Note: If you are a tour company arranging a visit for a school or
educational group, this information must be forwarded to the educational
institution.\*\***
Waiver requests must include all three of the following and can be faxed
to the above number:
1. Waiver must be requested in advance, in writing on the institution
letterhead and addressed to the Park Superintendent, P. O. Box 218,
Appomattox, VA 24522.
2. Documentation of official recognition as an educational institution
by a federal, state or local entity (can be a tax exemption
certificate).
3. Statement of relationship between visit purpose and facility use,
including lesson plan and objectives to be accomplished by your
visit. (A general statement to the effect that the visit is for
"educational purposes" is not sufficient.)
Please fill out the following information and fax to 434-352-8330,
Attention Group Tours Coordinator.
Call 434-352-8987 x 31 with any questions.
**(If you are an educational group requesting a fee waiver, be sure to
include all the needed fee waiver documentation)**
Date of Visit Requested: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Time:
\_\_\_\_\_\_\_\_\_ Day of Week: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Name of Group:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Total Number in Group: \_\_\_\_\_\_\_\_\_\_\_ Adults: \_\_\_\_\_\_\_\_
Children: \_\_\_\_\_\_\_ Senior Citizens
Please indicate age and/or grade of children:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_Interpretive Program Requested?
Note: These programs are usually 20-30 minute talks about the history of
the events that took place here. The maximum number for these programs
is 30. A large group can be accommodated with 2-3 programs
**\*\*These programs can only be presented if staffing is
available\*\***
Group Contact Person:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Phone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Fax:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Email:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Group Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
City: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
State: \_\_\_\_\_\_\_\_\_\_\_\_\_ Zip Code:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**Additional Information Requested**
\_\_\_\_\_\_\_Brochure \_\_\_\_\_\_DVD of park films
\_\_\_\_\_\_\_Teacher Information Packet---consists of park brochure and
historical information on the events and the place.
Also available on our website,
[www.nps.gov/apco](http://www.nps.gov/apco), is *Peace and
Reunification*, an integrated teaching/learning package designed for
4^th^ and 5^th^ grade students.
**Please attach any special request or accessibility needs.**
| en |
converted_docs | 659830 | Drug Treatment: The Case for Coercion
**By Sally L. Satel, M.D.**
####### Yale University School of Medicine
**Oasis Clinic, Washington, DC**
*In this article, Dr. Sally Satel makes the case for coercion in drug
treatment, and outlines the successes drug courts have realized in
having drug involved offenders not only enter, but also remain in
treatment for substantial periods of time. Dr. Satel argues that coerced
treatment, specifically that found in drug courts, is far more effective
in reducing criminality and drug abuse precisely because participants
are retained for substantially longer periods than in voluntary
treatment. Dr. Satel discusses the history of coerced drug treatment,
outlines different approaches to it, and presents the evidence of
coercion's effectiveness. Drug courts are discussed as a successful
coerced treatment modality. Dr. Satel concludes that coercion has shown
that addicts need not be internally motivated at the outset of treatment
in order to benefit from it, and that coercion itself is a crucial tool
in the rehabilitation of addicts through drug treatment.*
*Dr. Sally Satel L. is a practicing psychiatrist and lecturer at Yale
University School of Medicine. Dr. Satel also serves as staff
psychiatrist at the Oasis Clinic in Washington DC, and as an adjunct
scholar at the American Enterprise Institute. In addition to publishing
widely in medical journals, Dr. Satel's articles have appeared in* The
National Drug Court Institute Review, The New Republic, City Journal
*(of the Manhattan Institute),* The Los Angeles Times*,* The Wall Street
Journal*,* The New York Times*,* SLATE*,* The Public Interest, *and* The
Women\'s Quarterly*. Dr. Satel is also the author of the book,* Drug
Treatment: The Case for Coercion *(1999, American Enterprise Institute
Press).* *Dr. Satel attended college at Cornell University, received an
M.S. from the University of Chicago, and an M.D. from Brown University.*
#### ARTICLE SUMMARIES
###### Coercion Necessary
**\[1\]** Coercion is the best chance available for increasing addicts'
quality of life and that of the society in which they live.
###### Drug Courts Successful
**\[2\]** Drug courts have proven especially successful in retaining
participants in treatment and thereby reducing substance abuse and
criminality.
###### National Results
**\[3\]** National treatment studies indicate that 1) length of time in
treatment predicts success, and 2) coerced patients stay in treatment
longer.
###### Drug Court Retention
**\[4\]** Drug court retention rates exceed retention rates for public
sector treatment programs.
###### Social Contracting
**\[5\]** Social contracting has great therapeutic potential for both
participants and the community as a form of coercive treatment.
###### Contingency Management
**\[6\]** Contingency management employs sanctions and incentives
similar to drug courts, and evidences success as well.
###### Participant Motivation
**\[7\]** Participants need not be internally motivated at the outset of
treatment to benefit from it. Without coercion, patients cannot be
retained in treatment.
###### Drug Courts Provide Lesson
**\[8\]** Drug courts provide an important lesson to other institutions:
coerced treatment success helps both participants and community
resources.
INTRODUCTION: WHY COERCION?
To judge by the character of the present debate over national drug
control policy, an observer would never guess how completely the
participants agree about some very important issues. The debate is
dominated by its extremes, opposing camps that deride each other's
arguments. On one side, the "drug warriors," as their critics label
them, want to stamp out drug use altogether: They advance strict
controls on drug production and harsh punishments for trafficking. At
the other end of the continuum, drug legalizers condemn the abolitionist
strategy as costly, punitive, and unrealistic, promoting in its place a
regime of relaxed controls plus regulation for some or all drugs.
Yet all assent to two crucial points. First, many drug addicts need drug
treatment if they are to lead productive and satisfying lives. Second,
the more treatment available to each of these addicts, the better. The
White House's Office of National Drug Control Policy estimates that the
nation's present treatment capacity can accommodate only half the
country's 3.5 million addicts (Dargan, 1998; *Psychology of Addictive
Behaviors*, December 1997), and there is need to narrow the gap.
These agreed-on propositions have not been acknowledged for what they
are: starting points from which to work towards a policy consensus. The
reason for this avoidance is a large, uncomfortable fact: even if we
close the so-called treatment gap, the most promising way -- perhaps the
only way -- to put enough addicts into treatment for enough time to make
a difference entails a considerable measure of coercion. This is a
proposition massively supported by the empirical data on drug treatment
programs, yet it runs counter to some of today's most powerful political
and cultural currents.
In the context of treatment, the term coercion -- used more or less
interchangeably with "compulsory treatment," "mandated treatment,"
"involuntary treatment," "legal pressure into treatment," and "criminal
justice referral to treatment" -- refers to an array of strategies that
shape behavior by responding to specific actions with external pressure
and predictable consequences. Coercive drug treatment strategies are
already common. Both the criminal justice system and the workplace, for
example, have proven to be excellent venues for identifying individuals
with drug problems, then exerting external leverage, from risk of jail
to threat of job loss, and providing powerful incentives for individuals
to start and stay in treatment.
**\[1\]** *The aim of the examination is to make the case that unless we
acknowledge the necessity for coercive strategies, we will lose the best
chance we have for treating addicts in ways that will bring about a
significant increase in the quality of their lives and that of the
society in which they live.*
# The Effectiveness of Coerced Treatment
Data consistently show that treatment, when completed, is quite
effective. Indeed, during even brief exposures to treatment, almost all
addicts will use fewer drugs and commit fewer crimes than they otherwise
would, which means that almost any treatment produces benefits in excess
to cost. But most addicts, given a choice, will not enter a treatment
program at all.
Moreover, evidence shows that addicts referred to treatment through
court order or employer mandates benefit as much as or more than their
counterparts who enter treatment voluntarily. Research over the past
thirty years has firmly established that individuals who remain in
treatment for longer periods of time are more successful, maintaining
sobriety and committing fewer crimes.
A massive amount of data, assessing roughly 70,000 patients since 1967,
emerged with two clear findings. First, the length of time a patient
spends in treatment is a reliable predictor of his or her post-treatment
performance. Beyond a 90 day threshold, treatment outcomes improved in
direct relationship to the length of time spent in treatment, with one
year generally found to be the minimum effective duration of treatment
(Pescor, 1943; Simpson and Sells, 1983; Hubbard, et al., 1989; Simpson
and Curry, eds., *Psychology of Addictive Behaviors* vol. 11; Center for
Substance Abuse Treatment, 1996). The second major finding was that
coerced patients tended to stay in treatment longer.
Looking at the most recent studies brings home how effective coerced
treatment is (specifically that found in drug courts) compared to
voluntary treatment.
Drug courts, which are coercive in nature, have proven especially
successful in sustaining participants in treatment. An American
University survey of the 200 oldest drug courts found that 70 percent of
those offenders who entered the programs remained active in treatment at
the end of one year (American University, 1998). Steven Belenko, of
Columbia University's Center on Addiction and Substance Abuse, came to a
similar conclusion finding that "about 60 percent of those entering drug
courts are still in treatment (primarily out patient drug-free) after
one year" (Belenko, 1998).
In comparison, those addicts who do enter a program voluntarily rarely
complete it. About half drop out of the treatment program in the first
three months (Langenbucher, et al., 1993). Further, 80 to 90 percent of
voluntary participants leave treatment by the end of the first year
(Langenbucher, et al., 1993). Among such dropouts, relapse within a year
is generally the rule (Langenbucher, et al., 1993).
**\[2\]** *Clearly, coerced treatment, at least as used by drug courts,
is more effective in retaining participants for substantially longer
periods than voluntary treatment and therefore is far more effective in
reducing criminality and drug abuse.*
In short, if treatment is to fulfill its considerable promise as a key
component of drug control policy, whether strict or permissive, addicts
must not only enter treatment but stay in treatment for substantial
periods of time. Clearly, the coercion provided through drug courts is
proving a more effective treatment modality than voluntary treatment.
**A BRIEF** **HISTORY OF COERCION IN DRUG TREATMENT**
This article begins by recounting the story of early formal efforts to
rehabilitate drug addicts and by drawing from the lessons of those
efforts. It will proceed to explore modern approaches to coercive
treatment and examine the effectiveness of those approaches. It will
then look at the future of coercive treatment and, finally, suggest ways
in which to integrate the theory and practice of coercive treatment into
current policy.
# The Rise of Coercive Treatment
The nation had a perceived drug problem for some 50 years before
coercive treatment strategies developed in response. The first wave of
cocaine, heroin, and morphine addicts was inadvertently created during
the 1880s through the early 1900s, first by well meaning physicians,
later by hawkers of patent remedies. Most of the resulting "medical
addicts," as they were called, were genteel women, personified by the
heroin-addicted mother Mary Tyrone in Eugene O'Neill's *Long Day's
Journey Into Night*. They did not evoke moral censure.
Very different were the addicts who emerged over the first two decades
of the 20^th^ century. These were poor male "pleasure" addicts, harshly
condemned as a social menace (Jonnes, 1996). In response, the Treasury
Department, in 1919, cracked down on physicians who prescribed cocaine,
heroin, and morphine. States imposed and enforced criminal penalties for
use. Officials in big cities, fearing that the hundreds of male addicts
thus deprived of their prescriptions would turn in desperation to
violent crime, established opiate clinics to dispense morphine and
heroin. By 1920, some 40 such clinics were established.
Some of the clinics were worse than ineffective. The most notorious,
like the Worth Street Clinic in New York City, were corrupted by
diversion of drugs and presented the spectacle of bedraggled dope
fiends, as they were portrayed, loitering around the neighborhood.
The best-run of these facilities, like those in New Haven, Connecticut,
Los Angeles, California, and Shreveport, Louisiana, did reduce
drug-related crime and illicit trafficking, but were still unable to
point to addicts whom the clinics had cured of their addiction (Musto,
1987; White, 1998). The Shreveport clinic, however, did keep a close eye
on its 198 patients, maintained meticulous records, and required that
its addicts hold jobs and keep up their physical appearance or be cut
off from the clinic. This requirement, historian Jill Jonnes notes,
"probably weeded out most of the 'sporting' addicts and other unsavory
types who so frustrated the New York doctors" (Jonnes, 1996, p.55).
In time, the federal government extended its policy of total drug
abstinence to the clinics, which had all closed their doors by 1925 when
the medical staffs were threatened with indictment by federal
authorities. With the end of this short-lived clinical era, treatment
for opiate dependence was largely unavailable between the early 1920s
and the end of the Second World War. Though relatively few new addicts
emerged during this period, those who had become afflicted in the early
1900s tended to remain opiate-dependent. In particular, a growing
population of aging addicts came to inhabit federal prisons, to which
addicts convicted of selling or possessing drugs were routinely sent.
**Narcotics Farms**
As early as 1919, when governments began reining in physician
prescribing of opiates, the Narcotics Unit of the Treasury Department
urged Congress to set up a series of federal narcotics farms where users
could be confined and treated (Inciardi, in Leukefeld and Tims, eds.,
1988). It was only in 1935, though, in response to the problem of aging
addicts, that the U.S. Public Health Service opened a facility in
Lexington, Kentucky. Three years later, another federal farm was
established in Fort Worth, Texas. These facilities received both
criminal violators and addicts who enrolled in treatment voluntarily.
The Lexington facility was a hospital-prison-sanitarium in which medical
and moral approaches to treatment converged. It was located, as Jonnes
has described it,
> on 1,100 acres of rolling bluegrass. . . an Art Deco campus-like
> affair with barred windows. In its early years, Lexington was
> literally a working farm operated by patient-inmates with chicken
> hatcheries, slaughter houses, four large dairy barns, a green house
> and a utility barn. When not farming, inmates could work in sewing,
> printing or wood working shops (Jonnes, 1996, p. 111-12).
The facilities did not, however, succeed in providing a wholesome and
salutary rural respite. According to Jonnes, the "effect of going to KY
\[as patient-inmates called the Lexington farm\] for most addicts was to
expand their network of addict pals." The doctors were dedicated but
frustrated, often noting that their patients would likely relapse upon
returning to the inner cities from which they came.
The data confirmed the doctors' impressions. According to a report by
the U.S. Comptroller General, approximately 70 percent of the hospital's
voluntary patients signed out against medical advice before completing
the six-to-12-month treatment program; and within a few years, 90
percent had relapsed (U.S. Comptroller General, 1971). Most who remained
in treatment did so under legal pressure from a court.
Still, though the farms are generally considered to have been failures,
they generated useful clinical information. Most important, several
follow-up studies of the participants indicated that addicts who after
treatment were supervised under legal coercion had better outcomes than
those not so supervised. A follow-up of over 4,000 addicts, six months
after discharge from treatment, found that those on probation or parole
were more than twice as likely to remain abstinent as voluntary
patients, probably because the former had compulsory post-hospital
supervision (Pescor, 1943). A longer-term follow-up of the same
population confirmed the critical role of post-hospital surveillance: it
found that of those serving more than 12 months of parole, 67 percent
remained drug-free a year after discharge, while the figure for
voluntary patients was only four percent (Vaillant, 1966).
The data showed, in sum, that some kind of post-discharge supervision
was needed. The information also yielded the lessons that (a) a
six-to-12-month treatment stay was too brief, (b) the need was for
intensive vocational services rather than psychological services aimed
at personality change, and (c) the threat of reinstitutionalization had
teeth.
# *Therapeutic Communities*
After World War II, organized crime was able to reactivate the old
heroin trafficking routes disrupted by the war, and inner-city
physicians began to encounter the next generation of heroin addicts.
Therefore, the 1950s saw a resurgence of interest in the treatment of
addiction -- and, in particular, the emergence of the notion of the
self-regulating therapeutic community (TC), an idea enthusiastically
welcomed by clinicians and policymakers who were heartened by early TC
success stories and demoralized by the gloomy results of previous
treatment efforts.
The idea of a therapeutic community was exemplified by Synanon, a
residential facility established by former alcoholic Charles Dederich in
Santa Monica, California to treat both alcohol and heroin addicts.
Synanon was followed by the establishment in New York City of Daytop
Village and, in 1967, Phoenix House. The latter, a residential center on
the Upper West Side, was founded by psychiatrist Mitchell Rosenthal,
inspired by the efforts of six former addicts who were trying to keep
themselves clean and enlisted his help.
Modern therapeutic communities immerse patients in a comprehensive 18 to
24-month treatment regimen built around the philosophy that the addict's
primary problem is not the drug he abuses, but the addict himself.
Though psychiatric orthodoxy holds that addiction is a discrete,
self-contained "disease," the therapeutic community's approach
recognizes drug abuse as a symptom of a deeper personal disturbance. The
strategy for rehabilitation is to transform the destructive patterns of
feeling, thinking, and acting that predispose a person to use drugs.
In this effort, the primary "therapist" is the community itself, not
only peers but staff members, some of whom are graduates of a program
themselves and can serve as role models. The dynamic is mutual
self-help; residents continually reinforce, for each other, the
expectations and rules of the community. For meeting community
expectations, residents win rewards -- privileges like weekend passes or
increasing responsibility, culminating in leadership roles. If a
resident defies the rules, he or she loses privileges and must perform
the least desirable chores. All residents must work -- above all so that
they learn to accept authority and supervision, an ability vital to
their future success in the work force.
Researcher George De Leon has identified three stages in a resident's
attitude towards such communities (De Leon, in Leukefeld and Tims, eds.,
1988; De Leon, Melnick and Kressel, 1997):
\(1\) compliance: adherence to rules simply to avoid negative
consequences such as disciplinary action, discharge from the program, or
reincarceration;
> \(2\) conformity: adherence to the recovery community's norms in order
> to avoid loss of approval or disaffiliation;
>
> \(3\) commitment: development of a personal determination to change
> destructive attitudes and behaviors.
Those who negotiate the commitment stage have excellent outcomes. De
Leon, in a long-term follow-up study of addicts admitted to Phoenix
House, found that after five to seven years, 90 percent of those who had
graduated were employed and crime-free, while 70 percent were drug-free
(De Leon, Wexler and Jainchill, 1982).
However, the graduates constituted only 20 percent of De Leon's sample.
Generally, half of voluntarily committed patients leave therapeutic
communities prematurely within the first 90 days, generally considered
to be the threshold at which individuals form an independent commitment
to a treatment program. Perhaps one in five to one in ten fully
completes a program (De Leon, in Leukefeld and Tims, eds., 1988; De
Leon, Melnick and Kressel, 1997; Anglin and Hser, in Inciardi, ed.,
1990).
These dropout rates are not hard to understand. In the early months of a
program, residents of a therapeutic community often rebel against the
rigid structure, loss of status they enjoyed on the street, and
deprivation of getting high. Ambivalence about relinquishing drugs is a
powerful psychological force pulling patients back to the street. Even
patients with strong motivation experience flagging resolve, momentary
disillusionment, or intense cravings. If a patient succumbs to these
pressures, he or she may have gained some benefit from even the brief
exposure to treatment but is at high risk for relapse into drug use and
crime.
De Leon therefore sees legal pressure as the initial force that can
literally get patients through the door into treatment and keep them
there until they internalize the values and goals of recovery. Coercion
alone cannot do the job: one researcher put it that "if contact with
therapy does not bring its own rewards, the potency of coercion will
decline precipitously, and could ultimately work against treatment
goals" (Marlowe, et al., 1996). But the threat of consequences like
incarceration, the loss of a job, or some other aversive event can
sustain an ambivalent or flatly resistant patient during the early
months of treatment until those rewards -- newly learned skills, a
transformed self-concept, social maturation, and optimism about the
future -- ultimately inspire him or her to change.
Thus, it is of interest that in De Leon's Phoenix House sample, it did
not matter statistically to a patient's chances of "graduating" whether
he or she had enrolled voluntarily or had been mandated to treatment (De
Leon, Wexler and Jainchill, 1982). This similarity did not mean, in De
Leon's view, that compelled treatment made no difference; it was the
opposite. The compelled patients began with worse prognoses, because of
their legal involvement and their higher incidence of antisocial
personality disorder and low motivation (De Leon, in Leukefeld and Tims,
eds., 1988; De Leon, Melnick and Kressel, 1997; Leukefeld and Tims,
eds., 1988; Anglin and Hser in Inciardi, ed., 1990). Counteracting these
disadvantages, though, was the fact that individuals who had court cases
pending or had been legally referred to the community spent, on average,
more days in treatment than voluntary patients did (De Leon, in
Leukefeld and Tims, eds., 1988). The relatively bad prognosis was made
up for by more treatment days. "Retention in treatment," De Leon
therefore concluded, "is the best predictor of outcome, and legal
referral is a consistent predictor of retention."
### Methadone Clinics
The postwar period also saw, in the early 1960s, a renewed receptiveness
to the idea of drug maintenance. The number of heroin users was
increasing, and the treatment available to New York City's 100,000
heroin addicts, half of those in the nation, remained limited to
hospital-based detoxification and the Daytop Lodge therapeutic
community. A few years earlier, a joint committee of the American Bar
Association and the American Medical Association had called for
restoring physicians' freedom to prescribe heroin and for the
establishment of an experimental clinic for this purpose. In 1963, both
the New York Academy of Medicine and President John F. Kennedy's
Presidential Commission on Narcotics and Drug Abuse (the Prettyman
Commission) made similar recommendations (Musto, 1987; White, 1998).
Marie Nyswander and Vincent Dole, physicians at New York's Rockefeller
Institute, set out to develop new pharmacological approaches to treating
heroin addiction. They hypothesized that suppressing the physiological
craving for the drug was the key to treating the addiction, and they
sought a replacement or "substitution" drug that would, unlike heroin
and morphine, not wear off within a few hours. Ideally, a long-acting
medication would stabilize individuals so that they could hold down a
job and function normally.
Nyswander and Dole chose methadone, a long-acting synthetic opiate
developed by German chemists searching for an inexpensive morphine-like
medicine during World War II. Addicts could take methadone orally and
needed to do so only once a day in order to prevent withdrawal and
craving. Moreover, because methadone worked by blocking opiate
receptors, patients would not experience euphoria even if they took
heroin in addition.
Dole started six patients on methadone in 1965. Around the same time,
the U.S. experienced an influx of heroin from the Golden Triangle of
Burma, Laos, and Thailand, fueling an epidemic that peaked in most
American cities between 1969 and 1972. By 1969, almost 2,000 New York
City addicts were enrolled in Dole's maintenance clinic, and by 1970 the
city had expanded the clinic system to serve 20,000 voluntary patients
(Lowinson, et al., in Lowinson, Ruiz and Millman, eds., 1992).
Although there are not many studies of the relationship between
compelled treatment and methadone therapy,
However, over 20 years ago, M. Douglas Anglin of UCLA conducted an
important study of whether addicts coerced into drug treatment differed
from voluntary patients in their responses to treatment (Anglin, in
Leukefeld and Tims, eds., 1988; Anglin, 1988). Anglin divided some 600
methadone-maintenance patients according to whether they were subject to
high, moderate, or low levels of coercion. The 19 percent in the "high
level" category were under official legal supervision, including
required urine testing, and perceived their entry into treatment as
motivated primarily by the legal system. Another 19 percent, moderately
coerced, were under active legal supervision and either were having
urine tests or perceived coercion as the reason for their entry into
treatment. Finally, 62 percent of the sample, under a low level of
coercion, were not under legal supervision and not subject to monitoring
via probation or parole. The majority of these reported feeling no legal
pressure, even as minor as a fear of arrest, impelling them towards
treatment.
When Anglin compared the three groups, he found that all of them showed
substantial improvement when measured on narcotics use, crime, and
social functioning. Once again, compelling patients to accept treatment
did not bar clinical progress and, given the relatively poor prognoses
of those involved, probably aided such progress.
The same lesson emerged from a more recent experience with methadone
treatment at the Southeast Baltimore Drug Treatment Program. A research
team led by psychologist Michael Kidorf of Johns Hopkins University
noted that unemployment was a common problem among inner city drug users
and lamented that "standard drug abuse treatment services appear to have
only small effects on employment" (Kidorf, et al., 1998). In response,
the Baltimore clinic, like its predecessor clinic in Shreveport some 70
years before, instituted the once-again-innovative requirement that its
methadone patients be employed for at least 20 hours a week in order to
receive methadone and related services. Patients were given two months
to find employment or enroll in job training or community service
programs. If they did not, they received five weeks of intensive
counseling; those who did not obtain employment after counseling were
tapered off methadone.
Because these patients had been enrolled in the same clinic before the
requirement went into effect, their performance prior to the new rule
could be compared with the same population's performance afterwards.
Before the requirement, despite enhanced counseling with vocational
training, none had managed to secure either paying or volunteer
employment. By two months after the imposition of the requirement,
however, 75 percent of the sample had secured and maintained verified
paid employment, volunteer work, or education.
### Civil Commitment
Compelled treatment showed its potential in the California Civil Addict
Program, created in 1961 as the first-implemented statewide civil
commitment program in the country. Serving mostly heroin addicts, the
program flourished during the 1960s (McGlothlin, Anglin and Wilson,
1977). The California Department of Corrections ran the program,
providing high-quality treatment by specifically recruited and specially
trained corrections personnel.
During the program's most active years, its protocol included an average
of 18 months of inpatient treatment out of a total commitment period of
seven years. After 18 to 24 months in residential treatment, patients
spent up to five years closely supervised by specially trained parole
officers with small caseloads who monitored patients closely and
administered weekly urine toxicology tests. For any narcotics use
violation discovered by these tests, the officers had authority to take
action, up to returning patients for treatment to the institutions from
which they had been discharged.
This program became the venue for an unfortunate natural experiment:
During the program's first two years, judges and other officials
unfamiliar with its procedures mistakenly released about half of the
committed population after only minimal exposure to the inpatient part
of the program. Dr. Anglin's research team took advantage of this
circumstance, selecting a sample of individuals who had participated in
the program's inpatient treatment for a sustained length of time and
comparing it with a matched sample of individuals who had been
erroneously released. The team compared the two groups on their
self-reported percentages of time spent on drug use and criminal
activity, then verified the data through arrest records and urine
specimens taken at follow-up interviews.
By one year after the premature release of half of the study population,
the two groups had sharply diverged. Individuals who had been
prematurely released were more than twice as likely as those who had
completed 18 months as inpatients to use narcotics. During the
subsequent years of outpatient supervision, narcotics use declined for
both groups; but the decline for those who had been kept as inpatients
averaged 22 percent, while the figure for the discharged group was only
seven percent.
Criminal activity followed a similar pattern. Before commitment, both
groups had devoted about 60 percent of their time to such activity. A
year after one group had been prematurely discharged, the figure for the
treated group was 20 percent while the figure for the discharged group
was 48 percent. At the end of seven years, criminal activity among the
treated group had undergone a further reduction of 19 percent, but the
reduction figure for the discharged group was only seven percent.
New York followed California's model, with a crucial and deleterious
difference. Prompted by California's success, New York began its own
civil commitment program in 1966. New York had the advantage of that
year's federal Narcotic Addict Rehabilitation Act, which aimed to link
criminal justice agencies to community-based treatment programs. The Act
provided for compulsory treatment for addicts charged with certain
nonviolent federal crimes; for treatment instead of sentencing for those
convicted of such crimes, and for voluntary commitment of drug users not
involved in criminal proceedings. The Act also began what was to become,
in the 1970s, massive federal funding of treatment programs.
However, New York -- unlike California, which mandated addicts to
rehabilitation -- allowed addicts to choose between treatment and
incarceration. Those who chose the former were treated in residential
settings developed during those years by the state Narcotics Addiction
Control Commission, but this phase of treatment lasted only about nine
months. Inpatient treatment was followed by parole-like supervision for
another two to four years. Unfortunately, supervision was loose, and a
high percentage of patients went AWOL. Governor Nelson Rockefeller was,
not surprisingly, discouraged. "Let's be frank," he said in his 1973
Address to the Legislature; "we have achieved very little permanent
rehabilitation, we have found no cure" (Rockefeller, Annual Address,
January 3, 1973).
# Resistence to Coercion
EVIDENCE OF THE EFFECTIVENESS OF COERCED TREATMENT
Until recently, treatment has been only marginally effective. It wasn't
until the last 50 years or so that coercive treatment entered the
treatment field and has since been proven as an effective method of
treatment.
An estimated 60 percent of the cocaine and heroin used in the United
States is consumed by the five million Americans who are supervised by
or incarcerated within the criminal justice system. Moreover, offenders
who abuse drugs are more likely than non-abusing offenders to return to
crime following release from incarceration (Taxman, 1998; Bureau of
Justice Statistics, 1995). Therefore, there is considerable potential
within the criminal justice system for reducing drug abuse and related
crime through mandated treatment. Evidence indicates that diversionary
and in-prison treatment programs, though currently available to only
some 15 percent of offenders, have a benefit beyond the crime-reducing
effects of incarceration or probation as usual (National Center on
Addiction and Substance Abuse, Columbia University, 1998; Harlow, 1998;
Bureau of Justice Statistics, U.S. Department of Justice, 1997). Results
from several categories of criminal commitment show that treated
offenders have lower rates of recidivism. Though these studies do not
always directly measure post-treatment drug use, crime itself can
reasonably be used as indirect evidence of drug involvement, since the
two activities are so highly correlated. Conversely, declines in drug
use are accompanied by declines in crime, particularly income-generating
crime (Speckart and Anglin, 1986; Nurco, Kinlock and Hanlon, in
Inciardi, ed., 1990; Chaiken, in Johnson and Wish eds., 1986).
# National Outcome Studies
The first evaluation of this network of community-based programs began
in 1968 when the National Institute of Mental Health funded a proposal
by Saul B. Selis, Director of the Institute of Behavioral Research at
Texas Christian University, for the Drug Abuse Reporting Project (DARP).
Data collection began in 1969 and lasted four years, following about
44,000 patients enrolled in 52 federally funded programs. The project
followed subgroups for five and 12 years following discharge from
treatment.
In 1974, the Institute transferred control of the project to the newly
created National Institute on Drug Abuse (NIDA). NIDA subsequently
funded two more large studies, the Treatment Outcome Prospective Study
(TOPS), which followed 12,000 patients who entered treatment between
1979 and 1981, and the Drug Abuse Treatment Outcome Study (DATOS), which
followed 11,000 patients who entered between 1991 and 1993. More
recently another federal agency, the Center for Substance Abuse
Treatment, undertook the National Treatment Improvement and Evaluation
Study, of 4,400 patients who entered the project between 1993 and 1995.
Taken together, these studies assessed roughly 70,000 patients, of whom
40 to 50 percent were court-referred or otherwise mandated to
residential and outpatient treatment programs (Simpson and Sells, 1983;
Hubbard, et al., 1989; Simpson and Curry, eds., *Psychology of Addictive
Behaviors* vol. 11; Center for Substance Abuse Treatment, 1996).
**\[3\]** *Two major findings emerged from these huge evaluations. The
first was that the length of time a patient spent in treatment was a
reliable predictor of his or her post-treatment performance. Beyond a
90-day threshold, treatment outcomes improved in direct relationship to
the length of time spent in treatment, with one year generally found to
be the minimum effective duration of treatment (De Leon, in Leukefeld
and Tims, eds., 1988; De Leon, Melnick and Kressel, 1997).*
The second major finding was that coerced patients tended to stay
longer. (On this second point, DARP was an exception, finding no
correlation between criminal justice status and either time spent in
treatment or improvement. One can say only that DARP's compelled
patients stayed as long as, and did no worse than, voluntary patients.)
To evaluate these findings, it is important to know whether addicts who
entered treatment under legal coercion were meaningfully different from
other patients. The findings from these studies are mixed. Some show
that legally coerced addicts had a relatively unfavorable pre-admission
profile -- more crime and gang involvement, more drug use, worse
employment records\-- than their non-coerced counterparts. Other studies
detected little difference other than the particular offense that
triggered the mandate to treatment (McGlothlin, in DuPont, Goldstein and
O'Donnell, eds., 1979).
In the DARP study, the baseline characteristics of voluntary and legally
referred patients were similar. Because the subjects were relatively
homogeneous on these dimensions, being primarily young, male, inner-city
"street addicts," more than 80 percent with at least one previous arrest
and over half previously incarcerated, the authors speculated that legal
status was unlikely to have been a very discriminating variable.
The TOPS study, by contrast, discovered some differences. True, legally
mandated and voluntary patients had similar drug use patterns, previous
criminal justice involvement, and number of prior treatment episodes.
But the legally mandated patients were younger than their voluntary
counterparts and more likely to be male. When researchers looked
specifically at patients who reported that the criminal justice system
was the primary source of their referral to treatment, they found that
these legal referrals were not only younger but used mainly alcohol and
marijuana rather than "harder" drugs. The authors speculated that the
legally mandated patients were "caught" earlier in their careers, that
they were incarcerated too recently to have re-established their habits,
or both.
Though the studies do not present a consistent picture of pretreatment
characteristics of legally mandated patients, they make it reasonable to
conclude that even legally coerced addicts having relatively unfavorable
prognoses can benefit from treatment as much as voluntary patients do,
since the latter often remain in treatment for a shorter period of time
(McGlothlin, in DuPont, Goldstein and O'Donnell, eds., 1979).
A 1990 report from the Institute of Medicine summarized that "contrary
to earlier fears among clinicians, criminal justice pressure does not
seem to vitiate treatment effectiveness, and it probably improves
retention" (Gerstein and Harwood, eds., 1990). Thus, while there is
conflicting evidence as to whether a legal mandate brings individuals
into treatment earlier, coercion can almost surely be credited with
derailing many an addiction career once individuals have been brought
into treatment (Collins and Allison, 1983; Anglin and Hser, in Tonry and
Wilson, eds., 1990).
Of special significance, in light of the importance of the length of
treatment, is the fact that all four national outcomes studies showed
high rates of attrition among patients, with half dropping out inside of
90 days. For these early dropouts, the benefits of treatment disappeared
within the year. With substantial, durable change rarely occurring in
less than a year or two of treatment, the high dropout rate makes
retaining patients in treatment a pressing challenge.
Some researchers have hypothesized that the key to retention is to match
each individual patient with the proper type of treatment. Though in
principle such matching makes clinical and economic sense, there is
surprisingly little tested information about such attempts. Two
prospective studies by A. Thomas McLellan of the University of
Pennsylvania suggest that tailoring patient care can indeed make a
difference (McLellan, et al., 1993; McLellan, et al., 1997; Hser, 1995).
McLellan assigned patients to programs according to particular
psychiatric, medical, or family needs and found better outcomes for
these patients than for those without such treatment. One of the
national outcomes studies, DATOS, similarly found that even severely
drug dependent patients were more likely to be abstinent at their
one-year follow-up if they had received support services targeted to
specific needs.
However, these findings are not uniform. The American Society for
Addiction Medicine has developed widely used criteria for placing
patients in specific treatment modalities; but the few studies assessing
the validity of these criteria have not found an effect on outcomes
(McKay, McLellan and Alterman, 1992).
Thus far, it appears that "patient matching," while it may be one means
of assigning patients to treatment, is no substitute for length of
treatment. It is length of exposure to treatment that powerfully
predicts patient success, no matter what the treatment setting. The
federal Center for Substance Abuse Treatment, in a recent study
examining the relationship between these two variables, compared one
sample of addicts who had ten months of residential care followed by two
months of outpatient care with another sample that had six months of
residential care followed by another six months of outpatient care.
Regardless of the treatment scheme to which patients were assigned,
those who completed the entire 12-month treatment period had the best
outcomes. And those most likely to complete the course of treatment were
patients under probation, parole, or pre-trial supervision (Nemes, Wish
and Messina 1998).
# Prison-based Programs
According to a 1997 survey of state departments of corrections sponsored
by the Corrections Program Office, approximately 70 percent of all state
prison inmates are in need of substance abuse treatment (Office of
Justice Programs, 1998). Reporting states indicated, however, that only
15 percent complete a prescribed substance abuse treatment program
before their release from confinement (National Institute of Justice,
1996).
About 12 percent of prisons have intensive treatment programs based on
therapeutic community principles (Lipton, 1998), lasting from six to 15
months and open to nonviolent offenders who are within 18 months of
eligibility for work release or parole. Within the prison, these
offenders are segregated from the rest of the inmate population, in
order to maintain the integrity of the program and to protect
participants from other prisoners.
In a comprehensive review of the prison-based programs of the 1970s and
1980s, Falkin and co-authors concluded that in-prison therapeutic
communities are effective (Falkin, Wexler and Lipton, in Gerstein and
Harwood, eds., 1990). Examining programs such as New York's Stay'n Out
(which they praised as a national model), Oregon's Cornerstone Program,
and others, the authors found that the treatment experience, optimally
for nine to 12 months, was strongly correlated with successful
subsequent parole. For example, violations of parole occurred among 50
percent of the offenders who stayed less than three months in Stay'n
Out, among 39 percent of those who stayed longer than three months, and
among only 15 percent of those who completed the program.
Reincarceration rates within three years of release from prison were
significantly lower for Stay'n Out participants, no matter how long they
participated, than for matched offenders who had expressed interest in
being treated but did not meet technical eligibility requirements.
Similarly, Cornerstone graduates had a 36 percent reincarceration rate
over a three-year follow-up period, while the figure was 63 percent for
parolees-as-usual. The graduates' relative success occurred despite the
fact that they had begun with more severe criminal and substance abuse
histories than the control group.
# Work Release Programs
In 1987, the Delaware Department of Corrections established the Crest
program, the first therapeutic community work-release center in the U.S.
(Inciardi, et al., 1997). Offenders who had been released from prison
after participating in the Key program, a prison-based therapeutic
community for drug-involved offenders at a maximum security prison,
entered the Crest Center for three months of on-site treatment, three
months of additional treatment, and job training, also within a
therapeutic community.
Led by the Center's director, James Inciardi, researchers from the
University of Delaware's Center for Drug and Alcohol Studies compared
four groups of mostly male participants: Key participants who did not go
on to Crest, Crest participants who had not gone through the Key
program, Key and Crest combined, and a control group that had been
incarcerated without treatment, then gone on to conventional work
release. The Key and Key-Crest groups had begun with higher levels of
drug abuse and longer criminal histories. The Key-only group was older
and less likely to be white.
The study found that the longer one's tenure in treatment and the closer
to time of release the treatment was received, the better the
post-release outcome. Overall, the therpeutic element of the
prison-parole combination appears to reside more heavily in the parole
phase than in the incarceration phase.
At an early follow-up, in-prison treatment was found somewhat more
beneficial than no treatment. By 18 months, however, there was no
significant difference between the Key and control groups in rearrest
rates and urinalysis-confirmed drug use. By contrast, at 18 months
Crest-only participants maintained an advantage over the control group.
In addition, at the six-month follow-up, the Crest group was as
successful as the Key-Crest group; but by 18 months, the Key-Crest group
was superior, with 77 percent arrest-free and 47 percent drug-free among
Key-Crest participants, while the figures were only 57 percent
arrest-free and 31 percent drug-free among the Crest group.
The Key-Crest combination outranked all the others, with nearly half the
individuals drug-free at 18 months, three times the figure for the
control group, while Crest-only participants had an intermediate
likelihood of being drug free.
# Treatment Alternatives to Street Crime
TASC, established as a federal program in 1972 as one of the first
initiatives of the Nixon administration's war on drugs, was moderately
successful in cutting the number of street crimes committed by addicts.
TASC was meant to serve as a bridge between the criminal justice and
treatment systems. It functioned as a diversion program for drug
abusers, diverting them from jail or prison by identifying non-violent
addicted criminals and referring them to treatment in the community.
TASC assigned arrestees to case managers who were to get them into
treatment and send progress reports back to the courts. The program, now
supported primarily by state and local governments, subsequently
expanded to supervising probationers and to post-sentencing disposition.
TASC has been the subject of a number of evaluations. Most are postive;
others are partly so. In one such study, the TOPS project compared a
subgroup of TASC-referred patients with a group of voluntary,
unmonitored patients involved in the criminal justice system (Collins
and Allison, 1983). Comparing patients' drug use one year before
treatment to their drug use after the first three to six months of
treatment, the TOPS researchers found that the TASC patients' use had
declined by 81 percent; the comparable figure for the control group was
74 percent. Predatory illegal acts had declined by 96 percent for the
TASC group but only 71 percent for the control group.
The Education and Assistance Corporation analyzed results from the
Brooklyn, New York TASC program (Education and Assistance Corporation,
1995). Of 173 felons placed in treatment in 1992, 71 percent remained in
the program for at least two years. At 29 months after completion of the
program, the group's rearrest rate was nine percent. This was much lower
than either the 25 percent rearrest rate among offenders from a control
program or the 28 percent rearrest rate among the general inmate
population in New York State correctional facilities.
In Texas, a study found that seven percent of TASC-referred offenders
were incarcerated during an 18-month observation period, compared with
28 percent of offenders who did not enter treatment or who stayed less
than three months (Criminal Justice Policy Council, 1995).
Finally, researchers at UCLA and RAND studying five regional sites
compared TASC offenders mandated to treatment or to surveillance,
including urine testing and case management, with a control group of
offenders who received standard probation with little supervision
(Anglin, et al., 1996). The TASC and control groups were similar on most
demographic, drug, and criminal-record variables. At six months after
patients' entry into the study, the researchers measured
police-confirmed new arrests and technical violations and unverified
self-reports of drug use.
The findings varied across the sites. In three places, TASC patients
showed greater reductions in all three outcomes. In some places there
was no difference on one or another outcome. At two sites, Birmingham,
Alabama and Portland, Oregon, the researchers actually found more
criminal involvement and technical violations among TASC patients -- but
the authors attributed this phenomenon to the fact that the TASC
offenders were being watched more closely and were thus more likely to
get caught. (The authors also thought that the figures on self-reported
drug use among TASC patients might be artificially low because heavily
monitored groups may be more likely to minimize their reporting of
punishable behavior.)
# Diversion from Prison
In 1990, the office of the Kings County (Brooklyn) District Attorney
developed the Drug Treatment Alternative to Prison program in response
to the increasing pressure of drug-related commitments on the state
prison system (by the mid-1990s, drug offenders would constitute nearly
one-half of admissions to state prisons). The program diverts
non-violent drug felons to long-term, community-based residential drug
treatment at about two-thirds the cost of incarceration. Like drug
court, the program offers dismissal of charges in return for an
offender's completing treatment under close judicial supervision. Also
like drug court, DTAP may be chosen by offenders for reasons having
little to do with a desire to become drug-free. For some, the program is
a way to avoid incarceration; for others, it promises an expunged
criminal record.
The Vera Institute of Justice in New York City has conducted an
independent evaluation of DTAP (Young, 1996). Vera found that
participants began with more severe pre-treatment deficits -- in
education, employment, and legal involvement -- than those of offenders
placed in other diversion programs. Yet DTAP's overall retention rate at
one year was 64 percent, two to four times higher than that of
residential programs in general. At one year, 11 percent of DTAP
participants had been rearrested, half for drug offenses; by comparison,
drug offenders sent to prison are more than twice as likely to be
rearrested within a year of release, with more than half those arrests
drug-related. Fewer than five percent of ex-prisoners are rearrested
while in treatment, but dropouts have high rates of re-offense, ranging
from 80 to 92 percent, with an average time before return to custody of
only one week.
Drug Courts
Drug courts, one of the more successful modalities of coerced treatment,
offer nonviolent offenders, the majority with a criminal history, the
prospect of dismissed charges if they plead guilty and agree to be
diverted to a heavily monitored drug treatment and testing program
overseen by a judge. While in the TASC model judges do not have direct
contact with treatment personnel, a drug court is a hub from which
services such as treatment, case management, and vocational training
radiate (Tauber, 1997).
Drug courts originated in southern Florida in the late 1980s, when the
area was hit hard by cocaine-related arrests that flooded courtrooms and
overwhelmed jails. Addicts out on probation were quickly rearrested for
new drug-related crimes, and the revolving door to the justice system
seemed to be spinning out of control. Drug courts promised a way to
break the cycle by "reserving" jail and prison beds for dangerous
offenders while sending criminally involved addicts to treatment. The
first one opened in Miami in 1989.
Enthusiasm about drug courts has spawned an entire drug court movement.
Today there are over 500 drug courts in operation, up from about 20 in
1994. An estimated 200,000 individuals have been enrolled in drug
courts. As of June 2000, every state has at least one drug court in
operation. California, where nearly a quarter of all state prisoners are
incarcerated because of a drug offense, has over 100 drug courts
(American University, June 2000).
Though the accumulated evidence of drug courts' effectiveness has yet to
reach a critical threshold, because there has been only a handful of
independently evaluated studies, the early data look promising. Over 70
percent of drug court participants have been incarcerated at least once
previously, almost three times more than have been in drug treatment
(Belenko, 1998); thus for many offenders, drug court is the route of
entry into rehabilitation. In almost all drug courts, retention in
court-ordered drug treatment is consistently several times greater than
involuntary treatment.
A survey by the Drug Court Clearinghouse at American University first
emphasized the element of coercion in drug court participation. Though
80 percent of offenders offered the drug court option chose to take it,
many saw it as simply an expeditious way to get their charges dropped.
Indeed, some actually said they planned to return to drugs after they
"went through the motions" in the program (Cooper, et al., 1997; Satel,
1998). Yet, the survey also found that drug courts reported completion
or graduation rates of 48 percent. Rearrest rates, primarily for drug
crimes, varied according to graduates' characteristics and degree of
social dysfunction but averaged just four percent after one year from
graduation. Even among those who failed to finish the program, rearrest
rates one year after enrollment ranged from 28 percent down to five
percent. By contrast, the Bureau of Justice Statistics reports a 26 to
40 percent rearrest rate for individuals convicted of drug possession
who are traditionally adjudicated (Bureau of Justice Statistics, U.S.
Department of Justice, 1992).
A General Accounting Office report found that the average retention rate
of drug court programs was a highly respectable 71 percent. Even the
lowest retention rate that the GAO found in a drug court, 31 percent,
exceeds the average one-year retention rate of some 15 percent for
non-criminal addicts in public sector treatment programs (U.S. General
Accounting Office, 1997). This comparison is even more impressive in
light of the fact that the criminally involved addict is generally
considered the hardest to treat in conventional settings. The GAO report
also found, like other studies, that the longer a participant stayed in
drug court treatment, the better he or she fared.
**\[4\]** *Even more important is a* *recent* *study conducted by the
National Center on Addiction and Substance Abuse at Columbia University*
*reviewing 59 drug court evaluations from across the nation.* *This
study revealed that,*
"drug courts, compared to other treatment programs, provide more
comprehensive supervision and monitoring, increase the rates of
retention in treatment, as well as reduce drug use and criminal behavior
while participants are in the program. \[Additionally,\] drug courts are
handling more serious offenders, where many have been unsuccessful in
treatment, have a myriad of physical and mental health needs. Further, a
number of drug courts have had success in reducing recidivism following
program participation." (Belenko, 1999).
Evaluations of particular drug courts also show good results. The
Portland, Oregon drug court was evaluated in 1998 by the State Justice
Institute (Finigan, 1998), which made careful efforts to match drug
court participants with other arrestees with similar demographic
characteristics and criminal histories who either had refused drug court
or were ineligible for administrative reasons. Two years after
adjudication or leaving the program, on outcomes measures such as
rearrest and conviction, those who did not enter drug court were at
least as likely to be rearrested for felonies as those who did. Among
those who did enroll, those who finished less than three months in the
program were twice as likely as graduates to be rearrested. Even among
individuals who did not finish, those who completed at least three
months had significantly fewer arrests than those who did not.
Maricopa County, Arizona's drug court was the subject of a 1996
evaluation by RAND, which found that among a sample randomly assigned to
the drug court, rates of rearrest for any crime were significantly lower
than for those randomly assigned to probation alone (Deschenes, et al.,
1996).
A recent review of the Broward County, Florida drug court found that
drug court graduates were half as likely to be rearrested for a felony,
and one-third as likely to be rearrested for a drug felony, as
demographically similar offenders who were eligible for drug court but
had instead chosen and completed probation (Terry, 1998).
An independent evaluation found the Dade County, Florida drug court
superior to disposition as usual (Goldkamp and Weiland, 1993). Between
June, 1989 and March, 1993, the Dade County program enrolled 4,500
defendants, 20 percent of all arrestees in the county who were charged
with drug-related offenses. During that same period, 60 percent of the
enrollees graduated or remained in the program. A year after graduation,
only 11 percent were rearrested in Dade County on any criminal charge.
By contrast, the rearrest rate was some 60 percent for a matched sample
of drug offenders in 1987, two years before institution of the drug
court. Furthermore, the time that elapsed between graduation and first
re-offense was two to three times longer in the drug court group than in
the non-drug court group.
The District of Columbia conducted an experiment in coerced abstinence
as part of a drug court demonstration project funded by the federal
Center for Substance Abuse Treatment through the National Institute of
Justice (Harrell and Cavanaugh, 1997). Between 1992 and 1995, the
District's Pretrial Services Agency randomly assigned arrestees to three
different pre-sentencing tracks. In the "sanctions track," urine samples
were obtained twice weekly, and arrestees were subject to increasingly
severe penalties for missing or dirty urine samples. No formal treatment
was provided, though individuals could seek it or could go voluntarily
to Narcotics Anonymous.
The second, "treatment track" was an intensive, day-long treatment
program. The judge was kept informed about participants' performance but
did not impose sanctions frequently or reliably. Finally, for the
control group on the "standard track," urine samples were collected
twice a week, but there were no predictable consequences for missed or
dirty samples (Harrell and Cavanaugh, 1997).
The Urban Institute analyzed the first 850 of 1,223 defendants to reach
sentencing. They found that "treatment track" participants were twice as
likely to be drug free in the month before sentencing as those in the
"standard track," by 27 percent versus 12 percent. But "sanctions track"
participants, subject to frequent urine testing and known consequences
for violations, were three times as likely as "standard track"
participants to be drug free during the same month, by 37 percent versus
12 percent. At six months after sentencing, rearrest rates for crimes of
any kind were two percent for "sanctions track" participants, four
percent for the "treatment track," and six percent for "standard track"
participants.
Thus, the researchers found that certainty of consequences was
psychologically powerful. "The reason the sanctions track people did so
well," said senior researcher Adele Harrell, who conducted focus groups
with study participants, "is because they knew what the judge would do.
And he did it." Harrell also credited the "swiftness of the penalties --
they had to report to court immediately for a test failure -- and their
fairness." One participant summed up to Harrell, "\[Y\]ou get a dirty
urine, man, you're going to jail. They're letting you know. . . you know
the chances."
At least a dozen similar pilot programs and initiatives are in place, in
cities in Arizona, California, Colorado, Connecticut, Michigan, and New
York. Maryland's "Break the Cycle" program requires clinics to report to
probation or parole officers within 24 hours after an addict has failed
or skipped a drug test (as of July, 1998). Project Sentry in Lansing,
Michigan, in operation for 25 years, provides comparable testing, mostly
short-term, for drug-involved offenders on probation or pre-sentencing
release. Offenders are tested three times a week, and drug use results
in progressively more severe sanctions, beginning with three days in
jail for the first positive or missed urine test, ten days for the
second such failure, 20 for the third, and one month for each
thereafter.
An evaluation of 5,000 participating offenders by the Michigan Office of
Drug Control Policy found that 75 percent remained drug free and were
not arrested during the six-to-12-month observation period (Peterson,
1997).
In Coos County, Oregon, probationers' positive drug tests have dropped
since the Drug Reduction of Probationers program, began in 1988
(Kleiman, in Mead, ed., 1997). This program, too, is built around
certain, swift responses to positive tests -- immediate arrest and two
days in jail for the first violation, ten days for the second, and 30
days for the third. Oregon officials found that prior to implementation
of the program, 43 percent of all probationers tested positive for
drugs. Within about six months after implementation, the figure was down
to ten percent.
# THE FUTURE OF COERCIVE TREATMENT
#
#
#
carceration rate over a three-year follow-up period, while the figure
was 63 percent for parolees-as-usual. The graduates' relative success
occurred despite the fact that they had begun with more severe criminal
and substance abuse histories than the control group.
#
Social Contracting
**\[5\]** *Contracting confers advantages on individuals when they
manifest a desired behavior, and penalizes them for violating
expectations. For instance, addiction-impaired doctors, nurses, lawyers,
and pilots may be allowed to keep their jobs or licenses "in exchange"
for abstaining from illicit drugs or problem alcohol use under the close
monitoring of a state professional society. Recall the public service
announcement, "Help an Addict: Threaten to Fire Him," made popular in
the late 1980s by the Partnership for a Drug Free America. Employers who
follow that directive have established employee assistance programs
providing treatment for workers. With good effect, the military
threatens drug and alcohol abusing soldiers with dishonorable discharges
unless they abstain.*
Most addicts admit being pressured into treatment by external forces
such as health, employment, social relationships, financial conflicts,
and emotional disturbances. Researchers estimate that only a small
minority of addicts in treatment enrolled solely on personal initiative,
unpressured by others (Weisner, 1990; Anglin, Brecht and Maddahian,
1989; McLellan and Weisner, in Bickel and DeGrandpre, eds., 1996). Thus
the therapeutic potential of contracting, for job security or other
social opportunities, is considerable.
#
#
#
Increasingly, public agencies are fighting to adopt a quid pro quo
strategy towards drug abuse. In 1996, a federal judge ruled in favor of
the New York City Housing Authority's efforts to obtain expedited
court-ordered evictions in cases involving drugs and other threatening
behavior. Previously, such evictions had taken two years or more to
carry out. The Legal Aid Society of New York City argued against the new
eviction procedure, filing court papers on behalf of tenants (without
ever having consulted one) despite overwhelming tenant support for the
Authority's plan (Saffran, 1998).
In Dallas, Alphonso Jackson, president of the city's Housing Authority
from 1989 to 1996, asked tenants to agree to undergo drug testing as a
condition of living in the special Self Sufficiency Program within
Dallas public housing. He was made a defendant in numerous lawsuits on
the issue filed by the ACLU and legal aid organizations (Jackson, 1998).
The Doe Foundation in New York City, which operates the Ready, Willing
and Able training program, became the target of a similar lawsuit after
it took over a Harlem men's shelter in 1996. The shelter, at the time of
the takeover, was described as a "lawless crack den" (Seigel, 1997). The
foundation began requiring applicants to the shelter to be drug-free as
a condition of acceptance and, once enrolled as trainees, to be drug
tested routinely. In addition, the foundation required that residents
work in street cleaning and house painting operations. Initially, 62
percent of the residents tested positive in scheduled, pre-announced
tests. Nine months later, only two percent were testing positive in
random tests.
In 1997, the Coalition for the Homeless and Legal Aid sued the
foundation. What raised these advocates' ire was the requirement that
residents work as a condition of participation. Even though the programs
pay each participant, the Coalition denounced them as "tools for slave
masters."
These plaintiffs could look for a precedent to a 1995 trial court
opinion by Justice Helen Freedman in Manhattan (Hellman, 1997). She
ruled that residents of public family shelters could not be obligated to
follow rules and regulations such as drug testing, curfews, and job
training.
The fight over drug testing has engaged other public bodies as well. The
ACLU has fought efforts by public high schools to perform random drug
tests on students, even those that would first require consent from
parents. This controversy went all the way to the Supreme Court, which
ruled such policies Constitutionally permissible (American Civil
Liberties Union, 1998).
Despite the challenges, many not-for-profit homeless shelters and
churches require abstinence as a condition of receiving services. As we
have seen, there is even a state-funded methadone clinic, in Baltimore,
that requires patients to be employed and drug-free as a condition of
remaining in the program.
Courts, too, are experimenting with various forms of social contracting.
Over the years, judges have noted that a high percentage of child abuse
and neglect cases involve substance abuse by parents; a 1996 report by
the National Committee to Prevent Child Abuse puts the figure at up to
80 percent (National Committee to Prevent Child Abuse, 1996).
Accordingly, a few cities -- Pensacola, Florida; Kalamazoo, Michigan;
Kansas City, Missouri; Reno, Nevada; and New York City -- have recently
established family drug courts. Though little information is as yet
available on outcomes, these new institutions are notable because they
are determined to use incentives such as child custody, visitation
privileges, and the removal of children from homes as leverage to compel
parents to comply with drug treatment and remain drug free.
Welfare reform legislation, too, has stimulated many states and
localities to revise their procedures for awarding benefits. For
example, Montgomery County, Maryland now denies benefits to applicants
who refuse to undergo drug testing.
With estimates of problem substance abuse among welfare recipients
estimated to be between 15 and 30 percent (though, according to the
Legal Action Center, some states put the figure as high as 50 percent),
the efficiency of surveillance and sanctioning procedures will be put to
the test (Legal Action Center, 1997). Although social services
organizations do not yet capitalize on their built-in potential for
leverage, more will be doing so as the public demands more civic
responsibility from beneficiaries.
# Contingency Management
**\[6\]** *The goal of this technique is to intervene in an addict's
life with an arrangement of environmental consequences -- rewards,
punishments, or both -- to systematically weaken drug use and strengthen
the skills necessary for abstinence. The underlying behavioral theory,
operant conditioning, holds that the act of using drugs can be modified
by its consequences.*
The earliest contingency management (CM) studies were conducted with
alcoholics. Miller and colleagues, for example, examined the question of
whether CM could be used to reduce public drunkenness (Miller, 1975).
They selected 20 alcoholic men from the city jail in Jackson,
Mississippi and randomly assigned them to an experimental or control
group. Men in the experimental group, if they reduced their drinking,
could earn housing, employment, food, and medical care through
co-operating local social service agencies. Men in the control group, by
contrast, received these services whether they were drunk or sober. The
researchers assessed the men's alcohol intake objectively, via breath
alcohol levels or observation of gross intoxication.
Over the course of the two-month study, arrests in the experimental
group decreased by 85 percent. In the control group, they did not
decline at all.
In the past decade, researchers have begun studying CM in depth. Though
sample sizes tend to be small and follow-up limited in duration, the
findings are so consistently promising that CM merits close review.
Stephen Higgins and colleagues at the University of Vermont have
produced a detailed summary of CM studies involving abusers of heroin
and cocaine (Higgins, Tidey and Stitzer, in Graham and Schultz, eds.,
1998); a few representative studies are described below.
Higgins and his colleagues conducted numerous CM trials with cocaine
addicts (Higgins, et al., 1991; Higgins, et al., 1993; Higgins, et al.,
1994). In a 1994 study, 40 patients were randomly assigned to either
ordinary treatment or treatment plus vouchers. The vouchers, assigned a
monetary value and exchangeable for retail items, were awarded on a
schedule of increasing value with each consecutive clean urine sample
submitted; conversely, a cocaine-positive sample would reset the value
of the vouchers at their initial low level.
At the end of 24 weeks, 75 percent of the voucher group remained active,
compared with only 40 percent of the no-voucher group. For the voucher
group, the average duration of continuous cocaine abstinence, documented
by urine tests, was 12 weeks; for the non-voucher group it was six
weeks. At nine and 12 months after entry into the study, self-reported
cocaine use remained significantly lower in the voucher group.
A similar study took place in Baltimore, conducted by Ken Silverman and
colleagues at Johns Hopkins University and involving 37 inner city
methadone maintenance patients who concurrently abused cocaine
(Silverman, et al., 1996). During the 12-week study, all patients
received standard counseling. A group of 19 received vouchers contingent
on cocaine-negative urine tests, while 18 received vouchers on a
schedule linked to that of the experimental group but dispensed
independently of urine test results. The parallel dispensing of vouchers
to the two groups was meant to uncouple the effects of voucher receipt
itself from its meaning as a reward predictably dependent on urine test
results.
At the end of the three-month study, the experimental group had
substantially reduced cocaine use, but the comparison group remained
largely unchanged. About half the patients exposed to the contingent
vouchers had achieved between seven and 12 weeks of continuous
abstinence; by contrast, less than five percent of the control group had
attained as much as three consecutive weeks of abstinence.
Though there was a rebound resumption of drug use after the contingent
vouchers were discontinued, as in most other CM studies, the
experimental group performed significantly better at all stages of
follow-up.
Intensified CM techniques have had results even for subgroups resistant
to voucher incentives. To examine such populations, Silverman and his
colleagues chose a sample of intravenous cocaine-abusing patients, many
of them also HIV-positive, who had failed a standard CM voucher
experiment (Silverman, et al., in Harris, ed., 1996). The researchers
ran these individuals, in randomized order, through three different
nine-week voucher regimes -- one in which the total redeemable value of
vouchers that could be earned was high, one in which it was low, and one
in which it was zero.
The findings were dramatic. Not a single patient in the zero-value
voucher program achieved more than two weeks of abstinence. Only one
person did so in the low-value program. But in the high-value voucher
program, 45 percent attained at least four weeks of sustained abstinence
(Silverman, et al., in Harris, ed., 1996).
The major drawback of these CM studies -- patients' tendency to resume
drug use, albeit at a lower level, when the contract is withdrawn --
also reveals the major potential of CM for entitlement reform. The
backsliding of patients in the studies was probably due in part to the
short duration of these research projects: a mere few months is not
enough time to enable a patient to learn the new skills, secure the
employment, and attain the measure of personal growth needed to live
drug-free. Entitlement reform need not be limited by such constraints.
Jesse Milby of the University of Alabama sought to apply CM in a
situation that approximated real-world conditions (Milby, et al., 1996).
He randomized 176 homeless, crack-addicted individuals to receive
ordinary or enhanced care. Members of the enhanced group, after two
months of daily intensive therapy, were eligible to participate in a
work-therapy program refurbishing condemned housing and, for a modest
rental fee, to live in this housing. Participation was contingent on
submitting twice-weekly clean urine tests.
After six months, this group had achieved significantly greater
improvement in employment status, days of homelessness, and cocaine use
than the usual-care group.
At Seattle's Harborview Medical Center, psychiatrist Richard K. Ries
directs a clinic for mentally ill substance abusers (Reis and Comtois,
forthcoming). Clinic patients are asked to sign over their Supplemental
Security Income checks to the outpatient clinic, which then acts as the
patients' "representative payee," managing bank accounts on their
behalf. The clinic covers rent and other basics. Patients, by complying
with treatment, are allowed to "earn back" discretionary funds and
ultimately, when they demonstrate ability to manage money responsibly,
to control the passbooks to their bank accounts.
Ries and his colleagues compared treatment outcomes between patients in
the incentive program and those attending the clinic as usual. Over a
three-month period, sicker patients were significantly more likely to
attend treatment sessions as their healthier counterparts and were just
as likely to participate in job training sessions and stay out of the
hospital and jail.
Studies such as these suggest that with drug abusing individuals,
manipulating benefits to reinforce positive social behavior could
provide a partial solution to the perverse incentives that entitlements
often provide. Street ethnographers have long known that addicts
routinely purchase drugs with welfare payments and food stamps; more
recent quantitative reports have described a persistent temporal pattern
in which receipt of monthly benefits is linked to increases in emergency
room visits for intoxication and overdoses and in hospitalizations for
psychosis among cocaine-abusing schizophrenics.
Thus the Veterans Administration has instituted a CM project that would
distribute veterans' service-connected benefits contingently to mentally
ill substance abusers (Rosenheck, 1998). Conceivably, federal disability
payments, welfare benefits, and other forms of cash entitlement could be
dispensed in accordance with CM principles.
**CONCLUSION**
**\[7\]** *Coercion has been applied in the service of rehabilitating
addicts for over 70 years. The experience has yielded a powerful
clinical lesson: addicts need not be internally motivated at the outset
of treatment in order to benefit from it. Indeed, addicts who are
legally pressured into treatment may outperform voluntary patients,
because they are likely to stay in treatment longer and are more likely
to graduate. Without formal coercive mechanisms, the treatment system
would not attract many of the most dysfunctional addicts and surely
could not retain them.*
But, though official bodies, especially criminal justice organizations,
are accustomed to wielding such leverage, they do not do so
systematically enough to yield maximum benefit (Taxman and Byrne, 1994;
Langan and Cunniff, 1993). Some judges will forego referral to treatment
altogether if they perceive an offender not to be motivated towards
rehabilitation (Belenko, Nikerson and Rubinstein, 1990). Other judges
express disappointment with the laxity of supervision addicts receive in
treatment, citing failure to follow up with the court, verify patient
participation, and perform drug testing -- the very surveillance
mechanisms that are necessary to retain unmotivated addicts.
**\[8\]** *Ironically, it appears that among current programs, with
their various mixes of treatment and coercion, the treatment component
has relatively less clout than other forces in shaping addicts'
behavior. That is why examples of combining treatment with external
monitoring, such as drug courts, are so encouraging. If more
institutions, like public housing or even disability programs, adopted
principles of contingency management, individuals would be likely to
remain in treatment longer and enjoy greater improvement. Such
behavioral gains would serve both addicts and the communities whose
resources they strain.*
A co-ordinated effort by social service agencies to track and monitor
drug use and enforce consequences for that use will be costly in the
short run. In addition, it will also require the creation of a certain
amount of new bureaucracy. Those facts make coercive strategies
unattractive even to those who are sympathetic to the need for
aggressive intervention. It remains true, however, that as a clinical
strategy, coercion is solidly promising. What is more, increasing our
capacity to leverage addicts into treatment will be important whether we
maintain our present policy of drug prohibition, decide on a policy of
outright legalization, or choose anything in between, since any one of
these policies will depend on drug treatment to rehabilitate addicts.
Addiction impairs participation in a free society. It interferes with
the ability to ensure one's own welfare, respect the safety of others,
and discharge responsibilities as a parent, spouse, worker, neighbor, or
citizen. Addiction is a behavioral condition for which the prescription
of choice is the imposition of reliable consequences and rewards, often
combined with coercion that keeps the addicted individual from fleeing.
To say this is not punitive; it is clinically sound and empirically
justified.
Every day, all people respond to contingencies, incentives, and
consequences. If we do not work, we do not get paid. If rent is not
paid, we are evicted. If children are mistreated, they can be taken
away. Meeting obligations in these circumstances is not the antithesis
of freedom but a prerequisite to it. No less is this true of individuals
with drug problems, though it is our job to structure the contingencies
before them in creative ways to help them regain their freedom. To date,
drug courts offer one of the more creative and effective means of
treating addicts involved in the criminal justice system.
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| en |
markdown | 284102 | # Presentation: 284102
## Slide 1
## Slide 2
## Review of Previous Tests
- Primary battery failure mode
- Ignition intensity
- Effect of fire size
- Battery flammability by type and brand
- CR2, PL 123A, Duracell, Panasonic
- Effect of packing material
- Cargo liner integrity
## Review of Previous Tests
- Halon suppression effectiveness
- Lithium Ion rechargeable battery
- Laptop computer
- Oven tests
- Self ignition temperature
- Explosion
- Pressure pulse from battery ignition
## Results- Battery Failure Mode
- CR2 Battery Failure Mode:
- When exposed to an alcohol fire: Battery initially vents electrolyte gas, usually at the positive electrode. The electrolyte gas “torches” with a red flame and with some propulsive force. After the electrolyte burns off, the molten lithium then burns explosively, spraying white hot lithium through the vent hole. Unrestrained, the battery can bounce around the test fixture
## Results-Multiple Battery Failure Mode
- The ignition of a single battery was sufficient to ignite the adjacent batteries
- The peak temperature generated by the battery fires did not go up significantly with the number of batteries.
- The duration of the peak temperature increased with the number of batteries
## Results-Packaging Effects
- 32, 64, and 128 batteries were placed in cardboard packaging similar to the shipping boxes
- Packaging delayed the ignition of the batteries by 30-60 seconds
- The packaging kept the batteries together, heat from the fire fused them together.
- Once ignited, the fire propagated through all batteries.
## Results- Lithium Ion Rechargeable Laptop Battery
- 3.5 minute fire exposure
- Battery did not catch fire
- Plastic case deformed, melted, case became hard and brittle
- No self sustaining fire
- 6.5 minute fire exposure
- Similar results to 3.5 except:
- some small venting, with small sparks
## Results- Halon Supression
- Alcohol fire immediately extinguished
- Battery fires continued to propagate until all batteries were consumed
- Vented electrolyte fires were red in color
- Normally white molten lithium sparks appeared red in color
- Box temperature profiles lower due to extinguished alcohol fire.
## Results- Cargo Liner Integrity
- Three groups of four batteries were arranged so that the torching electrolyte and spraying molten lithium would directly impinge on liner.
- Thin wall cargo liner
- The battery fire ignited the resin
- The torching electrolyte penetrated the liner
- The molten lithium penetrated the liner
- Thick wall cargo liner
- The liner was able to contain the fire
- Face of liner charred, Fiberglas exposed, but not penetrated
## Results- Oven Auto-Ignition Temperature Tests
- Duracell CR2
- Average ignition temperaure: 487 Deg F
- Average temperature rise in oven due to battery ignition: 524 Deg
- Panasonic PL123A batteries.
- Average ignition temperature: 466 Deg F
- Average temperature rise in oven due to battery ignition: 514 DegF
## Results- Explosion Tests
- Cargo compartment integrity can be breached at about 1 psi
- The pressure rise due to just 4 burning lithium batteries can exceed 1 psi in a 10 cubic meter container
## Slide 13
## Slide 14
## CONCLUSIONS
- The temperatures found in a suppressed smoldering cargo fire are sufficient to ignite a primary lithium battery
- The pressure rise due to battery ignition is sufficient to compromise the integrity of a cargo compartment
## Current Work
- Lithium-ion rechargeable batteries
- Literature search on battery types
- Evaluation of existing flammability data
- Effect of charge state on flammability
- In house testing as required
- Coordination of efforts with the Lithium Battery Technical/Safety Group | en |
converted_docs | 055505 | +--------------------------------+----------------------+-------------+
| **BROOKHAVEN NATIONAL | GCRC POLICY: IC-08 | PAGE 1 OF 4 |
| LABORATORY** | | |
| | | |
| ### GENERAL C | | |
| LINICAL RESEARCH CENTER POLICY | | |
+--------------------------------+----------------------+-------------+
| | PREPARED BY: B. | |
| | Pyatt Infection | |
| | Control | |
+--------------------------------+----------------------+-------------+
| SUBJECT: Clinical Laboratory | REVIEWED BY: W. | |
| Operations of the GCRC & | Gunther GCRC Manager | |
| Satellite Facilities | | |
+--------------------------------+----------------------+-------------+
| | APPROVED BY: G. J. | |
| | Wang Medical Dept. | |
| | Chair | |
+--------------------------------+----------------------+-------------+
| | EFFECTIVE DATE: | |
| | 3-25-08 | |
+--------------------------------+----------------------+-------------+
| | REVISION HISTORY: 5 | |
+--------------------------------+----------------------+-------------+
**1.0 [PURPOSE:]{.underline}**
This document defines infection control requirements for program
specific clinical laboratory operations. Clinical operations consist of
any clinical diagnostic tests. These activities occur both in the
Central GCRC and the GCRC Satellite facilities (see GCRC Policy 1.2).
**2.0 [POLICIES:]{.underline}**
**STANDARD PRECAUTIONS**
**Standard Precautions shall be used by all laboratory employees at all
times when handling any and all laboratory specimens. [There are to be
absolutely no exceptions to the use of universal
precautions.]{.underline} Handwashing is the single most effective
deterrent to the spread of infection. (Dept. Guideline, IC-6.1/1,
"Bloodborne Pathogens Exposure Control Plan").**
Hands must be washed whether gloves are worn or not worn.
1. After contact with all subjects
2. After handling any specimen
3. After contact with each specimen batch. For example at:
```{=html}
<!-- -->
```
a. Accession labeling, centrifugation
b. Stopper removal
c. Separator insertion
d. Specimen transfers
2.4 After skin contact with any biological sample of any reagent
2.5 After completing work
2.6 Prior to and after eating, drinking, smoking
2.7 Prior to and after use of restroom
##
##
## 3.0 ATTIRE:
Laboratory coats, uniforms or fluid resistant gowns must be worn by all
Laboratory staff during specimen procurement, handling and testing.
Fluid resistant gowns may not be worn out of the lab.
Laboratory coats, uniforms or fluid resistant gowns upon which
biological material has been spilled are a biohazard and must be
expediently removed and sent to be laundered or disposed of as regulated
medical waste.
# 4.0 [LABORATORY CLEANLINESS:]{.underline}
> 4.1. At the end of the day, laboratory staff members are responsible
> for leaving their bench and area neat and clean.
>
> 4.2. Once a day, the work area shall be wiped down with 1:10 diluted
> household bleach solution. In addition, all racks, pipettes, blood
> tube holders, centrifuges, ice containers etc. shall also be
> disinfected. Dirty underpads on counters shall be replaced.
>
> 4.3. The specimen collection area will be kept clean and orderly and
> free of waste materials. All waste materials will be placed in the
> receptacles provided. IV bags shall not be left in the sink where
> hands are washed. These are considered contaminated.
**5.0 [PROCEDURES:]{.underline}**
5.1. Collection of blood and body fluids **(SAFETY DEVICE NEEDLES SHALL
BE USED IN MOST INSTANCES including winged (butterfly") safety needles,
blunt collection needles, disposable blood collection multi-sample luer
adapters, collection needles with recapping sheath, and hinged recapping
sheath needles.)**
1\) Specimen collection personnel shall use appropriate barrier
techniques during subject contact.
2\) Use aseptic technique and disposable equipment between subjects,
during site preparation and before procedure.
> a\) Avoid multiple venipunctures at same site.
>
> b\) Use sterile collecting tubes, plastic if available.
3\) Avoid multiple sticks in same site when obtaining capillary
specimens, and use sterile equipment.
+--------------------------------+-------------------+-----------------+
| **BROOKHAVEN NATIONAL | GCRC POLICY: | |
| LABORATORY** | IC-08/5 | |
| | | |
| ### GENERAL CL | | |
| ILNICAL RESEARCH CENTER POLICY | | |
+--------------------------------+-------------------+-----------------+
| | Date | > PAGE 2 OF 4 |
+--------------------------------+-------------------+-----------------+
| Clinical Laboratory Operations | | |
| of the CRC & Satellite | | |
| Facilities | | |
+--------------------------------+-------------------+-----------------+
4\) For routine blood draws: Cleanse skin with alcohol, and do not
palpate site after skin preparation.
For blood cultures: Cleanse culture bottle stoppers with alcohol,
cleanse skin with alcohol and iodophor, allow iodophor to dry before
performing venipuncture, and do not palpate site after skin preparation.
5\) For IV and IA procedures, follow Dept. Guideline IC-2.2/3,
"Intraveneous Admixtures" and Dept. Guideline IC-3.0/3 "Sterile Supplies
Procedures".
**[CRITERIA TO SELECT SAFETY DEVICES:]{.underline}**
**The FDA suggests the following criteria be used in the selection of
safety devices:**
1\. The safety feature should provide a barrier between the hand and the
needle after use
2\. The safety feature should allow or require the worker's hands to
remain behind the needle at all times
3\. The safety feature should be an integral part of the device and not
an accessory
4\. Safety features should be in effect before disassembly and remain in
effect after disposal, to protect workers who may subsequently handle
the device
5\. The device should be simple and easy to use, requiring little or no
training
5.2 Transporting and receiving specimens in the laboratory
> 1\) Label specimens properly.
2\) Make sure specimens are properly closed and double-bagged.
> 3\) Use containers with secure closures, to avoid spillage and hand
> contamination with body fluids.
>
> 4\) Flag specimens at collection site to indicate infected subject as
> source.
>
> 5\) Instruct courier or messenger service personnel how to transport
> specimens properly so as to prevent spills, leaks or contamination.
6\) Refrigerators/freezers that store specimens shall be properly
labeled and monitored for accurate temperature with a NIST thermometer
and daily temperature log sheets.
7\) Specimens transported between satellite facilities shall be done
using a BNL vehicle or your own vehicle using the proper secondary
container. Permission needs to be obtained from our BNL Dept. of
Transportation Safety Officer.
5.3. In order to prevent
> \- Accidental ingestion of material containing agents, eg.,
> *Salmonella, Shigella*, hepatitis A or enterovirus.
>
> \- Inoculation or contact with fluids containing hepatitis B or C.
>
> \- Respiratory spread (inhalation) from aerosolization of agents,
> e.g., *Mycobacterium tuberculosis*:
1\) Use caution with pipetting procedures.
> a\) Do *not* perform mouth pipetting of infectious or toxic biological
> fluids, sera, or any biohazardous material.
>
> b\) Do *not* prepare bacterial suspensions by bubbling air through
> liquid by means of a pipette.
>
> c\) Do *not* blow infectious material out of pipettes.
d\) When using automatic pipettors, do not forcefully eject the solution
from the pipette (to prevent aerosolization).
> e\) Dispose of pipettes properly after use into a biohazard container.
Follow Tuberculosis Exposure Control Plan IC-16.0/1.
2\) Clean up any spills of body fluids immediately.
> a\) Keep wash bottle of disinfectant at each workstation.
>
> b\) Wear gloves for contaminated spills.
3) Clean up material that might involve possible aerosol generation of
microorganisms
> a\) Evacuate rooms for 10 air changes.
>
> b\) Wear gloves, masks, and other necessary protective clothing while
> cleaning up small spills. For larger spills call X2222.
4\) Use care with operation of centrifuges and shakers.
> a\) Instruct operators with the proper use of the different types of
> centrifuges and shakers and that they wear full face shields when
> operating the centrifuge or use safety cups and covers in the
> centrifuge.
>
> b\) Check and clean or replace the rubber cushions in the centrifuge
> cups as necessary.
>
> c\) Check all tubes for cracks prior to use.
>
> d\) Balance tubes prior to centrifuging.
>
> e\) Use a brake to stop rotating head; *never* stop the rotating head
> with your hand.
>
> f\) Keep lid to the centrifuge closed while machine is being used.
>
> g\) Do not open centrifuge until completely stopped when centrifuging
> blood specimens.
>
> h\) Use stoppered tubes when centrifuging blood specimens.
>
> i\) Each employee who uses the centrifuge is responsible for the
> condition of it at the end of the procedure.
>
> j\) Microhematocrit and blood bank serological centrifuges must be
> cleaned daily, or after each run, with approved disinfectant solution.
> In case of breakage, cleaning and disinfections must be immediate.
k\) Specimens spun in angle head centrifuges must never be filled to the
extent that liquid will be in contact with the tube lips.
5\) Opening Specimen Containers and Transfer of Specimens.
a\) Do not pop vacuum container corks. Cork popping generates aerosols,
prime sources for bloodborne disease transmission. Cover corks with
gauze and twist them off gently. When disposed, corks and gauze must be
disposed of as medical waste. The wearing of a full face shield is
recommended when opening vacuum container corks.
6\) Control Sera and Reagents from Biological Sources:
a\) All material prepared from biological sources are biohazardous in
that they are high probability agents for transmission of disease. All
such materials must be treated as though they were specimens from high
risk subjects.
7\) Spills of Biological Samples:
Spills on paper or on disposable surfaces, any worksheet, request or
report upon which a biological sample has been spilled, should be
recopied and then disposed of.
Spills on nondisposable surfaces must be cleaned promptly with an
aqueous 1:10 dilution of bleach or approved disinfectant.
5.4 Obtain first aid for puncture wounds and follow procedure for
hepatitis B prophylaxis as required by the Bloodborne Pathogens Exposure
Control Plan (Dept. Guideline IC-6.1).
5.5 Disposal of contaminated wastes - follow Dept. Guideline IC-6.2,
\"Handling & Disposal of Regulated Medical Waste\".
**6.0 [PRODUCTS OF THE CLINICAL LABORATORY WHICH MAY INFLUENCE THE
INFECTION RISK TO]{.underline} [SUBJECTS AND/OR
PERSONNEL:]{.underline}**
6.1 Agents which may be transmitted by blood include:
> a\) Hepatitis viruses B & C, HIV.
>
> b\) *Toxoplasma gondii*.
>
> c\) *Plasmodium* (malaria organism).
>
> d\) Cytomegalovirus.
>
> e\) Epstein-Barr virus.
>
> f\) *Rickettsia rickettsii*.
>
> g\) Bacteria, usually gram-negative.
6.2 If the blood donors have not been screened for the following:
a\) Fever or acute illness.
b\) Dental surgery in past 72 hours.
c\) History of hepatitis, jaundice or close personal contact with a
person with viral hepatitis or jaundice.
d\) Narcotic drug addiction/alcoholism (normal controls).
e\) Infections at venipuncture site.
f\) Vaccination within past 2 weeks with a live-virus vaccine.
g\) Evidence of malaria-travel to, or resident of, endemic area (also if
on antimalarial drugs).
h\) Positive serology for syphilis.
i\) Recent evidence of infection with CMV or EB virus.
j\) HBsAg
Then it is the Principal Investigator's responsibility in his/her
protocol to identify the criteria for rejecting a blood donor's blood.
6.3 Control Sera and Reagents from Biological Sources:
All material prepared from biological sources are biohazardous in that
they are high probability agents for transmission of disease. All such
materials must be treated as though they were specimens from high risk
subjects.
**7.0 [SPECIFIC WORK PRACTICES IN THE LABORATORY TO DECREASE RISK OF
MICROBIAL ]{.underline}**
**[TRANSMISSION:]{.underline}**
7.1. Designate use of special clothing.
> a\. Remove laboratory coats or protective clothing worn in the
> Laboratory before leaving the area, especially, when going to the
> cafeteria or out of the building.
>
> b\. Use protective apparel as appropriate. See Guideline IC-6.1,
> \"Bloodborne Pathogens Exposure Control Plan\".
7.2. Evaluate exposure to communicable disease agents.
> a\. Keep screening tests current as required by the Employee Health
> Service.
>
> b\. Keep immunizations current.
**[NOTE:]{.underline}** All Clinical Lab. employees must be included in
the OMC Health Care Personnel Protocol
> c\. Require personnel to wear gloves when handling contaminated blood
> or specimens.
>
> d\. Do not permit eating, drinking, and smoking in the Laboratory
> procedure areas.
>
> e\. Do not store food in the laboratory refrigerators used for
> specimens or reagents.
>
> f\. Do not handle telephone, door knobs or laboratory notebooks with
> contaminated gloves.
>
> g\. Fingers, pencils, pens, and other objects that may be contaminated
> must be kept away from the mouth.
>
> h\. Do not apply cosmetics while in the designated work area.
i\. If a laboratory slip becomes contaminated with any biological
material, another slip must be prepared and the contaminated slip
destroyed.
> Procedures j-n shall be done behind a plastic screen to prevent
> aerosolization.
>
> j\. If the rubber stopper from the vacutainer needs to be removed,
> laboratory personnel should twist the stopper gently, covering it
> first with gauze to minimize aerosols.
k\. When ejecting a fluid specimen from a syringe, always remove the
needle first so as to minimize aerosols. Insert the syringe deep into a
large container, allowing the fluid to run down on the inside of the
container.
l\. All biological specimens should be covered, capped, corked or
plugged, except while being collected or in the process of separation
pouring or analysis.
m\. If the outside of a tube becomes contaminated with biological
material, it should be wiped off with disinfectant before others handle
it.
> n\. Biological specimens should be transferred through the use of a
> bulb suction pipette instead of pouring the specimen. If the specimens
> must be poured, any drips that may occur must be wiped up with
> disinfectant.
>
> o\. Subject's sterile and clean supplies shall be kept in a clean,
> closed cabinet; Other supplies shall be kept in separate cabinets.
p\. Laboratory room shall not be used as a storage area.
q\. Only cleaning supplies shall be stored under sinks.
r\. Unnecessary items shall not be brought into the laboratory as they
might become unknowingly contaminated. Such items include newspapers,
magazines, books, handbags and knapsacks.
**8.0 [HOUSEKEEPING AND CUSTODIAL SERVICES:]{.underline}**
For Custodial Services follow Dept. Guideline, IC-11/4, "Custodial
Services"
For Housekeeping Services follow Dept. Guideline, IC-12/4,
"Housekeeping"
**9.0 [ATTACHMENTS:]{.underline}**
1\. GCRC Satellite Facilities Where Clinical Lab Operations Occur
The only official copy of this file is the one online at the Medical
Department website under "Clinical Research Center Policy Manual."
Before using a printed copy, verify that it is the most current version
by checking the document effective date on the website.
Attachment 1
IC-08/5
**GCRC Satellite Facilities Where Clinical Lab Operations Occur**
1\. PETT IV-901
1. MRI-560
2. Cyclotron-906
3. Clinic Lab 9-931
| en |
markdown | 492050 | # Presentation: 492050
## Promoting Diversity: Access and Engagement in Biomedical and Behavioral Research Careers
- Sylvia Hurtado, Professor & Director
- Mitchell Chang, Associate Professor
- Higher Education Research Institute, UCLA
- January, 2008
## Freshmen Interest in Biomedical Fields, CIRP Annual Survey
- Underrepresented Racial Minorities (URMs) include African American/Black, Native American, Chicano, Puerto Rican, and Other Latino.
- Biomedical Pre-Majors include biology, biochemistry, chemistry, microbiology, pharmacy, pre-med, and zoology.
## Freshmen Interest in Biomedical Fields, CIRP Annual Survey
- Underrepresented Racial Minorities (URMs) include African American/Black, Native American, Chicano, Puerto Rican, and Other Latino.
- Biomedical Pre-Majors include biology, biochemistry, chemistry, microbiology, pharmacy, pre-med, and zoology.
## Research Plan: Key Components
- What happens to individual students over time in terms of their access, engagement, retention, and commitment to biomedical research?
- CIRP Freshman Survey, administered at orientation at over 720 institutions (baseline sample), 644 with URMs with initial intentions for biological/behavioral science majors
- YFCY End of First Year Survey--160 institutions in working sample
- Classroom-based surveys of introductory courses in 5-6 institutions, focus groups and site visits
- Four-year follow-up: College Senior Survey at 160 institutions with potential to follow into postgraduate careers and graduate school.
## Phase I: CIRP Freshman Survey (SIF)
- Data collection completed Fall 2004, three papers and report, *Aspiring Scientists*, _[herinih@ucla.edu](mailto:herinih@ucla.edu)_
- Key Findings
- Over two-thirds of URMs aspiring to major in BBS fields also aspire to achieve a graduate degree, but only 4.5% indicated a potential scientific research career (compared with 7.1 for white and 5.3% of Asian students).
- URM aspirants take fewer years of math and science that White/Asian counterparts
- Self-efficacy and goal development supercedes effect of academic credentials and background characteristics on aspirations to become a scientist
- More URM students report concerns about financing their college career and this has a negative impact on their intention to contribute to scientific research
## Phase II: First-year follow-up (YFCY)
- Final longitudinal sample included 5,049 students from 160 institutions.
- Key Findings
- Only 11.8 % of URMS report participating in a college level health science research program, 21.8 participated in academic enrichment programs, 19.6 participated in a professor’s research
- Students articulate values associated with scientific research careers but are not specific about these career intentions
- Different support structures are available not only across institutions but within institutions, indicating where students get support has important implications for their success
## Training future scientists: Predicting first-year minority student participation in health science research. Research in Higher Education. (available online)
- First-year experience courses and participation in departmental clubs significantly increase students’ likelihood of engaging in health science research
- Receiving advice from upper-division students and interacting with faculty more often increased students’ odds of participation in research
- Students were twice as likely to participate in research if institutions offered first-year students structured research opportunities, Black students were *four-times* more likely
- Black students social self-concept, participation in a learning community, and positive interactions across race/ethnicity were key in predicting research participation
## Retaining Science Students After One Year in College. Review of Higher Education (in press)
- Participating in a health science research program significantly increased students’ odds of persisting in their science major through the end of the first year of college.
- Attending more selective institutions has a significantly negative effect on all students’ likelihood to persist in their science major through the end of the first year.
- However, attending institutions with higher percentages of students attaining bachelor’s degrees in BBS fields significantly increases URM students’ likelihood of persisting in their science major through the end of the first year.
## Lessons Learned
- A continued focus on preparation for URM students who have a disposition for scientific research
- More exposure to scientific research careers is needed early on in college for students to understand what it means to become a scientist
- Structured opportunities on campuses make a difference for students, particularly Black students
- Developing an institutional ethos of talent development in BBS fields significantly increases URM students persistence in the major to graduation
- Student quotes in focus groups:
- “We do science here”
- “This institution takes you to the next level”.
## Academic Papers and Reports
- The pre-college characteristics and experiences of minority students committed to scientific research careers (2006). *Journal of Women and Minorities in Science and Engineering, 12,* 61-83.
- Predicting transition and adjustment to college: Minority biomedical and behavioral science students’ first year of college. (2007) *Research in Higher Education, 48*(7), 841-887.
- Training future scientists: Predicting first-year minority student participation in health science research. *Research in Higher Education. *(online now and in press, Spring 2008)
- Retaining Science Students After One Year in College. *Review of Higher Education* (in press)
- Examining the effect of stereotype threat on retention of first-year science students (in progress)
## Final Phase: College Senior Survey
- Retention in the major, preparation for graduate school, post-college plans
- Program participation effects on a variety of aspirations and outcomes
- Plans to administer the follow-up survey to aspirants at 160 institutions
- Plans to obtain registrar’s data to confirm major and retention
## RESOURCES & Project Staff
- Papers and reports are available for download from project website
- Project email: _[herinih@ucla.edu](mailto:herinih@ucla.edu)_
- _RESEARCH STAFF_
- Sylvia Hurtado, Co-PI
- Mitch Chang, Co-PI
- _Graduate Research Assistants_
- Lucy Arellano
- Kevin Eagan
- Lorelle Espinosa
- Monica Lin
- Project website:
- _[http://www.gseis.ucla.edu/heri/nih](http://www.gseis.ucla.edu/heri/nih)_ | en |
converted_docs | 673146 | ### **ITEM L-102 HAZARD BEACON**
DESCRIPTION
**102-1.1** This item shall consist of furnishing and installing a
hazard flashing beacon in accordance with these specifications. This
work shall include the mounting, leveling, wiring, servicing, painting,
and testing of the beacon and all materials and incidentals necessary to
place it in operating condition as a completed unit to the satisfaction
of the Engineer. This item shall include a mounting platform if
specified in the plans.
EQUIPMENT AND MATERIALS
**102-2.1 GENERAL.**
**a.** Airport lighting equipment and materials covered by Federal
Aviation Administration (FAA) specifications shall be certified and
listed under Advisory Circular (AC) 150/5345-53, Airport Lighting
Equipment Certification Program.
**b.** All other equipment and materials covered by other referenced
specifications shall be subject to acceptance through manufacturer\'s
certification of compliance with the applicable specification, when
requested by the Engineer.
**c.** Manufacturer\'s certifications shall not relieve the Contractor
of the Contractor's responsibility to provide materials in accordance
with these specifications and acceptable to the Engineer. Materials
supplied and/or installed that do not materially comply with these
specifications shall be removed, when directed by the Engineer and
replaced with materials, which do comply with these specifications, at
the sole cost of the Contractor.
**d.** All materials and equipment used to construct this item shall be
submitted to the Engineer for approval prior to ordering the equipment.
Submittals consisting of marked catalog sheets or shop drawings shall be
provided. Submittal data shall be presented in a clear, precise and
thorough manner. Original catalog sheets are preferred. Photocopies are
acceptable provided they are as good a quality as the original. Clearly
and boldly mark each copy to identify pertinent products or models
applicable to this project. Indicate all optional equipment and delete
non-pertinent data. Submittals for components of electrical equipment
and systems shall identify the equipment for which they apply on each
submittal sheet. Markings shall be boldly and clearly made with arrows
or circles (highlighting is not acceptable). Contractor is solely
responsible for delays in project accruing directly or indirectly from
late submissions or resubmissions of submittals.
**e.** The data submitted shall be sufficient, in the opinion of the
Engineer, to determine compliance with the plans and specifications.
\[The Contractor\'s submittals shall be neatly bound in a properly sized
3-ring binder, tabbed by specification section.\] The Engineer reserves
the right to reject any and all equipment, materials or procedures,
which, in the Engineer's opinion, does not meet the system design and
the standards and codes, specified herein.
**f.** All equipment and materials furnished and installed under this
section shall be guaranteed against defects in materials and workmanship
for a period of at least \[twelve (12) months\] from final acceptance by
the Owner. The defective materials and/or equipment shall be repaired or
replaced, at the Owner\'s discretion, with no additional cost to the
Owner.
**\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \***
> **The engineer should specify the form in which submittals are to be
> received and number of copies.**
>
> **The length of time for guarantee of materials and workmanship should
> be as stated in the contract between the owner and contractor and the
> contract special provisions.**
**\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \***
**102-2. BEACON.** The beacon shall conform to the requirements of AC
150/5345-43, Specification for Obstruction Lighting Equipment.
**102-2.3 PANEL BOARDS AND BREAKERS.** Panel boards and breakers shall
conform to the requirements of Fed. Spec. W-P-115.
**102-2.4 WEATHERPROOF CABINETS.** Weatherproof cabinets shall conform
to National Electrical Manufacturers Association Standards and shall be
constructed of steel not less than No. 16 USS gauge.
**102-2.5 WIRE.** Wire in conduit rated up to 5,000 volts shall conform
to AC 150/5345-7, Specification for L-824 Underground Electrical Cable
for Airport Lighting Circuits for Rubber Insulated Neoprene Covered
Wire, or Fed. Spec. J-C 30, Type RHW, for rubber insulated fibrous
covered wire. For ratings up to 600 volts, thermoplastic wire conforming
to Fed. Spec. J-C-30, Types TW, THW, and THWN shall be used. The wires
shall be of the type, size, number of conductors, and voltage shown in
the plans or in the proposal.
**102-2.6 CONDUIT.** Rigid steel conduit and fittings shall conform to
the requirements of Underwriters Laboratories Standard 6, 514, and 1242.
**102-2.7 PAINT**
**a.** Priming paint for ungalvanized metal surfaces shall be a high
solids alkyd primer conforming to TT‑P‑664D.
**b.** Priming paint for galvanized metal surfaces shall be zinc
dust-zinc oxide primer paint, conforming to MIL--DTL-24441/19B. If
necessary, add not more than ½ pint (0.06 liters) of turpentine to each
gallon (liter).
**c.** Orange paint for the body and the finish coats on metal and wood
surfaces shall consist of a ready-mixed non-fading paint meeting the
requirements of Fed. Spec. TT-E-489. The color shall be in accordance
with Federal Standards 595, Aviation Gloss Orange Number 12197.
**d.** White paint for body and finish coats on metal and wood surfaces
shall be ready-mixed paint conforming to the Master Painter's Institute,
Reference #9, Exterior Alkyd, Gloss, VOC Range E2.
**e.** Priming paint for wood surfaces shall be mixed on the job by
thinning the above specified orange or white paint by adding ½ pint
(0.06 liters) of raw linseed oil to each gallon (liter).
**102-2.8 FLASHER.** The beacon flasher shall be a standard commercially
available unit designed for the service intended. The mechanism in the
flasher shall be designed to flash not more than 40 and not less than 12
flashes per minute. The flashing switch shall be of the mercury
contact-type encapsulated in nonbreakable plastic. The entire unit shall
be housed in a weatherproof cabinet.
CONSTRUCTION METHODS
**102-3.1 PLACING THE BEACON.** The beacon shall be mounted on a beacon
tower, platform, building roof, or on a pole as shown in the plans.
**102-3.2 MOUNTING AND LEVELING.** The support to which the beacon is
fastened shall be accurately leveled before mounting the beacon.
**102-3.3 FLASHER.** If shown in plans or specified in job
specifications, a separate flashing mechanism for the beacon shall be
installed adjacent or near the beacon. The mechanism in this flasher
shall be designed to flash not more than 40 and not less than 12 flashes
per minute.
**102-3.4 MOUNTING PLATFORM.** If shown in plans or specified in job
specifications, the Contractor shall construct a special mounting
platform for the beacon, flasher, and incidental equipment. Design and
materials for the special platform shall be as shown in the plans. This
mounting platform may be constructed on top of a steel beacon tower, or
wood pole if specified, and shall be as shown in the plans.
**102-3.5 WIRING.** The Contractor shall furnish all necessary labor and
materials and shall make complete aboveground electrical connections in
accordance with the wiring diagram furnished with the project plans. The
electrical installation shall conform to the requirements of the latest
edition of National Fire Protection Association, NFPA-70, National
Electric Code.
If underground cable for the power feed from the transformer vault to
the beacon site and duct for the installation of this cable is required,
the cable, ground rods and duct shall be installed in accordance with
and paid for as described in Item L-108, Underground Power Cable for
Airports, and Item L-110, Airport Underground Electrical Duct Banks and
Conduit.
If lightning protection is specified in the plans or proposals as a part
of this item, it shall be in accordance with Item L-103, Airport Beacon
Towers, paragraphs 103-2.3.
**102-3.6 PANEL AND CABINET.** If shown in plans or specified in job
specifications, the Contractor shall furnish and install a circuit
breaker panel. The panel shall be of the type and rating indicated in
the plans, and it shall be mounted in a weatherproof cabinet. The
cabinet shall be located near the beacon or as directed by the Engineer.
**102-3.7 CONDUIT.** All exposed wiring shall be run in not less than ¾
inch (19 mm) galvanized rigid steel conduit. No conduit shall be
installed on top of a beacon platform floor. All conduit shall be
installed to provide for drainage. If mounted on a steel beacon tower,
the conduit shall be fastened to the tower members with "wraplock"
straps, clamps, or approved fasteners spaced approximately 5 feet (150
cm) apart. Conduit shall be attached to wooden structures with
galvanized pipe straps and fastened with galvanized wood screws not less
than No. 8 or less than 1‑¼ inches (31 mm) long. There shall be at least
two fastenings for each 10-foot (3 m) length.
**102-3.8 BOOSTER TRANSFORMERS.** If shown in plans or specified in job
specifications, a booster transformer to compensate for voltage drop to
the beacon shall be installed in a suitable weatherproof housing under
or on the tower platform or at the base of the tower or pole. The
installation shall be as indicated in the plans and described in the
proposal. If the booster transformer is required for installation
remotely from the beacon, it shall be installed in accordance with and
paid for \[ \].
**\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \***
> **The engineer should specify how the booster transformer will be paid
> for when located remotely from the beacon tower, i.e. as part of the
> beacon installation or, if installed in the vault, as part of the
> vault equipment.**
**\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \* \*
\* \* \* \* \* \* \* \* \* \* \* \* \* \***
**102-3.9 PHOTOELECTRIC CONTROL.** If shown in plans or specified in job
specifications, the Contractor shall furnish and install an automatic
control switch at the location indicated in the plans. This switch shall
be a photoelectric type. It shall be a standard commercially available
unit that will energize when the northern sky illuminance falls below 60
footcandles (645.8 lux) but before reaching a level of 35 footcandles
(367.7 lux). The photoelectric switch should de-energize when the
northern sky illuminance rises to a level of not more than 60
footcandles (645.9 lux). It shall be installed, connected, and adjusted
in accordance with the manufacturer\'s instruction.
**102-3.10 PAINTING.** Wood poles and wooden parts of mounting platforms
shall be given one priming coat of white or aviation-orange paint after
fabrication but before erection and one body and one finish coat of
aviation-orange paint after erection. Steel mounting platforms shall be
given one priming coat of corrosion‑inhibiting primer before erection
and one body and one finish coat of aviation-orange paint after
erection. All equipment under this contract and exposed to the weather
shall be given one body and one finish coat of aviation-orange or white
paint as required. This shall include beacon (except glass surfaces),
breaker cabinet, and all conduit and transformer cases. It shall not
include air terminals.
The paint shall be applied uniformly in the proper consistency by
skilled painters. The finished paint shall be free from sags, holidays,
and smears. Each coat of paint shall be given ample time to dry and
harden before the next coat of paint is applied. A minimum of 3 days
shall be allowed for drying on wood surfaces and a minimum of 4 days
shall be allowed for drying on metal surfaces. Painting shall not be
done in cold, damp, foggy, dusty, or frosty atmospheres, or when air
temperature is below 40º F (4º C), nor started when the weather forecast
indicates such conditions for the day.
All surfaces shall be cleaned before painting. The surfaces shall be dry
and free from scale, grease, rust, dust, and dirt when paint is applied.
All knots in wood surfaces shall be covered with shellac immediately
before applying the priming coat of paint. Nail holes and permissible
imperfections shall be filled with putty.
The ready-mixed paint shall be thinned for the priming and body coats in
accordance with the manufacturer\'s recommendations. In the absence of
such recommendations, the following shall apply:
**a.** Body coats (for both wood and steel surfaces) - add ½ pint (0.06
liters) of turpentine to each gallon (liter) of ready-mixed paint for
body coats.
**b.** Finish coats (for both wood and steel surfaces) - the ready-mixed
paint shall be used as it comes from the container for finish coats.
**102-3.11 TESTING.** The installation shall be tested in operation as a
completed unit prior to acceptance. Tests shall include taking megger
and voltage readings. The voltage tolerance for testing shall be as
specified by the beacon manufacturer. Testing equipment shall be
furnished by the Contractor. The insulation resistance to ground of the
beacon supply circuit shall be not less than 50 megohms when measured
ungrounded.
Tests shall be conducted in the presence of the Engineer and shall be to
the Engineer's satisfaction.
METHOD OF MEASUREMENT
**102-4.1** The quantity to be paid for shall be the number of beacons
installed as completed units in place, accepted, and ready for
operation.
BASIS OF PAYMENT
**102-5.1** Payment will be made at the contract unit price for each
completed and accepted job. This price shall be full compensation for
furnishing all materials and for all preparation, assembly, and
installation of these materials, and for all labor, equipment, tools,
and incidentals necessary to complete this item.
Payment will be made under:
Item L-102-5.1 Hazard Beacon, in place---per unit
MATERIAL REQUIREMENTS
AC 150/5345-7 Specification For L-824 for Underground Electrical Cable
for Airport Lighting Circuits
AC 150/5345-43 Specification for Obstruction Lighting Equipment
FED SPEC J-C-30 Cable and Wire, Electrical (Power, Fixed Installation)
(cancelled; replaced by AA-59544 Cable and Wire, Electrical (Power,
Fixed Installation))
FED SPEC TT-E-489 Enamel, Alkyd, Gloss, Low VOC Content
FED SPEC TT-P-664D Primer Coating, Alkyd, Corrosion-Inhibiting, Lead and
Chromate Free, VOC-Compliant
MIL-DTL-24441/19B Paint, Epoxy-Polyamide, Zinc Primer, Formula 159, Type
III
FED SPEC W-P-115 Panel, Power Distribution
FED STD 595 Colors Used in Government Procurement
Underwriters Rigid Metal Conduit
Laboratories
Standard 6
Underwriters Fittings for Conduit and Outlet Boxes
Laboratories
Standard 514
Underwriters Intermediate Metal Conduit
Laboratories
Standard 1242
NFPA-70 National Electric Code
NFPA-780 Standard for the Installation of Lightning Protection Systems
Master Painter's Institute
# END OF ITEM L-102 {#end-of-item-l-102 .Style1}
**Intentionally Left Blank**
| en |
all-txt-docs | 338320 | 98.001 SAI NOT AVAILABLE UNITED NATIONS INTERNATIONAL CHILDREN AND EDU51000NEW YORK 061New York 3610017 25C907200AAGG009700021 0031 0000000000 0000000000 00000000000200803041997093020120930042L2008200FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development NEW YORK To incrementally fund the UNICEF Umbrella Grant in the amount of $500,000 to support polio eradication activities in Afghanistan, per the attached pr114915957 08000000 3 United Nations Plz 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ASIA FOUNDATION (TAF) 67000SAN FRANCISCO 075San Francisco 0694104182225C907200DFDA000600240 0002 0000078217 0000000000 00000078217200805072006092620080930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development CALIFORNIA The purpose of this modification is to provide additional funding in the amount of $78,217 for The Asia Foundations (TAFs) program entitled Addres074632001 10000000 465 California St FL 9 0 00000000000000000000000000000000
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98.001 SAI NOT AVAILABLE MERCY CORPS INTERNATIONAL (MCI) 59000PORTLAND 051Multnomah 4197201123425C907200DFDG000400151 0005 0000457374 0000000000 00000457374200805072004050120090530042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development OREGON This modifrication obligates an additional $457,374, expands the program description and extends the estimated completion date until May 30, 2009. 134170547 08000000 3015 SW 1st Ave 0 00000000000000000000000000000000
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98.001 SAI NOT AVAILABLE COOPERATIVE FOR ASSISTANCE AND RELIEF EVERYWH04000ATLANTA 121Fulton 1330303123425A907200DFDG000800148 0000 0000705174 0000000000 00000705174200805212008050120090331042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development GEORGIA To provide assistance to cyclone victims in Madagascar. 001793082 10000000 151 Ellis St Ne FL 3 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WORLD VISION, INC. 50000WASHINGTON 001District of Columbia 1120002005925A987200DFDG000800158 0000 0000347126 0000000000 00000347126200806052008041520080914042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this grant is to provide financial support for World Vision's program to facilitate the transformation of current cultural perceptions784632499 08000000 300 I St Ne 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL RELIEF AND DEVELOPMENT, INC. (I03000ARLINGTON 013Arlington 5122209213225A907200DFDG000800167 0000 0000471772 0000000000 00000471772200806052008060520090208042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development VIRGINIA This award provides funding support to IRD to support the reintegration and resettlement for conflict affected populations in Mid- and Far-West Nepal047802223 10000000 1621 N Kent St FL 4 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE PAN AMERICAN DEVELOPMENT FOUNDATION (PADF) 25615FRIDAY HARBOR 055San Juan 5320006000125C907200DOTA000500068 0007 0001000000 0000000000 00001000000200805292005093020090928052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development WASHINGTON The purpose of this modification is to re-align the budget at no additional cost to USAID and provide incremental funding in the amount of $1,00,000 015699176 04000000 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ACADEMY FOR EDUCATIONAL DEVELOPMENT (AED) 50000WASHINGTON 001District of Columbia 1120009572125B987200EDHA000600001 0002 0000450000 0000000000 00000450000200805282006071520110714052 1150000DISTRICT OF COLUMBIA Washington 20009572198USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this modification is to provide funding in the amount of $450,000. 071031280 10000000 1825 Conn Ave NW Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE UNIVERSITY OF ARIZINAI 77000TUCSON 019Pima 0487722 25C907200EEEA000200050 0014 0000000000 0000000000 00000000000200706272002092420070930052L200731150000DISTRICT OF COLUMBIA Washington 20523 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development ARIZONA Research by the University of Arizona 010081289 05000000 Drachman & Warren 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE 50000WASHINGTON 001District of Columbia 1120006100225C987200EEMA000300001 0008 0000000000 0000000000 00000000000200804092003051420090930052 1150000DISTRICT OF COLUMBIA Washington 20006100298USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA No cost extension to extend the period of performance through September 30, 2009. 020313540 10000000 2033 K St NW Ste 400 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE VOLUNTEERS FOR ECONOMIC GROWTH ALLIANCE (VEGA50000WASHINGTON 001District of Columbia 1120005240625C987200EEMA000500009 0003 0000000000 0000000000 00000000000200804302005093020080430052 1150000DISTRICT OF COLUMBIA Washington 20005 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA This is a modification to extend the period of performance from April 30,2008 until September 30, 2009. The modification also incorporates a slight 136478992 06000000 1900 L St NW Ste 405 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WORLD WILDLIFE FUND, INC. (WWF) 50000WASHINGTON 001District of Columbia 1120037113225A987200EPPA000800003 0000 0000284700 0000150000 00000434700200806112008061220100611052 1150000DISTRICT OF COLUMBIA Washington 20037 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this award is to promote environmental compliance, improve fisheries management, and conserve marine biodiversity and ecosystemk servi074845447 10000000 1250 24th St NW FL 6 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ACADEMY FOR EDUCATIONAL DEVELOPMENT (AED) 50000WASHINGTON 001District of Columbia 1120009572125A987200GHNA000800001 0000 0000500000 0000000000 00000500000200806022008060220130601052 1150000DISTRICT OF COLUMBIA Washington 20009 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To implement activities under the FANTA II Activity. 071031280 08000000 1825 Conn Ave NW Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE JHPIEGO CORPORATION 04000BALTIMORE 510Baltimore (city) 2421231346225B907200GHSA000400002 0011 0001525000 0000000000 00001525000200804152004072720090726052 2404000MARYLAND Baltimore 21231 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND Incremental Funding $3,075,000.00 618022149 08000000 1615 Thames St Ste 200 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WILDLIFE CONSERVATION SOCIETY (WCS) 99005BRONX COUNTY 005Bronx 3610460 25C907200GHSA000600005 0004 0000000000 0000000000 00000000000200804232006053120080531052 3651000NEW YORK New York 10152 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development NEW YORK to extend the period of performance through may 31, 2009 075209650 08000000 185th St & Southern Blvd 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE UNITED STATES PHARMACOPEIAL CONVENTION, INC. 67675ROCKVILLE 031Montgomery 2420852171725B907200HRNA000000017 0023 0000180000 0000000000 00000180000200804282000092920100930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND Incremental Funding in the amount of $180,000. 074845140 08000000 12601 Twinbrook Pkwy 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ACADEMY FOR EDUCATIONAL DEVELOPMENT (AED) 50000WASHINGTON 001District of Columbia 1120009 25C987200HRNA009800046 0037 0000000000 0000000000 00000000000200805131998093020080930052 1150000DISTRICT OF COLUMBIA Washington 20005 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Provide incremental funding in the amount $125,000.00 071031280 10000000 1825 Conn Ave NW Ste 800 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE SERVICE AND DEVELOPMENT AGENCY, INC. 50000WASHINGTON 001District of Columbia 1120001 20C987200HSHG000000020 0005 0000000000 0000000000 00000000000200705162000092520080630042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Extended the Project Assistance Completion Date (PACD) from 6/30/07 to 6/30/08. 150300200 09000000 1134 11th St NW Ste 101 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE SERVICE AND DEVELOPMENT AGENCY, INC. 50000WASHINGTON 001District of Columbia 1120001 20C987200HSHG000000020 0006 0000000000 0000000000 00000000000200803212000092520090630042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Extended the Project Assistance Completion Date (PACD) from 6/30/08 to 6/30/09. 150300200 09000000 1134 11th St NW Ste 101 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE FFICE OF THE TRUSTEES AND GREEK SUMMER 51000NEW YORK 061New York 3610010 25C907200HSHG000100001 0006 0000000000 0000000000 00000000000200701172001060520071231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Extended the Project Assistance Completion Date (PACD) from 12/31/06 to 12/31/07, revised the budget/financial plan, and modified the project descrip061812868 03000000 1133 Broadway Ste 509 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE AMMA FOUNDATION, INC. C/O KORTH AND KORTH 50000WASHINGTON 001District of Columbia 1120006 25C987200HSHG000300008 0003 0000000000 0000000000 00000000000200707052003090520071231042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Extended the Project Assistance Completion Date (PACD) from 6/30/07 to 12/31/07. 095139163 08000000 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE MEDICAL BENEVOLENCE FOUNDATION (MBF) 35000HOUSTON 201Harris 4877063374325C907200HSHG000300015 0003 0000000000 0000000000 00000000000200706272003091320080330042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development TEXAS Extended the Project Assistance Completion Date (PACD) from 8/31/07 to 3/31/08. 089799092 10000000 3100 S Gessner Rd Ste 210 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE MEDICAL BENEVOLENCE FOUNDATION (MBF) 35000HOUSTON 201Harris 4877063374325C907200HSHG000300015 0004 0000000000 0000000000 00000000000200802042003091320080930042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development TEXAS Extended the Project Assistance Completion Date from 3/30/08 to 9/30/08. 089799092 10000000 3100 S Gessner Rd Ste 210 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE FFICE OF THE TRUSTEES AND GREEK SUMMER 51000NEW YORK 061New York 3610010 25C907200HSHG000300020 0003 0000000000 0000000000 00000000000200701172003092620091231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Reduced cost share amount by $301,100.00 leaving $383,900 for the project in Amendment 3, redistributed USAID/ASHA funding, and modified the project 061812868 05000000 1133 Broadway Ste 509 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE TRUSTEES OF ANATOLIA COLLEGE 07000BOSTON 025Suffolk 2502108272520C907200HSHG000300021 0004 0000000000 0000000000 00000000000200704112003092720070930042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MASSACHUSETTS Agency modification to include language pertaining to "Reporting on Foreign Taxes." 121625735 09000000 130 Bowdoin St APT 1201 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NAZARETH PROJECT, INC. 41216LANCASTER 071Lancaster 4217603352725C907200HSHG000300026 0003 0000000000 0000000000 00000000000200704022003092820080630042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Extended the project assistance completion date (PACD) from 12/31/07 to 6/30/08. 012869744 10000000 237 N Prince St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NAZARETH PROJECT, INC. 41216LANCASTER 071Lancaster 4217603352725C907200HSHG000300026 0004 0000000000 0000000000 00000000000200802082003092820080630042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Established Letter of Credit (LOC) for payments to Grantee. 012869744 10000000 237 N Prince St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NAZARETH PROJECT, INC. 41216LANCASTER 071Lancaster 4217603352725C907200HSHG000300026 0005 0000000000 0000000000 00000000000200804102003092820090630042 00FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Extended the project assistance completion date from 6/30/08 to 6/30/09. 012869744 10000000 237 N Prince St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE SERVICE AND DEVELOPMENT AGENCY, INC. 50000WASHINGTON 001District of Columbia 1120001431620C987200HSHG000300027 0001 0000000000 0000000000 00000000000200705032003092820081231042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Changed the Project Assistance Completion Date (PACD) from 12/31/07 to 12/31/08. 150300200 09000000 1134 11th St NW Ste 101 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NORTHERN GREAT LAKES SYNOD EVANGELICAL LUTHER51900MARQUETTE 103Marquette 2649855 25C907200HSHG000400019 0002 0000000000 0000000000 00000000000200703022004091120070930042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MICHIGAN Extended the Project Assistance Completion Date (PACD) from 12/31/06 to 9/30/07. 939470712 08000000 305 W Magnetic St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE TRUSTEES OF ANATOLIA COLLEGE 07000BOSTON 025Suffolk 2502108 20C907200HSHG000400024 0002 0000000000 0000000000 00000000000200704112004091520070630042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MASSACHUSETTS Modified the Project Description. 121625735 09000000 130 Bowdoin St APT 1201 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE AMERICAN COMMITTEE FOR SHAARE ZEDEK HOSPITAL 51000NEW YORK 061New York 3610036 25C907200HSHG000400035 0001 0000000000 0000000000 00000000000200701172004092320080930042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Changed the Project Assistance Completion Date (PACD) from 12/31/06 to 9/30/08. 040061871 10000000 49 W 45th St Ste 1100 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE AMERICAN COMMITTEE FOR SHAARE ZEDEK HOSPITAL 51000NEW YORK 061New York 3610036 25B907200HSHG000400035 0002 0000000000 0002310000 00002310000200803202004092320080930042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Modified the project description, increased the cost share amount, and revised the budget/financial plan 040061871 10000000 49 W 45th St Ste 1100 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE MEDICAL BENEVOLENCE FOUNDATION (MBF) 35000HOUSTON 201Harris 4877063374325C907200HSHG000500001 0001 0000000000 0000000000 00000000000200709042005093020080930042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development TEXAS Modified the Project Description. 089799092 10000000 3100 S Gessner Rd Ste 210 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE MEDICAL BENEVOLENCE FOUNDATION (MBF) 35000HOUSTON 201Harris 4877063374325C907200HSHG000500001 0002 0000000000 0000000000 00000000000200805012005093020090930042 00FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development TEXAS Extended the Project Assistance Completion Date (PACD) from 9/30/08 to 9/30/09. 089799092 10000000 3100 S Gessner Rd Ste 210 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NORTHERN GREAT LAKES SYNOD EVANGELICAL LUTHER51900MARQUETTE 103Marquette 2649855 25C907200HSHG000500003 0001 0000000000 0000000000 00000000000200701192005093020071231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MICHIGAN Extended the Project Assistance Completion Date (PACD) from September 30, 2007 to December 31, 2007. 782799415 07000000 1029 N 3rd St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE NORTHERN GREAT LAKES SYNOD EVANGELICAL LUTHER51900MARQUETTE 103Marquette 2649855 25B907200HSHG000500003 0002 0000000000 0000096749 00000096749200708132005093020071231042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MICHIGAN Modified the Project Description, revised the Budget/Financial Plan, and increased the cost share amount. 782799415 07000000 1029 N 3rd St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE AVE MARIA UNIVERSITY 33250IMMOKALEE 021Collier 1234142 20C907200HSHG000500004 0001 0000000000 0000000000 00000000000200707052005090820080930042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development FLORIDA Extended the Project Assistance Completion Date (PACD) from 9/30/07 to 9/30/08. 147350479 10000000 5050 Ave Maria Blvd 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE AVE MARIA UNIVERSITY 33250IMMOKALEE 021Collier 1234142 20C907200HSHG000500004 0002 0000000000 0000000000 00000000000200708022005090820080930042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development FLORIDA USO/OSI changed the name of the university from "Ave Maria College" to "Ave Maria University." In addition the name of the OSI was changed from "Ave147350479 10000000 5050 Ave Maria Blvd 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE UNITED BOARD FOR CHRISTIAN HIGHER EDUCATION I51000NEW YORK 061New York 3610115011720C907200HSHG000500007 0002 0000000000 0000000000 00000000000200705032005093020091231042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Extended the Project Assistance Completion Date from 12/31/08 to 12/31/09. 139629005 10000000 475 Riverside Dr Ste 1221 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE WORLD WITNESS BOARD OF FOREIGN MISSIONS 30850GREENVILLE 045Greenville 4529601479925C907200HSHG000500008 0001 0000000000 0000000000 00000000000200705042005093020090930042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development SOUTH CAROLINA Extended the Project Assistance Completion Date (PACD) from 9/30/07 to 9/30/08. 002377448 09000000 1 Cleveland St Ste 220 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE JOHN HOPKINS UNIVERSITY 50000WASHINGTON 001District of Columbia 1120036 20C987200HSHG000500023 0001 0000000000 0000000000 00000000000200701262005093020061231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Deobligate remaining funds not used prior to grant expiration of 12/31/06. 627359482 08000000 1740 Massachusetts Ave NW # 4 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE CURE INTERNATIONAL, INC. 42648LEMOYNE 041Cumberland 4217043 25C907200HSHG000500033 0001 0000000000 0000000000 00000000000200707162005093020071231042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Extended the Project Assistance Completion Date (PACD) from 9/30/07 to 12/31/07. 845262596 10000000 701 BOSLER AVE 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE CURE INTERNATIONAL, INC. 42648LEMOYNE 041Cumberland 4217043 25C907200HSHG000500033 0002 0000000000 0000000000 00000000000200801102005093020080630042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Extended the Project Assistance Completion Date (PACD) from 12/30/07 to 6/30/08. 845262596 10000000 701 BOSLER AVE 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE CHICAGO PROVINCE OF THE SOCIETY OF JESUS 14000CHICAGO 031Cook 1760614461920C907200HSHG000500040 0002 0000000000 0000000000 00000000000200705302005092020071231042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development ILLINOIS Extended the Project Assistance Completion Date (PACD) from 6/30/07 to 12/31/07. 108115353 10000000 2059 N Sedgwick St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE CHICAGO PROVINCE OF THE SOCIETY OF JESUS 14000CHICAGO 031Cook 1760614461920C907200HSHG000500040 0003 0000000000 0000000000 00000000000200803172005092020081231042L2008200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development ILLINOIS Extended the Project Assistance Completion Date (PACD) from 12/31/07 to 12/31/08. 108115353 10000000 2059 N Sedgwick St 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE TRUSTEES OF THE FEINBERG GRADUATE SCHOOL/WEIZ51000NEW YORK 061New York 3610017 25C907200HSHG000600001 0001 0000000000 0000000000 00000000000200702222006093020081231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Modification authorized the use of Letter of Credit (LOC) for issuance of grant funds to the Grantee for all project activities. 076827567 09000000 633 3rd Ave FL 20 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE BOARD OF TRUSTEES AMERICAN UNIVERSITY IN BULG16375DANFORTH 029Washington 2304351044720C907200HSHG000600013 0001 0000000000 0000000000 00000000000200705032006091820080630042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development MAINE Continue support of on-going activity by constructing a basement plus three-story library building that will abute an existing multipurpose building 047367396 03000000 P.O. BOX 310 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE EARTH UNIVERSITY FOUNDATION, INC. (EUF) 04000ATLANTA 121Fulton 1330305123020C907200HSHG000600017 0001 0000000000 0000000000 00000000000200703072006093020081231042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development GEORGIA Modified the Project Description. 008205325 09000000 3525 Piedmont Rd Ne 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE PEOPLE-TO-PEOPLE HEALTH FOUNDATION, INC. - PR52088MILLWOOD 043Clarke 5122646 25C907200HSHG000600025 0001 0000000000 0000000000 00000000000200703072006093020090331042L2007200FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development VIRGINIA Procure state-of-the-art medical equipment. 098661135 10000000 255 Carter Hall Ln 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE PEOPLE-TO-PEOPLE HEALTH FOUNDATION, INC. - PR52088MILLWOOD 043Clarke 5122646025525C907200HSHG000600025 0002 0000400000 0001150000 00001550000200709242006093020091231042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development VIRGINIA Increased the level of funding, modified the project description, revised the budget/financial plan, and extended the PACD. 098661135 10000000 255 Carter Hall Ln 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE TRUSTEES OF THE AMERICAN UNIVERSITY OF BEIRUT51000NEW YORK 061New York 3610017230325A907200HSHG000700020 0000 0001800000 0000359000 00002159000200709272007092420110630042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development NEW YORK Constructing, upgrading and modernizing several laboratory facilities and equipment as well as purchase state-of-the-art equipment for several facult127649650 08000000 3 Dag Hammarskjold Plz # 8 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE CURE INTERNATIONAL, INC. 42648LEMOYNE 041Cumberland 4217043 25A907200HSHG000700021 0000 0000300000 0000341000 00000641000200709282007092520090331042L2007400FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development PENNSYLVANIA Purchase of state-of-the-art surgical operating theaters equipment for the CURE Orthopedic Clinic and Hospital in Honduras. 845262596 10000000 701 BOSLER AVE 0 00000000000000000000000000000000
98.006 SAI NOT AVAILABLE HOSPITAL DE LA FAMILIA FOUNDATION 46870MENLO PARK 081San Mateo 0694025 25C907200HSHG009900010 0004 0000000000 0000000000 00000000000200705221999092220050630042L2007300FORGN 90Foreign Assistance to American Schools and Hospitals Abroad (ASHA) USAID - United States Agency for International Development CALIFORNIA De-obligated unexpended funds at grant expiration on 6/30/05. The amount de-obligated was $1,433. 798275587 05000000 1020 Marsh Rd 0 00000000000000000000000000000000
98.003 SAI NOT AVAILABLE ADVENTIST DEVELOPMENT AND RELIEF AGENCY INTER72450SILVER SPRING 031Montgomery 2420904660025B907200PVCA000600001 0001 0000059822 0000000000 00000059822200708022006092620080924052L200742472450MARYLAND Silver Spring 20904 90Ocean Freight Reimbursement Program (OFR) USAID - United States Agency for International Development MARYLAND Ocean Freight Reimbursement award to reimburse eligible transportation costs of privately donated and purchased humanitarian aid. 070112834 10000000 12501 Old Columbia Pike 0 00000000000000000000000000000000
98.003 SAI NOT AVAILABLE AMERICAN COMMITTEE FOR SHAARE ZEDEK HOSPITAL 51000NEW YORK 061New York 3610036460325B907200PVCA000600002 0001 0000019780 0000000000 00000019780200708022006092120080919052L200743651000NEW YORK New York 10036 90Ocean Freight Reimbursement Program (OFR) USAID - United States Agency for International Development NEW YORK Ocean Freight Reimbursement funds to reimburse eligible transportation costs for PVO's donated and purchased humanitarian aid. 040061871 10000000 49 W 45th St Ste 1100 0 00000000000000000000000000000000
98.003 SAI NOT AVAILABLE AMERICAN NEAR EAST REFUGEE AID (ANERA) 50000WASHINGTON 001District of Columbia 1120005 25B987200PVCA000600003 0001 0000005578 0000000000 00000005578200708022006092120080919052L200741150000DISTRICT OF COLUMBIA Washington 20005 98Ocean Freight Reimbursement Program (OFR) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Ocean Freight Reimbursement funds to reimburse PVOs for eligible transportation costs related to humanitarian aid shipments. 074818899 10000000 1522 K St NW Ste 600 0 00000000000000000000000000000000
98.003 SAI NOT AVAILABLE ASIA FOUNDATION (TAF) 67000SAN FRANCISCO 075San Francisco 0694104 25B907200PVCA000600004 0001 0000040315 0000000000 00000040315200708022006092120080919052L200740667000CALIFORNIA San Francisco 94104 90Ocean Freight Reimbursement Program (OFR) USAID - United States Agency for International Development CALIFORNIA Ocean Freight Reimbursement funds to reimburse PVOs for transportation of humanitarian aid. 074632001 10000000 465 California St FL 9 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120005596225C987200RANA000500058 0002 0000000000 0000000000 00000000000200708152005093020080131052L200741150000DISTRICT OF COLUMBIA Washington 20006 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Incorprate addendum workplans for Kuwait and Bahrain, readjust budgets and extend the period of performance 927923250 08000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE GERMAN MARSHALL FUND 50000WASHINGTON 001District of Columbia 1120009 25D987200REEA000500104 0002 0000300000 0000000000 00000300000200709112005092820050928052L200741150000DISTRICT OF COLUMBIA Washington 20523 98USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA 1. Increase the total estimated amount by $300,000 from $500,000 to $800,000.2. Obligate $300,000 from FY 2007 funds and add the accounting and app 092401843 07000000 1700 18th St NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE SULLIVAN, DREW 51000NEW YORK 061New York 3610003590125A907200REEG000800029 0000 0000750000 0000171451 00000921451200805162008051620090515042 1150000DISTRICT OF COLUMBIA Washington 20521713098USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development NEW YORK To improve regional investigative reporting capacity to expose organized crime in South East Europe. 077486996 05000000 7 E 8th St 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL RELIEF AND DEVELOPMENT, INC. (I03000ARLINGTON 013Arlington 5122209213225A907200RLAA000800018 0000 0000500000 0000200000 00000700000200805012008050120100430052 5103000VIRGINIA Arlington 22209000090USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development VIRGINIA Cooperative Agreement to IRD-The overall goal of this project is to build the capacity of civil society to assist a future transition government to 047802223 09000000 1621 N Kent St FL 4 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120005596225C987200114A000600094 0004 0000200000 0000000000 00000200000200804162008041620090831052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Parliamentary Strengthening program 927923250 09000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120005596225C987200114A000600094 0006 0000150000 0000000000 00000150000200804302008043020090831052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Parliamentary Strengthening program 927923250 08000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL REPUBLICAN INSTITUTE (IRI) 50000WASHINGTON 001District of Columbia 1120005596225C987200114A000700052 0007 0000100000 0000000000 00000100000200804152008041520100515052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Political Party Strengthening 126510312 08000000 1225 Eye St NW Ste 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL REPUBLICAN INSTITUTE (IRI) 50000WASHINGTON 001District of Columbia 1120005596225C987200114A000700052 0008 0000125000 0000000000 00000125000200804232008042320100515052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Political Party Strengthening 126510312 08000000 1225 Eye St NW Ste 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE COUNTERPART INTERNATIONAL, INC. (CAP) 50000WASHINGTON 001District of Columbia 1120036 25B987200115A000700005 0002 0001454000 0000000000 00001454000200709302007093020100327052L2007400FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this modification is to incrementally fund the cooperative agreement in the amount of $1,454,000 in accordance with the recommendation878308274 10000000 1200 18th St NW FL 11 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120037 25C987200116A000400008 0009 0000000000 0000000000 00000000000200612262006122620070131052L2007100FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this modification is to extend the period of Agreement by 1 month without additional funding from the Government to finalize trainings927923250 09000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE FREEDOM HOUSE, INC./RIGHTS CONSORTIUM 50000WASHINGTON 001District of Columbia 1120036 25A987200116A000700012 0000 0000300000 0000000000 00000300000200709012007090120090831052L2007400FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The overall objective of the program is to increase knowledge of human rights, civics and law in religious schools in the Kyrgyz Republic. 807931258 08000000 1319 18th St NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE TRANSATLANTIC PARTNERS AGAINST AIDS (TPAA) 51000NEW YORK 061New York 3610010500025C907200118A000600033 0004 0000000000 0000000000 00000000000200805302008053020080630052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development NEW YORK Recipient provide Technical assistance in support of USAID HIV/AIDS Policy Advocacy programs 189596088 10000000 928 Broadway Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE AMERICAN BAR ASSOCIATION (ABA) 50000WASHINGTON 001District of Columbia 1120005100925B987200118G009900160 0019 0000000000 0001595041 00001595041200805212008052120080930042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Recipient shall provide Technical assistance in support of USAID Rule-of-Law programs 927787259 10000000 740 15th St NW FL 8 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE COUNTERPART INTERNATIONAL, INC. (CAP) 50000WASHINGTON 001District of Columbia 1120036256125B987200120A000600013 0002 0000331912 0000000000 00000331912200804222008042220090929052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this modification is to incrementally fund the Cooperative Agreement in the amount of $331,019.00. 878308274 10000000 1200 18th St NW FL 11 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTU41000LITTLE ROCK 119Pulaski 0572202174825C907200120A000600015 0002 0000000000 0000000000 00000000000200803172008031720080430052L2008200FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development ARKANSAS The purpose of this modification is to extend the agreement at no additional cost to the US Government. The new completion date is April 30, 2008. 122190242 10000000 2101 Riverfront Dr 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WINROCK INTERNATIONAL INSTITUTE FOR AGRICULTU41000LITTLE ROCK 119Pulaski 0572202211425B907200121A000400009 0007 0003187115 0000000000 00003187115200805222008052220081117052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development ARKANSAS To extend the award for no-cost extension for three months, from 8/17/2008 to 11/17/2008. 122190242 10000000 2101 Riverfront Dr 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE FREEDOM HOUSE, INC. 50000WASHINGTON 001District of Columbia 1120036181525A987200122A000800010 0000 0000375000 0000000000 00000375000200805012008050120100430052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Freedom House will strengthen local capacity in Uzbekistan to better protect human rights and advocate with the Government of Uzbekistan for reforms 780400156 10000000 1301 Conn Ave NW Ste 600 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL REPUBLICAN INSTITUTE (IRI) 50000WASHINGTON 001District of Columbia 1120005596225B987200165A000100104 0013 0000547906 0000000000 00000547906200805222008052220090630052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this Modification is to provide incremental funding of $547,906, thereby increasing the Total Obligated Amount from $3,974,890 to $4,5126510312 08000000 1225 Eye St NW Ste 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE MERCY CORPS INTERNATIONAL (MCI) 59000PORTLAND 051Multnomah 4197201470725C907200167A000300105 0008 0000500000 0000000000 00000500000200804302008043020080930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development OREGON The purpose of this Modification is to provide incremental funding of $500,000, thereby increasing the Total Obligated Amount from $6,983,164 to $7,4134170547 08000000 3015 SW 1st Ave 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120005596225C987200167A000600101 0004 0000117110 0000000000 00000117110200805202008052020080715052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this Modification is to: (1) extend the Completion Date from May 20, 2008 to July 15, 2008; (2) increase the Total Estimated Amount b927923250 09000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CATHOLIC RELIEF SERVICES (CRS) 04000BALTIMORE 510Baltimore (city) 2421201341325C907200167A000600103 0002 0000273636 0000000000 00000273636200804212008042120090521052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND The purpose of the M odification ois to provide incremental funding of $273,636, thereby increasing the Total Obligated Amount from $620,000 to $ 893068205541 06000000 209 W Fayette St 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE UNITED STATES ENERGY ASSOCIATION (USEA) 50000WASHINGTON 001District of Columbia 1120004302225B987200176A000600005 0002 0000716180 0000300000 00001016180200712192007121920080815052L2008100FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this Modification is to incrementally fund the agreement in the amount of $716,180.00 021874433 10000000 1300 Pennsylvania Ave NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE UNITED STATES DEPARTMENT OF AGRICULTURE (USDA50000WASHINGTON 001District of Columbia 1120250430025A987200182G000700001 0000 0000050000 0000000000 00000050000200706052007100220080604042L2007300FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Emergency Readiness Training in connection with forest fire fighting in Albania 001954718 08000000 1400 Independence Ave SW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE HELLENICARE, INC. 14000CHICAGO 031Cook 1760611450125C907200182G000700101 0001 0000000000 0000000000 00000000000200805182008051820080731042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development ILLINOIS The purpose of this modification is to: (1) change the estimated completion date from June 14, 2008 to July 31, 2008; and (2) realign the budget. 070926642 10000000 980 N Michigan Ave # 1210 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ENCON SERVICES INTERNATIONAL, INC. 07125BETHESDA 031Montgomery 2420816169625C907200183A000600103 0001 0000000000 0000000000 00000000000200805072008042820080731052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND The purpose of this modification is to: 1) extend the Period of Performance by 3 months, thereby the estimated Completion date changes from April 30,172206547 10000000 5016 Newport Ave Ste 100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE PLANNING AND DEVELOPMENT COLLABORATIVE INTERN50000WASHINGTON 001District of Columbia 1120007520425C987200263A000600028 0002 0000999714 0000000000 00000999714200805122008051220080630052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Modification 2 extends the CA for one month at no further cost. 867895344 06000000 1901 Pennsylvania Ave NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE AMERICAN BAR ASSOCIATION (ABA) 50000WASHINGTON 001District of Columbia 1120005101925B987200263G000600064 0003 0000730285 0000000000 00000730285200805262008052620091230042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Modification #3 is to modify the program description to allow ABA to partner with AUC and realigns the budget accordingly. No funding is included. 927787259 10000000 740 15th St NW FL 8 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE COOPERATIVE HOUSING FOUNDATION (CHF) INTERNAT72450SILVER SPRING 031Montgomery 2420910343725A907200268A000800024 0000 0006999924 0000000000 00006999924200804162008041620110430052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND Lebanon Municipal Capacity Building and Service Delivery 048855415 10000000 8601 Georgia Ave Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE RELIEF INTERNATIONAL (RI) 44000LOS ANGELES 037Los Angeles 0690024562025A907200268A000800025 0000 0007000000 0000000000 00007000000200804162008041620110430052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development CALIFORNIA Lebanon Municipal Capacity Building and Service Delivery 786727474 10000000 1575 Westwood Blvd 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE VOLUNTEERS FOR ECONOMIC GROWTH ALLIANCE (VEGA50000WASHINGTON 001District of Columbia 1120036502625C987200278A000500317 0003 0000417926 0000000000 00000417926200804302008033120110731052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The purpose of this modification is to extend the CA to July 31, 2011, increase the total estimated amount by $1,713,799 to cover the EMDAPs for 2007136478992 06000000 1900 L St NW Ste 405 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE FAMILY HEALTH INTERNATIONAL (FHI) 03000ARLINGTON 013Arlington 5122201306025C907200278A000600327 0003 0000000000 0000000000 00000000000200804302008043020080930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development VIRGINIA The purpose of this modification is to extend the CA to September 30, 2008 and realign the budget. 618115067 10000000 2101 Wilson Blvd Ste 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120005596225C987200278A000700334 0004 0000000000 0000000000 00000000000200804162008041620091213052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To foster an environment in Jordan that encourages and enables more pluralistic, fair, broad-based and representative political competition. 927923250 09000000 1225 I ST NW STE 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ACADEMY FOR EDUCATIONAL DEVELOPMENT (AED) 50000WASHINGTON 001District of Columbia 1120009 25C987200294A000600210 0001 0003000000 0000000000 00003000000200709292007092920080929052L2007400FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Obligate the amount of $3,000,000. 071031280 08000000 1825 Conn Ave NW Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE AMERICAN MIDEAST EDUCATIONAL AND TRAINING SER50000WASHINGTON 001District of Columbia 1120036450525C987200294A000700214 0001 0002000000 0000000000 00002000000200805072008050720110929052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To add incremental funding in the amount of $2,000,000 074807124 10000000 1730 M St NW Ste 1100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE AMERICAN MIDEAST EDUCATIONAL AND TRAINING SER50000WASHINGTON 001District of Columbia 1120036450525C987200294A000700214 0002 0000000000 0000000000 00000000000200805122008051220110929052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To make changes under the Mandatory Special Provisions and under the key personnel section. 074807124 10000000 1730 M St NW Ste 1100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ARZU, INC. 41105LAKE FOREST 097Lake 1760045 25C907200306G000400540 0006 0000000000 0000000000 00000000000200705222004060120061231042L2007300FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development ILLINOIS the purpose of this modification is to revise the grant completion date from May 31, 2007 to Dec 31, 2006 787476121 05000000 222 E Wisconsin Ave 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL FEDERATION FOR ELECTION SYSTEMS50000WASHINGTON 001District of Columbia 1120005000125A987200386A000800052 0000 0000047000 0000000000 00000047000200805292008052920080930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA New Follow-on award to IFES to support and Strengthen the organizational capacity of Women Power Connect in collaboration with the Center for Social 626780977 08000000 1101 15th St NW Ste 300 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE KINGSLEY, JEAN-PIERRE 50000WASHINGTON 001District of Columbia 1120005500225C987200497A000700012 0002 0000549800 0000000000 00000549800200805132008051320091031052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To approve the Follow-on Indonesia Voter Registration Support program within the existing Program Description entitled A Free and Credible 2009 Elect626780977 05000000 1101 15th St NW Ste 300 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036330625C987200497A000700013 0002 0000599259 0000000000 00000599259200805132008051320091031052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To approve Follow-on Voter Registration Audit in Indonesia program within the existing Program Description entitled A Free, Fair and Credible 2009 El110309622 05000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE SALESIAN MISSIONS OF THE SALESIAN SOCIETY, IN03000ARLINGTON 013Arlington 5110801571025A907200520G000400142 0000 0000239875 0000000000 00000239875200805152008051520080515042 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development VIRGINIA Closeout of this grant which was an economic integration in Ixcan project. 868851528 10000000 1655 Fort Myer Dr Ste 450 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE WORLD CONCERN DEVELOPMENT ORGANIZATION (WCDO)63000SEATTLE 033King 5398133389825C907200521A000600013 0003 0000000000 0000000000 00000000000200805072008050720090930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development WASHINGTON Administrative modification for change of Key Personnel 009502014 08000000 19303 FREMONT AVE N 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CITIZENS DEVELOPMENT CORPS, INC. (CDC) 50000WASHINGTON 001District of Columbia 1120036000125A987200532A000800006 0000 0000250000 0000879840 00001129840200801022008010220081231052L200821150000DISTRICT OF COLUMBIA Washington 20036000198USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA The United States Agency for International Development (USAID) Jamaica Farmers Access to Regional Markets (JA FARMS) project extension builds on the 621532712 10000000 1726 M St NW Ste 1100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE CITIZENS DEVELOPMENT CORPS, INC. (CDC) 50000WASHINGTON 001District of Columbia 1120036000125B987200532A000800006 0001 0000244652 0000000000 00000244652200805082008050820081231052 1150000DISTRICT OF COLUMBIA Washington 20036000198USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Jamaica Farmers Access to Regional Markets (JA FARMS) program. 621532712 10000000 1726 M St NW Ste 1100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE INTERNATIONAL TRAINNING AND EDUCATIONAL CENTE56695PUYALLUP 053Pierce 5398104350825B907200532G000500004 0007 0000300000 0000000000 00000300000200709282007092820090930042L2007400FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development WASHINGTON incrementally fund Grant No. 532-G-00-05-00004 with $300,000. 603119251 05000000 901 23rd St NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE DEVELOPMENT ALTERNATIVES, INC. (DAI) 07125BETHESDA 031Montgomery 2420814366425C907200596A000400225 0008 0004240555 0000000000 00004240555200805202008052020080930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MARYLAND The purpose of this modification is to update the Standard Provisions, Section C of this Agreement. 066781956 10000000 7600 WISCONSIN AVE # 200 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE POPULATION SERVICES INTERNATIONAL (PSI) 50000WASHINGTON 001District of Columbia 1120036360525C987200596A000600060 0008 0000175000 0000000000 00000175000200805272008052720090930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Increase TEC; increase obligated amount; modify the budget section; modify the reporting section; add new activities; and correct mistake in mod. 1 040054827 10000000 1120 19th St NW Ste 600 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE GLOBAL RIGHTS 50000WASHINGTON 001District of Columbia 1120036252625C987200608A000600044 0001 0000050000 0000000000 00000050000200611022006110220070515052L2007100FORGN 90Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA INCREASE THE TOTAL OBLIGATED AMOUNT BY $ 50,000.00 FROM $ 250,000 TO $ 300,000 116375262 10000000 1200 18th St NW Ste 602 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036334125A987200608A000700015 0000 0000454205 0000000000 00000454205200703022006120120070531052L200721150000DISTRICT OF COLUMBIA Washington 20036000098Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA TO SUPPORT THE PROGRAM IN PROMOTING TECHNICAL SUPPORT TO POLITICAL PARTIES FOR 2007 PARLIAMENTARY ELECTION. 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036334125C987200608A000700015 0001 0000045750 0000000000 00000045750200706282007062820070715052L200731150000DISTRICT OF COLUMBIA Washington 20036000098Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA TO DO A COST EXTENTION TO ALLOW NDI TO CONTINUE TO EXECUTE ITS CAMPAIGN SOPPORT PROGRAM:1-THE COMPLETION DATE IS EXTENDED TO JULY 15,2007 2- OBLI 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036334125C987200608A000700015 0002 0000350000 0000000000 00000350000200707162007071620070930052L200741150000DISTRICT OF COLUMBIA Washington 20036000098Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA to do A COST EXTENTION TO ALLOW BDI TO EXECUTE ITS CAMPAINGN SUPPORT PROGRAM:1-CHANGE END DATE TO SEP 30,20072- THE TOTAL ESTIMATED AMOUNT IS INC 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036334125C987200608A000700015 0003 0000258000 0000000000 00000258000200708232007081320071130052L200741150000DISTRICT OF COLUMBIA Washington 20036000098Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA INCREASE TOTAL ESTIMATED AMOUNT AS WELL AS THE TOTAL OBLIGATED AMOUNT BY $ 258,0002- EXTEND THE COMPLETION DATE OF AGREEMENT TO NOVEMBER 30,20073 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE CONSORTIUM FOR ELECTIONS AND POLITICAL PROCES50000WASHINGTON 001District of Columbia 1120036334125C987200608A000700015 0004 0000100000 0000000000 00000100000200801162008011620080229052L2008200FORGN 90Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA ETENTION OF TERMINATION TO FEBRUARY 29TH, 2008 AND INCRAEASE THE TOTAL ESTIMATED AMOUNT OF AWARD BY $ 100,000.00 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE INTERNATIONAL REPUBLICAN INSTITUTE (IRI) 50000WASHINGTON 001District of Columbia 1120005596225A987200608A000700016 0000 0000500000 0000000000 00000500000200702132007021320070930052L200721150000DISTRICT OF COLUMBIA Washington 20005 98Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA GRANT FUNDS TO IRI TO ADVISE AND PROVIDE TECHNICAL SUPPORT TO POLITICAL PARTIES 126510312 10000000 1225 Eye St NW Ste 700 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE EVENSON DODGE INTERNATIONAL 43000MINNEAPOLIS 053Hennepin 2755439203225A907200608A000700059 0000 0000500000 0000000000 00000500000200706072007061020090531052L2007300FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MINNESOTA TO WORK WITH USAID RABAT TO DEVELOP LOCAL CAPITAL MARKETS AND INFLUENCE PRIVATE SECTOR INVESTMENT TO HAVE A BENEFICIAL IMPACT ON DEVELOPMENT. 166661582 10000000 7040 Cahill Rd Ste 100 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE EVENSON DODGE INTERNATIONAL 43000MINNEAPOLIS 053Hennepin 2755439203225C907200608A000700059 0001 0000300000 0000000000 00000300000200802212008022120090531052L2008200FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development MINNESOTA TO INCLUDED THIS CLAUSE: SECTION 116(e) OF FOREIGH ASSIATNCE ACT WHICH PROHIBITS THE USE OF US FEDERAL FUNDS FOR PROHIBITED PURPOSES 166661582 10000000 7040 Cahill Rd Ste 100 0 00000000000000000000000000000000
98.002 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036334125A987200608A000800044 0000 0001750000 0000000000 00001750000200804282008041720081231052 1150000DISTRICT OF COLUMBIA Washington 20036 98Cooperative Development Program (CDP) USAID - United States Agency for International Development DISTRICT OF COLUMBIA Increase the capacity of political parties to develop more democratic internal operations and promote broader reforms to enhance citizens participa110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.004 SAI NOT AVAILABLE UNITED NATIONS DEVELOPMENT FUND FOR WOMEN (UN51000NEW YORK 061New York 3610017 25C907200608G000400054 0005 0000734348 0000000000 00000734348200708022007100520071231042L200743651000NEW YORK New York 10017 90Non-Governmental Organization Strengthening (NGO) USAID - United States Agency for International Development NEW YORK EXTEND COMPLETION DATE TO ALLOW UNIFEM TO:1- ORGANIZE A JOB FAIR2-CARRY OUT A QUALITATIVE STUDY ON EMPLOYEMENT OF THE PROJECT BENEFICIARIES 3-P 807299292 08000000 304 E 45th St 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE ACADEMY FOR EDUCATIONAL DEVELOPMENT (AED) 50000WASHINGTON 001District of Columbia 1120009572125A987200611A000800005 0000 0001125000 0000000000 00001125000200805192008051920120930052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA To negotiate a CooperativeAgreement under the Capable Partners Program Leader with Associates Agreement # HFP-A-00-03-00020-00 issued to the Academy 071031280 10000000 1825 Conn Ave NW Ste 800 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036330625B987200620A000300245 0008 0001420720 0000000000 00001420720200712062007120620080925052L2008100FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Incremental funding Modification to fully fund the Agreement and revise Agreement Total Estimated Amount and Program Description. 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE FUTURES GROUP INTERNATIONAL, INC. 50000WASHINGTON 001District of Columbia 1120005100025B987200620A000400126 0010 0000490000 0000000000 00000490000200803302008043020090616052L2008200FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Incremental Funding of $490,000.00 for PEPFAR activity. 848847398 10000000 1 Thomas Cir NW 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE NATIONAL DEMOCRATIC INSTITUTE FOR INTERNATION50000WASHINGTON 001District of Columbia 1120036330625C987200620A000600022 0005 0000000000 0000000000 00000000000200805132008051320081231052 00FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Agreement Budget Realignment Modification. 110309622 08000000 2030 M St NW Lbby 5 0 00000000000000000000000000000000
98.001 SAI NOT AVAILABLE GLOBAL RIGHTS 50000WASHINGTON 001District of Columbia 1120036200325A987200623A000800019 0000 0000500000 0000000000 00000500000200803142008040120100331052L2008200FORGN 90USAID Foreign Assistance for Programs Overseas USAID - United States Agency for International Development DISTRICT OF COLUMBIA Follow-on cooperative agreement: Increasing access toequitable justice and ending sexual violence in DRC. 116375262 10000000 1200 18th St NW Ste 602 0 00000000000000000000000000000000
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| en |
markdown | 783076 | # Presentation: 783076
## PARGLUVA® (Muraglitazar) Bristol-Myers Squibb and Merck & Co., Inc. New Drug Application 21-865
**Clinical Safety**
**Julie Golden, M.D.**
**Medical Officer**
**Division of Metabolic and Endocrine Drug Products**
**September 9, 2005**
**Silver Spring, MD**
**Center for Drug Evaluation and Research**** **
## Outline
**Background**
**Subject Disposition**
**Safety Issues**
**Concerns/Points to Consider**
**Questions for Discussion**
## Regulatory Issues
**First PPAR-****γ**** (troglitazone) removed from the market in 2000 due to cases of idiosyncratic liver failure**
**PPARs and carcinogenicity: all clinical studies > 6 mo currently on clinical hold unless preclinical carcinogenicity studies submitted to the Agency**
## Background
**Safety profile of muraglitazar is generally consistent with PPAR-****γ**** and PPAR-****α**** pharmacology**
**Potential concerns with PPAR compounds**
**PPAR-****γ****: edema, weight gain, congestive heart failure, anemia, neutropenia**
**PPAR-****α****: myopathy, cholelithiasis**
## Clinical Safety Database
**22 Clinical Pharmacology Studies**
**6 Phase 2b and 3 Studies**
**5 Type 2 Diabetes Studies**
**2 Monotherapy**
**3 Combination Therapy**
**1 Mixed Dyslipidemia Study**
## Clinical Safety Database
**3226 subjects received at least one dose of muraglitazar in the Phase 2/3 studies**
**Type 2 diabetes: 2969**
**Monotherapy: 1560**
**Combination therapy: 1409**
**~ 2000 subjects received muraglitazar for at least 24 weeks**
**~ 700 subjects received muraglitazar for at least 104 weeks**
## Type 2 Diabetes Studies, Treatment Groups
## Pooling
**Muraglitazar ****≤ 5 mg: **
**CV168006: Mur 0.5 mg, 1.5 mg, 5 mg (titration possible)**
**Phase 3 Studies: Mur 2.5 and 5 mg**
**Pioglitazone ****≤**** 45 mg:**
**CV168006: Pio 15 mg (titration to 45 mg possible)**
**CV168025: Pio 30 mg**
## Pooling
**Monotherapy: CV168006 and CV168018**
**Combination therapy**
**CV168021: + glyburide**
**CV168022 and CV168025: + metformin**
## Subject Disposition 24 Weeks
** **
| | Mur ≤ 5 mg | Mur 10 & 20 mg | Pio ≤ 45 mg | Placebo |
| --- | --- | --- | --- | --- |
| Total Randomized | 2374 | 486 | 823 | 528 |
| Completed Trial | 1937 (82%) | 366 (75%) | 639 (78%) | 363 (69%) |
| Withdrew – Adverse Event | 78 (3%) | 52 (11%) | 20 (2%) | 11 (2%) |
| Withdrew – Lack of Efficacy | 181 (8%) | 27 (6%) | 94 (11%) | 106 (20%) |
## AEs Leading to Discontinuation, Type 2 Diabetes Studies 24 Weeks
## Safety Issues
**Deaths**
**Edema Events**
**Heart Failure Events**
**Weight Gain**
**Cardiovascular Events**
## Deaths
## Deaths, Type 2 Diabetes Studies All Data
## Cardiovascular Deaths
**52 yo male (****Mur 2.5 + Met****): myocardial infarction**
**54 yo male (****Mur 5 + Met****): myocardial infarction***
**67 yo male (****Mur 5 + Met****): sudden death**
**53 yo male (****Mur 5 + Met****): stroke**
**56 yo female (****Mur 5 + Gly****): myocardial infarction**
**66 yo female (****Mur 5 + Met****): sudden death***
**61 yo male (****Mur 5 + Met****): “found dead”**
**60 yo female (****Mur 5 + Met****): stroke**
**59 yo male (****Mur 20****): myocardial infarction***
**62 yo male (****Placebo + Gly****): pulmonary embolism**
## Subject CV168022-153-2 Muraglitazar 5 mg + metformin
**54 year-old white male with 6-year history of type 2 diabetes, obesity, hypertension, coronary artery disease, and coronary thrombosis**
**Day 115: CHF symptoms **
**1 day hospitalization, single dose of furosemide 40 mg I.V.**
**Day 117: normal chest x-ray**
**Day 118: **
**body weight increase of 10 lbs. from Day 90**
**elevated NT-proBNP (1236 pg/mL; screening 548 pg/mL)**
**physical exam and outpatient cardiac exam refused**
**Day 125: found dead in home**
**death certificate: myocardial infarction and occult coronary artery disease**
## Subject CV168025-193-9 Muraglitazar 5 mg + metformin
**66 year-old white female with 4-year history of type 2 diabetes, CHF, hypertension, peripheral vascular disease, transient ischemic attack, bilateral lower extremity fluid retention, atrial flutter, mitral insufficiency, obesity, and tobacco use **
**Day 201: dyspnea; reported as CHF**
**Day 202: sudden death**
**autopsy not performed; cause of death reported as myocardial infarction**
## Subject CV168006-11-8 Muraglitazar 20 mg
**59 year old white male with 2-year history of type 2 diabetes, previous tobacco use, hypertension, iron overload with fatty liver, and psoriasis **
**Day 43: bilateral pitting edema in ankles**
**Day 49: admitted with myocardial infarction and CHF**
**increasing exertional dyspnea for the previous month**
**markedly elevated cardiac enzyme levels **
**clinical deterioration; intubation**
**Day 50: **
**cardiac catheterization: 99% left main arterial distal stenosis**
**echocardiogram: moderately dilated left ventricle with severe global hypokinesis; ejection fraction 15 - 20%**
**Day 60: life support withdrawn; patient died**
## Cancer Deaths
**69 yo male (****Mur 1.5****): lung cancer**
**69 yo female (****Mur 1.5****): acute myeloid leukemia**
**49 yo male (****Mur 2.5 + Met****): hepatocellular carcinoma**
**56 yo female (****Mur 5 + Met****): breast cancer**
**70 yo female (****Mur 5****): lung cancer**
**63 yo female (****Mur 5 + Met****): lung cancer**
**50 yo female (****Mur 5 + Met****): pancreatic cancer**
**66 yo male (****Pio 15****): throat cancer**
## Deaths
| Study CV168025 | | |
| --- | --- | --- |
| | Muraglitazar 5 mg + Metformin | Pioglitazone 30 mg + Metformin |
| N | 587 | 572 |
| Total Deaths | 6 (1.02%) | 1 (0.17%) |
| Cardiovascular Deaths | 5 (0.85%) | 0 (0.0%) |
**5 cardiovascular deaths from 3 sites (out of 234):**
**Site 193 = Netherlands, 2 deaths, 8 randomized subjects**
**Site 241 = Russia, 2 deaths, 38 randomized subjects**
**Site 314 = Finland, 1 death, 2 randomized subjects**
## Edema
## Edema-Related Predefined Preferred Terms
**Fluid retention/overload**
**Generalized edema**
**Peripheral edema**
**Swelling**
**Hypervolemia**
## Edema Adverse Events, CV168006 24 Weeks
## Edema Adverse Events Phase 3 Studies 24 Weeks
## Edema Adverse Events Phase 3 Studies 24 Weeks
## Congestive Heart Failure
## CHF Adverse Events, CV168006 24 Weeks
## CHF Adverse Events Phase 3 Studies 24 Weeks
## Congestive Heart Failure: Monotherapy vs. Combination Therapy Type 2 Diabetes Studies 24 Weeks
## CHF Adjudication Committee: Predefined Preferred Terms
**Cardiac failure**
**Pulmonary edema**
**Ventricular failure**
**Dyspnea**
**Edema (moderate or greater intensity)**
## CHF Adjudication Committee Results Phase 3 Studies 24 Weeks
## Weight Gain
## Weight Change: Type 2 Diabetes, 24 Weeks
## Cardiovascular Events
## Cardiovascular Adverse Events: Predefined Preferred Terms
**Myocardial infarction**
**Coronary revascularization**
**Coronary artery disease**
**Angina/myocardial ischemia**
**Cardiac death**
**Stroke**
**Transient ischemic attack**
*** NOT congestive heart failure**
## Cardiovascular Adverse Events Type 2 Diabetes Studies 24 Weeks
## Cardiovascular Events: Monotherapy vs. Combination Therapy Type 2 Diabetes Studies, 24 Weeks
## Cardiovascular Events: Phase 3 Combination Studies 24 Weeks
## Cardiovascular Events: Study CV168021 24 Weeks
**Muraglitazar 2.5 mg:**
**64 yo M: Non-Q wave MI, day 85**
**52 yo F: TIA, day 31**
**64 yo M: Unstable angina, day 11**
**59 yo F: Stroke, day 9**
**Muraglitazar 5 mg:**
**68 yo M: MI, day 1 (prior to first dose)**
**54 yo F: Stroke, d26; Brain tumor, day 43**
**62 yo M: Coronary artery disease, day 111**
**70 yo M: Angina, days 17, 37, 56, and 66**
**52 yo F: TIA, day 78**
**46 yo M: Myocardial ischemia, day 85**
**60 yo M: Stroke, day 139**
## Inclusion/Exclusion Criteria Baseline Characteristics
## Inclusion/Exclusion Criteria
**No history of MI, coronary angioplasty or bypass graft(s), valvular disease or repair, unstable angina pectoris, TIA or cerebrovascular accidents within 6 months prior to entry into the study**
**Monotherapy: No antihyperglycemic therapy more than 3 consecutive or a total of 7 non-consecutive days 4-6 weeks prior to Screening**
**Combination Therapy: Receiving treatment with sulfonylurea (CV168021) or metformin (CV168022, CV168025) for at least 6 weeks prior to Screening**
## Baseline Characteristics
| | Monotherapy | | Combination Therapy | |
| --- | --- | --- | --- | --- |
| Characteristic | Any Mura | Non-Mur | Any Mur | Non-Mur |
| Age: ≥ 65 years | 13.9% | 10.4% | 16.1% | 14.3% |
| Gender: Male | 56.4% | 54.1% | 51.4% | 50.8% |
| Mean BMI (kg/m2) | 31.1 | 31.6 | 31.3 | 31.7 |
| Diabetes: ≥ 5 years | 23.8% | 21.9% | 52.7% | 48.0% |
| Mean HbA1c (%) | 8.17 | 8.24 | 8.07 | 8.12 |
| Use of Statins | 20.1% | 17.5% | 24.3% | 24.2% |
| Use of Diuretics | 18.3% | 16.4% | 19.9% | 20.7% |
| Metabolic Syndrome | 67.1% | 65.6% | 66.8% | 67.9% |
**a Includes all doses of muraglitazar except OL**
## Baseline Coronary Artery Disease Phase 3 Studies
| | Mur 2.5 mg | Mur 5 mg | Pio 30 mg | Placebo |
| --- | --- | --- | --- | --- |
| CV168018 Monotherapy | 8/111 (7.2%) | 2/114 (1.8%) | - | 2/115 (1.7%) |
| CV168021
+ glyburide | 13/191 (6.8%) | 7/193 (3.6%) | - | 8/199 (4.0%) |
| CV168022
+ metformin | 11/233 (4.7%) | 10/205 (4.9%) | - | 11/214 (5.1%) |
| CV168025
+ metformin | - | 77/587 (13.1%) | 78/572 (13.6%) | - |
## Concerns/Points to Consider
## Deaths
**Most deaths in the muraglitazar-treatment group were due to cardiovascular events and cancer**
**Congestive heart failure may have contributed to the cardiac event leading to death in 3 subjects on muraglitazar**
**No clear pattern has emerged**
## Deaths
**Most cardiovascular deaths were from one study**
**CV168025: metformin add-on, active control**
**5 cardiovascular deaths from 3 study sites**
## Cardiovascular Events
**Diverse events with no clear pattern**
**Increased incidence in combination studies**
**Imbalance driven by one study **
**CV168021: glyburide add-on, placebo-controlled study**
## Cardiovascular Events
**When combination studies pooled, events were not dose-related**
**Inconsistent rate of events in placebo groups from combination studies**
**Low number of events, particularly in comparator groups, make incidence rates unstable**
## Questions for Discussion
**Is it likely that the excess of cardiovascular deaths and events in the muraglitazar group are related to the dose-related fluid retention?**
**If not, is there a plausible pharmacological explanation?**
**Are subjects on combination therapy (i.e., longer history of diabetes) or with a relevant medical history more vulnerable to the adverse effects of muraglitazar? **
**Cardiovascular events**
**Fluid-related events**
## Acknowledgements
**Medical Review Team**
**Robert Misbin, M.D.**
**Eric Colman, M.D.**
**David Orloff, M.D.**
**Statistical Review Team**
**Lee Ping Pian, Ph.D.**
**J. Todd Sahlroot, Ph.D.**
**Project Management**
**Jena Weber**
**Pharmacology/Toxicology Review Team**
**John Colerangle, Ph.D.**
**Jeri El Hage, Ph.D.**
**Biopharmaceutics Review Team**
**Jaya Vaidyanathan, Ph.D.**
**Hae Young Ahn, Ph.D.** | en |
markdown | 867489 | # Presentation: 867489
## Microscopic interpretation of the excited K = 0+, 2+ bands of deformed nuclei
- Microscopic interpretation of the excited K = 0+, 2+ bands of deformed nuclei
*Gabriela Popa*
*Rochester Institute of Technology*
*Collaborators:*
- J. P. Draayer
*Louisiana State University*
- J. G. Hirsch
*UNAM, Mexico*
- Georgieva
*Bulgarian Academy of Science*
## Outline
- Introduction
- What we know about the nucleus
- Characteristic energy spectraTheoretical Model
- Configuration space
- System HamiltonianResults Conclusion and future work
## Chart of the nuclei
- N (number of neutrons)
- Z (protons)
## Nuclear vibrations
- -vibration
- 3
- 1
- 2
- 3
- -vibration
- 1
- 2
## Schematic level schemes of spherical and deformed nuclei
**0, 2, 4**
**0**
**0**
**2**
**4**
**6**
**8**
**6**
**8**
**2**
**0**
**2**
**4**
**6**
**2**
**3**
**4**
**5**
**6**
- spherical
- deformed
- E = n
- E = I(I+1)/(2**)
## Experimental energy levels
## Experimental energy spectra of 162Dy
## Single particle energy levels
- 1s
- 1p
- 2s
- 1g
- N = 3
- N = 2
- N = 1
- N = 0
- N = 4
- 1d
- l·l
- l·s
- d5/2
- d3/2
- s1/2
- 1f
- 2p
- 3s
- 2d
- 1h
- N = 5
- s1/2
- p1/2
- p3/2
- f7/2
- f5/2
- p5/2
- f9/2
- p1/2
- d3/2
- d5/2
- h11/2
- s1/2
- g7/2
## Particle distribution
**Valence space: U(************) ******** ****U(************)**
** ****total**** **** **** ****normal **** ****unique **
************** ****=32**** **** ********n******** =20**** ********u********=12**
************** ****=44**** **** ********n******** =30**** ********u************=14**
**Particle distributions: **** ******
** ****protons:**** **** ****neutrons: ********total******
** ****152****Nd ****10 6 4 **** 10**** **** 6 4**** ****(12,0)**** ****(18,0****) (30, 0)**
******156****Sm ****12 6 6**** ****12 6 6**** ****(12,0)**** ****(18,0****) (30, 0)******
** ****160****Gd ****14 8 6**** ****14 8 6**** ****(10,4)**** ****(18,4****) (28, 4)******
** ****164****Dy ****16 10 6**** ****16 10 6**** ****(10,4)**** ****(20,4****) (30, 4)******
** ****168****Er ****18 10 8**** ****18 10 8**** ****(10,4)**** ****(20,4****) (30, 4)******
** ****172****Yb ****20 12 8**** ****20 12 8**** ****(36,0)**** ****(12,0****) (24, 0)******
** ****176****Hf ****22 14 8**** ****22 14 8**** ****(8,30)**** ****(0,12****) (8, 18)******
****
**Particle distribution**
## Wave Function
**Wave Function**
- | = Ci | i
- |i = |{; } (,)KL S; JM
- ( = , ) = n [f ] ( , ), S
- ( , ) ( , ) = (, )
## Direct Product Coupling
**Coupling ****proton ****and ****neutron**** **
**irreps to total (coupled) SU(3):**
****************************************************
- **************+********************************+**************
- **************+******************-************** +******************+
- **************+************************************+******************-
- **************+******************-******************+******************-
-
******m,l ****************+**************-2m+l**************+************+**m-2l)k
**with the multiplicity denoted by k = k(m,l)**
**Direct Product Coupling**
## 21st SU(3) irreps corresponding to the highest C2 values were used in 160Gd
- (,)(,)
- (,)
**21****st**** SU(3) irreps corresponding to the highest****C****2**** values were used in ****160****Gd**
## Tricks
**Invariants ******** ****Invariants**
**Rot(3) SU(3)**
**Tr(Q****2****) ******** C****2 **
**Tr(Q****3****) ******** C****3 **
** ****************~****************+ ********+ ********+ ********+ ******
******=********tan************+ ******
## System Hamiltonian
**SU(3) conserving Hamiltonian:**
**H = ******** Q******•******Q + ****a**** ****L****2**** + ****b**** K****J****2**** + ****a****sym ****C****2**** + ****a****3**** ****C****3**
**this Hamiltonian becomes ...**
**+ one-body and two-body terms**
**+ H****s.p.****************H****s.p.************************G******** H****P****************G******** H****P**********
**Rewriting**
** **
**H = H****sp********+********H****sp************+********G******** H****P********+********G******** H****P************+********Q**•**Q******
** ****+ ****a**** ****L****2**** + ****b**** K****J****2**** + ****a****sym**** ****C****2**** + ****a****3 ****C****3**
** **
- .
**System Hamiltonian**
## Parameters of the Pseudo-SU(3) Hamiltonian
- Fit to experiment(fine tuning): a, b, asym and a3
********** ****= 0.0637 ************ **** = 0.60**
********** ****= 0.0637 ************= 0.60**
- From systematics:
- = 35/A 5/3 MeV
- G****= 21/A MeV
- G****= 19/A MeV
- h = 41/A 1/3 MeV
## Energy spectrum for 160Gd
- 0
- 0.5
- 1
- 1.5
- 2
- 2.5
**K**
****
****
**0**
**+**
**K**
****
****
**+**
**K**
****
****
**0**
**2**
**+**
**160**
**Gd**
- 0
- +
- 6
- +
- 0
- +
- 2
- +
- 2
- +
- 2
- +
- 4
- +
- 4
- +
- 8
- +
- 6
- +
- 3
- +
- 8
- +
- 7
- +
- 6
- +
- 4
- +
- 5
- +
- 8
- +
- Exp. Th.
- Exp. Th.
- Exp. Th.
- Energy spectrum for 160Gd
## Direct Product Coupling
**Coupling ****proton ****and ****neutron**** **
**irreps to total (coupled) SU(3):**
****************************************************
******************+********************************+******************
******************+********************-**************** +********************+******
******************+************************************+********************-******
******************+********************-********************+********************-**********
****
******m,l ****************+****************-2m+l********************+************+m-2l)****k**
**Twist**
**Scissors**
**Scissors + Twist**
**... ****Orientation of the ********-******** system is quantized **
** ****with the multiplicity denoted by k = k(m,l)**
**Direct Product Coupling**
## M1 Transition Strengths [ 2N] in the Pure Symmetry Limit of the Pseudo SU(3) Model
- () () ()
- ()1+
**M1 Transition Strengths [**** ********2****N****]****in the Pure Symmetry Limit of the ****Pseudo SU(3) Model**
## Energy levels of 164Dy
- 164
- Dy
- e)
- K = 2
- K = 0
- K = 0
- 2
- +
- 4
- +
- 6
- +
- 0
- +
- 2
- +
- 4
- +
- 6
- +
- 0
- +
- 2
- +
- 4
- +
- 6
- +
- 0
- +
- 2
- +
- 4
- +
- 0
- +
- 2
- +
- 4
- +
- 0
- +
- 2
- +
- 4
- +
- 6
- +
- 0
- +
- 2
- +
- 4
- +
- 6
- +
- 3
- +
- 5
- +
- 2
- +
- 4
- +
- 6
- +
- 3
- +
- 5
- +
- g.s.
- c)
- Energy [MeV]
- Exp. Th. Exp. Th. Exp. Th. Exp. Th.
**Energy levels of ****164****Dy**
**... ****and M1 Strengths**
## Energy Levels of 168Er
- 168
- Er
- K = 0
- K = 0
- K = 2
- 0
- +
- 2
- +
- 8
- +
- 6
- +
- 4
- +
- 0
- +
- 2
- +
- 8
- +
- 6
- +
- 4
- +
- 0
- +
- 2
- +
- 8
- +
- 6
- +
- 4
- +
- 0
- +
- 2
- +
- 4
- +
- 2
- +
- 8
- +
- 6
- +
- 4
- +
- 7
- +
- 3
- +
- 5
- +
- 2
- +
- 8
- +
- 6
- +
- 4
- +
- 7
- +
- 3
- +
- 5
- +
- 0
- +
- 2
- +
- 6
- +
- 6
- +
- 4
- +
- 0
- +
- 2
- +
- 6
- +
- 4
- +
- g.s.
- Energy [MeV]
- Exp. Th.
- Exp. Th.
- Exp. Th.
- Exp. Th.
- a)
**Energy Levels of ****168****Er**
**... ****and M1 Strengths**
## Total B(M1) strength (N2)
- B(M1)[******N****2**]
**Total B(M1) strength (********N****2****)**
## First excited K=0+ and K=2+ states
## Slide 23
## Slide 24
## Slide 25
## Slide 26
## SU(3) content in 172Yb
- 0
- 20
- 40
- 60
- 80
- 100
- 0
- 20
- 40
- 60
- 80
- 100
- 0
- gs
- 2
- 0
- 2
- 0
- gs
- 2
- 0
- 2
- a = (36,0)(12,0)x(24,0)
- b = (28,10)(12,0)x(16,10)
- c = (20,20)(4,10)x(16,10)
**SU(3) content in**** 172****Yb**
## Conclusions
- B(E2) transitions within the g.s. band well
- reproduced
- ground state, , first and second excited K = 0+ bands well described by a few representations
- calculated results in good agreement with the low-energy spectra
- 1+ energies fall in the correct energy range
- fragmentation in the B(M1) transition probabilities correctly predicted
## Conclusions
- A proper description of collective properties of the first excited K = 0+*** ***and*** ***K=2+*** **** *states must take into account the mixing of different SU(3)-irreps, which is driven by the Hamiltonian.
- A microscopic interpretation of the relative position of the collective band, as well as that of the levels within the band, follows from an evaluation of the primary SU(3) content of the collective states. The latter are closely linked to nuclear deformation.
- If the leading configuration is triaxial (nonzero ), the ground and bands belong to the same SU(3) irrep;
- if the leading SU(3) configuration is axial (=0), the K =0 and bands come from the same SU(3) irrep.
## Future work
- In some nuclei total strength of the M1 distribution
- is larger than the experimental value
- Investigate the energy spectra in super-heavy nuclei
- Investigate the M1 transitions in light nuclei
- There are new experiments that determine the inter-band B(E2) transitions
- Improve the model to calculate these transitions
- Consider the abnormal parity levels
- Consider the states with J = 1 in the configuration space
## Thank you!
| en |
markdown | 138317 | # Presentation: 138317
## NDA 21-242 Rectal Artesunate
- Integrated Safety
- Rosemary Johann-Liang, M.D.
- Division of Special Pathogen and Immunological Drug Products
- FDA AIDAC 7/10/02
**Notes:**
Good Morning:
My task is to present the FDA’s integrated Safety assessment of NDA 21-242 Rectal Artesunate.
## Proposed Indication
** “****Single 10 mg/kg dose of artesunate rectal capsules in the initial management of acute malaria in patients who cannot take medication by mouth and for whom parenteral treatment is not available”**
- FDA AIDAC 7/10/02
**Notes:**
Once again. The proposed indication is ....
## Implications of the Indication
**In the “field”**
**Empiric Therapy (other severe febrile illnesses included)**
**Severe disease (unable to take PO)**
**Mainly very young children**
- FDA AIDAC 7/10/02
**Notes:**
As we go through this talk, please keep in mind the implications of the indication that is being proposed.
These are
Use in the field
Use as empiric therapy (patients with other severe febrile illnesses, such as meningitis, pneumonia, bacteremia) will be exposed:
Use in patients with severe disease (at least unable to take PO)
Use mainly in very young children.
## SAFETY SUBMISSIONS
**WHO-Sponsored Studies **
**Safety Review of published and unpublished safety information on studies of Artemisinin Derivatives**** **
**Summary of the data presented to the Chinese Authorities in 1989**
**Neurotoxicity ****(WHO-sponsored consultation)**
- FDA AIDAC 7/10/02
**Notes:**
Three sets of information relevant to the safety evaluation of rectal artesunate was submitted to this NDA by the applicant.
They are
1) WHO-sponsored Studies consistimg of 13 study data and reports
2) A Review of all available safety information on published and unpublished studies of Artemisinin Derivatives
3) Summary of the data on artesunate injection presented to the Chinese regulatory authorities in 1989. This summary submission was reviewed for sake of completeness but will not be included in this talk.
I will be presenting the overview of these two submissions at this time, highlighting points that relate to the implications of the proposed indication.
I would also like to spend several minutes on the important safety issue of neurotoxicity . The NDA included a WHO-sponsored expert consultation report on the pre-clinical experience of neurotoxicity.
## WHO-sponsored Studies
- FDA AIDAC 7/10/02
**Notes:**
Let’s start with the overview of the WHO-sponsored studies
## WHO-sponsored Studies
- FDA AIDAC 7/10/02
**Notes:**
The WHO-sponsored studies consist of a total of 501 patients receiving rectal artesunate across 13 studies, 435 of them with malaria disease and 319 of the 435 in clinical studies. These patients were all hospitalized patients from medical units in Malaysia, Thailand, Ghana, Malawi, South Africa, Kenya, and a few from Brazil.
I have broken out for you here the types of studies and the #s of patients according to disease state populating these studies.
Included in this NDA were data and reports from 2 Bioavailability studies, 2 bioequivalency studies, 6 clinical studies (3 pediatric and 3 adult) of which studies 5, 6, and 7 were the 3 “pivotal” studies that have been discussed in the efficacy presentations, and 3 already published studies which were re-analyzed by the WHO from the raw data. There were 66 healthy volunteers, 344 patients with moderately severe malaria, and 91 patients with severe malaria.
There were 166 children included in this safety database. Note that all had moderately severe disease and only 8 of these children were less than 2 years of age. For the adult patients with severe disease, only 5 were from clinical studies, the rest coming from re-analyzed already published studies.
## WHO-sponsored Studies: Clinical
- FDA AIDAC 7/10/02
**Notes:**
This Table accounts for all the patients enrolled into the SIX WHO-sponsored clinical studies separated out by numbers in the adult and pediatric population.
All six clinical studies were open-labeled. This table illustrates the lack of comparative controlled data in this application
For adults, there were 153 patients who received rectal artesunate, 148 with moderately severe disease and only 5 with severe disease. Comparative statements are not possible because there were only 14 patients in the comparator group, all categorized as severe disease and all received IV quinine.
A comparative look at the pediatric data may be possible with 166 patients all categorized as moderately severe disease in the rectal artesunate group versus 39 patients all with moderately severe disease in the comparator group where 17 children received PO artesunate and 22 children received IV quinine.
## WHO-sponsored Studies: AE
- FDA AIDAC 7/10/02
**Notes:**
So looking at the comparative adverse event counts in the pediatric population,
the overall AE was 20% for the children receiving rectal artesunate versus 26% for the comparator group.
Looking at the most common AE by systems,
Gastrointestinal complaints of nausea, vomiting, and absominal pain were the most frequent reports for both groups.
CNS adverse events were the next most common with reports of headaches, impaired consciousness, and convulsions in 6% of rectal artesunate patients and 5% of the comparators. Nnone of the impaired consciousness or convulsion events were attributed as treatment-related.
Due to the non-comparative nature of this application plus the fact that patients received subsequent other antimalarials shortly after the rectal artesunate, and the difficulty in sorting out what adverse experience is drug-effect versus disease effect, definitive conclusions are very hard to make about adverse events in this safety dataset.
## WHO-sponsored studies: Deaths
- FDA AIDAC 7/10/02
**Notes:**
Moving onto deaths on study, in total, there were 7 deaths across the 13 studies.
There was the 1 pediatric death from study 5 that the applicant discussed and Dr. Sacks pointed out. This was a 3 yearold boy who received a rectal artesunate dose of 11.5 mg/kg whose probable cause of death was concluded by the site investigators and the WHO as “iatrogenic water intoxication”. While in agreement with this conclusion as a plausible etiology, I want to point out that this little boy’s DHA serum levels at 2 hrsand 4 hrs post dose (noting that the 4 hrs time point is just beofre death) were quite high. The numbers here in parenthesis are reference mean with SD values from similar age children from Ghana. What contibution, if any, did the high DHA levels make in the demnise of this child? I don’t think we have that answer. The 3 adult deaths in clinical studies all were in patients with severe malaria. One death was in the AS arm and 2 in IV quinine arm. We would agree with the WHO assessment that these deaths were due to the underlying malarial disease.
The 3 remaining deaths from the re-analysis study 10 had cleared their parasitemia at the time of death. The etiology of these deaths are unclear.
## WHO-sponsored Studies: Labs
- Laboratory monitoring was limited. Only one clinical study had comprehensive labs recorded (CBC, Chem, LFTs)
- _HCT_ ( n= 250) Overall, transient decrease at 12-24 hours with rise to baseline by day 7, to normal by day 28
- _SGOT / SGPT_ (n= 48) Only monitored in 1 study. 3 patients with rise over 3X UL after normal baseline, peaking day 7-14, falling by day 21
- _ECG_ (n=48) Only monitored in 1 study. No significant abnormalities noted
- FDA AIDAC 7/10/02
**Notes:**
Laboratory monitoring was very limited in the WHO-sponsored studies. Only one clinical study (study number 3) had comprehensive labs recoreded including CBC, Chemistry and Liver function tests.
In the 250 patients with malaria who had hematocrit moniotred, there was an overall transient decrease at 12-24 hours post dose with rise to baseline by day 7 and normalization by day 28. Again, it is not possible to distinguish drug side effect from drug efficacy effect
Of the 48 patients monitored for LFT changes in study 3, there were 3 patients whose transaminase levels rose to 3 times upper limit of normal after starting with normal baselines levels, peaking at day 7-14. It is possible that this lab abnormality may be drug effect.
Again only 1 study, study #3, had ECG monitoring. No significant abnormalities were noted.
## WHO-sponsored studies : Dose
- PK and clinical studies: one rectal dose majority receiving 10 mg/kg (6.8 to 22.2 mg/kg)
- Re-analysis studies: repeated rectal dosing over 3-4 days with mean doses between 25-32 mg/kg total dose (11.3 to 45.7 mg/kg)
- Maximum dose exposure for Adults
- 45.7 mg/kg total dose given over 4 days in 8 divided doses
- Maximum dose exposure for Children
- 21.4 mg/kg with the longest duration of exposure of 7 days (rectal dose x 1 followed by oral dosing: study 5)
- FDA AIDAC 7/10/02
**Notes:**
The majority of patients in PK and clinical studies received one rectal artesunate dose of 10 mg/kg with a range of 6.8 to 22.2 mg/kg.
In the 3 re-analysis studies, repeated rectal dosing over 3-4 days were given with highest dose up to 45.7 mg/kg
For adults, the maximum dose exposure then was 45.7 mg/kg total dose given over 4 days in 8 divided doses
For children, the maximum dose exposure was 21.4 mg/kg total over 7 days (This was in study 5 where 1 rectal dose was followed by oral artesunate)
## WHO-sponsored Studies: Special Populations
- < 2 years: only 8 of 166 children
- > 50 years: only 6 of 153 adults with malaria
- Renal & Hepatic impairment: not specifically studied
- Pregnant: not included in studies
- _preclinical_: consistent findings of impaired fetal survival; no evidence of teratogenicity
- _clinical from literature_: no evidence of fetal injury or impairment of maternal health
- FDA AIDAC 7/10/02
**Notes:**
Some specifics to point out about special populations in this set of safety data.
Only 8 of 166 children were < 2 years of age
Only 6 of the 269 adults with malaria were older than 50 years of age.
Neither renal nor hepatic insufficient patients were specifically studied.
Pregnant patients were also not included in these studies. The overall impression from preclinical evidence (although pk data is yet lacking) is consistnet findings of impaired fetal survival but no evidence of teratogenicity following first semester exposure to artemisinins in animal studies. From clinical studies in the literature, there is no evidence of fetal injury or impairment of maternal health over and above the effects on reproductive heatlth or malaria itself.
## WHO-sponsored Studies: Safety Summary
- Very small safety database, all open-labeled
- Studies mainly non-comparative
- Safety assessment not available for special populations, in particular very young children
- Dose exposure: mainly 1 rectal dose at 10 mg/kg
- Overall, no unusual or serious pattern of adverse events; but minimal numbers for comparison
- Overall, no unusual or serious laboratory abnormalities; but monitoring was sparse
- Deaths on study few but not all with clear etiology
- FDA AIDAC 7/10/02
**Notes:**
So then,in summary,
this was a Very small safety database
Studies were all open-labeled with multiple drugs and mainly non-comparative. It is hard to differentiate safety issues between disease and drug effect. Comparative statements about safety cannot be made.
Furthermore, Safety assessment was not available for special populations, in particular, the very young children
Dose exposure: mainly 1 rectal dose at 10 mg/kg
Overall, no unusual or serious pattern of adverse events were found; but again minimal numbers were available, especially for comparative assessments.
Overall, no unusual or serious laboratory abnormalitieswee noted; but again monitoring was sparse.
There were few deaths on study but not all had clear etiology.
## Safety Review of Published and Unpublished Clinical Studies on Artemisinin Derivatives
- FDA AIDAC 7/10/02
**Notes:**
Let’s turn our attention now to a different safety submission.
I would like to present an overview of the applicant;s submission: Safety Review of Published and Unpublished Clinical Studies on Artemisinin Derivatives, once again highlighting as I go along some issues that particularly relates to the implications of the proposed indication.
Please also note that this safety submission did not contain any raw data for the FDA to review. This was really a summary report by the applicant of the clinical experience to date with this class of compounds.
## WHO- Safety Review: Types of Clinical Studies
- FDA AIDAC 7/10/02
**Notes:**
151 published and 18 unpublished studies were reviewed by WHO consultants in order to systematically examine theavailable clinical safety information regarding artemisinin derivatives. Of these studies, 130 studies resulting in 13, 639 patients had some safety information.
The applicant broke out the numbers by the types of trials as shown here at the bottom of the schema. This results in an impressive numbers of patients collected form comparative randomized trials.
With the implications of the proposed indication in mind however, I want to draw your attention to the fact that when these same patients are re-categorized by the level of disease severity in graphic format, we get the following picture.
## WHO-Safety Review: Disease Population
*** ******Artesunate***_** **_
** ****N = 6158**
***Artemisinins***
**N = 13,520**
- FDA AIDAC 7/10/02
**Notes:**
On the left side is a pie figure showing artemisinin derivatives taken together (around 13, 000 patients). The majority of patients included in the safety review were patients with uncomplicated malaria. Only 16% of the whole pie makes up patients with moderate and severe malaria.
Similar picture applies even when just the patients treated with artesunate around 6000 are pieced out.
The number of patients with moderate and severe malaria is again much smaller (7%) than the number of uncomplicated malaria patients.
## WHO-Safety Review: Adverse Events
- FDA AIDAC 7/10/02
**Notes:**
The applicant makes several conclusions regarding adverse events from their Safety Review.
For comparative studies, the Safety Review states that the most common AE (in the order of <1%) was mild gastrointestinal events consisting of nausea, vomiting, diarrhea, and abdominal pain.
For severe malaria patients, the Safety Review states that artemisinin derivatives had a better safety profile than quinine. And for uncomplicated malaria patients, artesunate had a better tolerability profile over chloroquine, quinine, and mefloquine.
Again it’s important to keep in mind that this pooling of adverse events across many studies is quite problematic especially in light of the fact that there were no raw data reviewed either by the applicant or by the FDA.
## WHO-Safety Review: Laboratory and ECG Abnormalities
- _Laboratory abnormalities _
- _in the order of 1%_
- neutropenia
- reticulocytopenia
- eosinophilia
- anemia
- transaminitis
- culture-negative pyuria
- hemoglobinuria
- Few cases of elevated bilirubin
- _ECG abnormalities _
- _in the order of 1%_
- bradycardia
- prolongation of QT interval
- Few cases of 1st degree AV block, atrial extra-systoles and T-wave abnormalities
- FDA AIDAC 7/10/02
**Notes:**
Laboratory abnormalities noted by the applicant in the order of 1% included neutropenia, reticulocytopenia, eosinophilia, anemia, transminitis, culture-negative pyuria, hemoglobinuria, and a few cases of elevated bilirubin.
ECG abnormalities in the order of 1% included bradycardia, and prolongation of QT interval.
There were a couple of cases of 1st degree AV block, atrial extra-systoles, and T-wave abnormalities.
## WHO-Safety Review: Neurological Assessments
- Majority: no neurological assessments
- Dizziness most common
- **Price R et al. Adverse Effects in Patients with acute falciparum malaria treated with artemisinin derivatives. Am J Trop Hyg. 1999:60; 547-55*
- Patients with uncomplicated malaria
- “ Neurologic examination could be performed reliably only in patients >5 years old”
- Human Histopathology ( *Hien et al* 1999, artemether: n=6)
- FDA AIDAC 7/10/02
**Notes:**
The vast majority of studies included in the safety review did not have neurologic assessments. Of the available information, dizziness appears to be the most common AE.
The paper by Price et al, is the article that the applicant refers to largely for the clinical neurological safety of artemisin derivatives.
A total of 1,971 patients had some sort of a neurological assessment out of a total of 3662 patients who received an artemisinin derivative with or without mefloquine.
In keeping with what the implications of the indication that is being sought here, I wanted to point out that in this particular clinical experience, patients with uncomplicated malaria were studied and the authors state in the paper that- “ Neurologic examination could be performed reliably only in patients >5 years old”
Kissinger et al 1999 Vietnam 242 pts/108 m-controls: only 2 < 5 yrs
Van Vugt et al 2000 Thailand 79 pts/m-con: again only 2 <5 yrs)
Hien et al 1999 Severe malaria Vietnam: AM=6, QN=15, NTx=2 (NCr)
## WHO-Safety Review: reassurance
**comprehensive effort**
**relatively few side effects reported**
**lack of evidence: an association between artemisinin derivatives and increased neurological AE/ sequelae (in people with malaria)**
- FDA AIDAC 7/10/02
**Notes:**
So in summarizing this second safety submission,
it can be said that
-this was a comprehensive effort to examine the available safety information of artemisinin derivates.
-relatively few side effects were noted overall, and mainly mild and transient. No pattern of adverse events were seen. For comparative studies, the safety review did not find that patients receiving artemisinin derivatives had an increase in adverse events over comparators. In fact, the safey review concluded that artemisinin derivatives showed a better tolerability profile over comparators.
Moreover, there was a lack of clinical evidence to suggest an association between artemisinin derivatives and increased neurotoxic adverse events, neurotoxic sequelae, or death.
## WHO-Safety Review: problems
- Methodological deficiences
- drug vs. disease effects
- uncertainty of pooling AEs
- #s for moderate/severe disease
- # for neurological assessment especially in young children
- No raw data for FDA to review
- Not GMP: sub-potent content of active ingredient *Newton P et al. Fake Artesunate in Southeast Asia. Lancet 2001 Jun 16; 357 (9272):1904*
- FDA AIDAC 7/10/02
**Notes:**
What are some of the problems with the safety review?
There are obvious methodological deficiencies of pooling all different types of studies together, particularly in this case when the safety parameters examined may be a result of either drug or disease effect and the uncertainties of pooling adverse events across studies become magnified.
As I had pointed out, although the number of patients in the collective safety database appears to be large, the relevant assessments in relevant populations are not as large.
One other issue that is worth mentioning is the issue of the quality of the active ingredient. The applicant has pointed out that apart from two WHO-sponsored studies, the rest of the safety data derives from studies which used artemisinin active ingredients not produced to GMP and that this supports how remarkable the safety profile of artesunate is. I would submit that this issue could be looked at in a different light. It is possible that the many years of actual use safety that we have is based on drugs that contain subpotent content of active ingredient. Moreover, there is at least one article if not more in the literature that discusses the relative abundant use of counterfeit drugs, which contains really no active ingredient
## Artemisinin Neurotoxicity
*Class effect*: Artemisinin (QHS, qinghaosu),
- Artemether (AM),
- Arteether (AE) ,
- Dihydroartemisinin (DHA)
*Symptomatic*: apathy, unsteadiness, collapse, coma, death
*Neuropathological*: chromatolysis, unique pattern of neuronal necrosis in brainstem nuclei (vestibular, cochlear, olivary, red and others)
- FDA AIDAC 7/10/02
**Notes:**
Of the various safety issues that the applicant has so aptly discussed, I would like to focus now on neurotoxicity issues and spend a few minutes discussing what we do know at this point and what we do not know that causes us concern.
As you have heard, Neurotoxicity is considered a class effect of artemisinin derivatives in animals. Dose-related pattern of fpeuropathology statrting with chromatolysis, then necrosis of specific neurons in the brainstem of rats, monkeys, dogs, and mice followed by gliosis and long tract lesions have been described with artemisinin, artemether, arteether, and the principal metabolite dihydroartemisinin.
## Preclinical evidence: neurotoxicity margin of safety
- WHO-sponsored expert consultation: Conclusions about ***AS***
- Limited Information for AS
- No neuronal necrosis at 420 mg/kg IM x 1 or 200 mg/kg/day PO x 5-7d
- WHO: Briefing Package regarding WHO-sponsored toxicology
- total 210-300 mg/kg via IV / PO
- 21 to 30 fold greater than total proposed human dose
- FDA: BSA conversion to Human Equivalent Dose (HED)
- 35-50 mg/kg (only 3-5 times)
- FDA AIDAC 7/10/02
**Notes:**
The conclusions from the WHO-sponsored expert consultation by Professor Dayan et al stated that only limited information was available for AS but no neuronal necrosis was seen at 420 mg/kg IM x 1 or 200 mg/kg day PO for 5 to 7 days.
And the applicant concluded in their briefing document that for AS, a total of 210 to 300 mg/kg IV or PO doses did not result in neurotoxicity. They further concluded that this is a 21-30 fold greater than the proposed dose indication for humans and thus a wide margin of safety.
If we accept this dose of 210-300 mg/kg as the best available approximation for NOEL for AS, The BSA conversion from the anima l model to Human Equivalent dose would be 35-50 mg/kg giving us only about 3 to 5 times the safety dose margin.
## Preclinical evidence: margin of safety
- FDA AIDAC 7/10/02
**Notes:**
If we take a more conservative approach to the available evidence, the safety margin gets even more narrow.
For AM and AE, Professor Daya’s expert review of the neuropathology materials concluded that the NOAEL for neurotoxicity in rats was 45-75 mg/kg
This dose by BSA conversion would translate to a HED of 7.5-12.5 mg/kg for AM or AE.
Looking down through the right side of this schema, unfortunately, the 7-d rat study in the WHO-commissioned toxicology program was not specifically targeted enough for determination of neurotoxicity NOAEL for artesunate.
Moreover, there were unexplained deaths in 1/16 animals on day 4 of 75 mg/kg dose and 2/16 on day 3 of 150 mg/kg dose. The HEDs calculated adjusting for BSA from this rat model is 12 to 25 mg/kg if we use the dose at which the unexplained deaths occurred. This HED is right around the proposed 10 mg/kg rectal dose, not giving us any margin of safety.
## Neurotoxicity: clinical experience
- _WHO-sponsored studies_
- Neurological assessments performed for studies 5, 6, 7 only (should give 164 rectal AS recipients tested / 501 total, but missing data common)
- Young patients: assessments not reliable
- No pattern of neurological abnormalities was identified
- _Literature/actual usage_
- Main argument for the safety of artesunate
- Large body of experience
- No evidence of neuro toxicity with AS used in patients with malaria
- Minority were moderate/severe dz
- Main Ref. to *Price et al* study but children <5 did not get neurological assessments
**Adults Highest Dose: 45.7 mg/kg (n<30)**
**Children Highest Dose: 57 mg/kg (n<30)**
- FDA AIDAC 7/10/02
**Notes:**
Having said all that for pre-clinical evidence, what about neurotoxicity and clinical experience in humans?
The WHO sponsored studies contained neurological assessments in the 3 pivotal studies (studies 5,6, and 7) which gives 164 rectal AS recipeitns tested out of the total of 435 patients with malaria. Healthy volunteer patients were not specifically tested. Cranial nerves, nystagmus, hearing, tandem walking, romberg test, line drawing, picking tablets, rapid alternating movements, finger-tapping were some of the assessments. These data were problematic due to the many mdssing data, especially in young patients who could not be reliably assessed. Nevertheless, no pattern of neurological abnormalities was reported.
In the literature and the actual usage experience regarding neurological safety, , the applicant has stated that there is a large body of safety experience with AS. Again, I point out to you that the actual safety information in patients with severe disease, especially the very young with severe disease and systematic neurological assessments is a very small percentage of that actual usage experience.
What about the highest dosess used clinically ?
From the literature, in adults it was 45.7 mg/kg total dose given over 4 days in 8 divided doses. In children, the highest dose found was 57 mg/kg total dose given over 3 days in daily divided doses. For both studies however, the total experience is less than 30 patients in each group.
## Neurotoxicity: What do we know
- Neurotoxicity: dose-dependent
- Lipid soluble derivatives: AE, AM
- Water soluble derivatives: AS, AL
- Most Neurotoxic: DHA > AE, AM >>AS, AL
- Conversion to DHA: AS > AE, AM >> AL
- Faster Elimination: AS >> AE, AM
- Lipid soluble agents produce much longer periods of DHA activity.
- Critical factor leading to neurotoxicity: Sustained level rather than peak level
- FDA AIDAC 7/10/02
**Notes:**
So in trying to put together our current collective knowledge, what do we know about the neurotoxicity of the artemisinin compounds?
We know that the neurotoxic lesions occur in dose-dependent fashion in animal models and that the most neurotoxic substance from this group of compounds appear to be the major metabolite DHA.
So why are neurotoxic lesions seen more with the lipid soluble AM and AE then the water soluble AS when AS actually is converted the most to DHA?
This is probably because the lipid solubleagents AM and AE are eliminated more slowly than water soluable compounds likeAS thus producing much longer periods of DHA activity. Thus, the critical factor leading to neurotosicity appears to be sustained levels of DHA rather than the peak level.
## Neurotoxicity: What we don’t know
- Safety margin from preclinical clinical not determined yet and may not be as “wide”. HED: one rectal dose OK but unclear with repeated dosing.
- AS elimination faster: IV > PO > Rectal; With repeated dosing, could rectal formulation also act as “depot” , causing sustained levels?
- Brainstem nuclei affected: species specific? Humans?
- DHA Tissue Distribution to parasitized cells, a buffer?
- Empiric Use in febrile children (especially if repeated dosing and no buffer of parasitized cells): Sustained CNS DHA levels be possible?
- FDA AIDAC 7/10/02
**Notes:**
With that in mind, what about what we do not yet know? And thus causes us concern regarding neurotoxicity?
## Lack of information: populations Can we make the link?
- FDA AIDAC 7/10/02
**Notes:**
So finally, in starting to summarize our view of the integrated safety, I want to once again touch upon the GAP in populations.
The NDA application constitutes WHO-sponsored studies done with all hospitalized patients, all with proven malaria, mainly moderate-severe disease and older children and adults.
The implications for the actual usage in the proposed indication would impact a very different population. Those in the field with severe disease, unable to take PO and mainly very young children receiving rectal AS as empiric therapy. This is a population we have very little information on .... Even in the large body of clinical experience to draw upon for safety evaluation. Could we make this link at this time?
## Safety Summary: Benefit / Risk
- _WHO Statements_
- highly favorable safety profile
- number of AE small
- no consistent pattern of toxicity identified
- _Uncertainties_
- Neurotoxicity, safety margin
- Population for proposed indication
- FDA AIDAC 7/10/02
**Notes:**
In the end, we have to make the Benefit and risk balance assessment.
The applicant has stated that artesunate has a highly favorable safety profile.
The number of AE are small
No consistnet pattern of toxicity identified
I have tried to highlight some of the uncertainties about safety, particularly the as-of-yet unknown safety margin of neurotoxicity and the as-of-yet unknown safety parameters for the population implicated in the proposed indication
## Safety Summary: Benefit/Risk
- Impact of the ***disease ***malaria to individual human suffering and global public health
- Proposed rectal dose (10 mg/kg x1) within safety limits of collective current knowledge
- Uncertainties and concerns expand if higher doses or repeated dosing becomes an issue
- FDA AIDAC 7/10/02
**Notes:**
Given all that, we are mindful of the impact of the DISEASE malaria to individual human suffering and global public health.
Based upon our collective current knowledge, the proposed rectal dose of 10 mg/kg for one dose we feel is within the safety limits.
However, Uncertainties and concerns expand if higher doses or repeated dosing becomes an issue. | en |
converted_docs | 506440 | **PUBLIC NOTICE**{width="0.6541666666666667in"
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> of the 30‑day period, see Section 1.4 of the Commission\'s Rules. Such
> petitions should clearly bear the
>
> caption of the applicable application.
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SIGN**
W49AY BDISTTA 20080804AEH 47 BIRMINGHAM AL CA GLEN IRIS BAPTIST
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| en |
all-txt-docs | 351637 | . 30
money den. I stayed dere mighty close on to to years an den I
; went to Tylertown an hauled cott on to de railr~d ter Mr. Ben
Lamptoi. Mr. Lampton said I was de bea driver of bis team he ever had caze I kep his team fat.
uAtt. I CQD~ back to Missseippi I iriaried a wonan named
Maggie Ransom. We stayed together 52. years. I niver hit her but one tinie. When we was gittin maried I stopped de preacher right in de ceremony an aid to her, Maggie, iffen you niver call ae a liar I will niver call you on an she said, ~im, I wont call you a liar. I said, Thats a bargain an den de preacher went
0x1 wid de weddia. Well, one day alte we had been maried bout
(1)
to years, she ast me how cie I was so late e~in to supper, an
I said I found some work to do fer a white lady, an she said,
thats a lis, an right den I raised my han en let her have it right by de side of de head, an she niver called me a liar a~in.
No maa, dat is somethin I woit stand fer.
~ ~ Ily old lady had seven ohullune dat lived to git growi.
Two of em lived here in Magnolia an de others gone North. Maggie is daid an I live wici my boy Walter an his wits Lena. Dey is mighty good to nis. I owns dis here houa. an to acres ~it dey live wid nte an I gite a Confedrate peitsion of to doUais a month. Dat gives me ~y coffee an ~cco. Ise proud Ise a old so,ler. I seed de n~fl fall when dey was shot but I was not akeered. We et
(1) asked
| en |
converted_docs | 002668 | **[Desert Remedial Action Technologies (S-RAT) Workshop]{.underline}**
**[Workshop Website:]{.underline}
<http://www.epa.gov/osp/stlworkshops.htm>**
**[October 2-4, 2007 Pointe Hilton Squaw Peak Resort, Phoenix,
AZ]{.underline}**
**[Workshop Schedule of Presentations]{.underline}**
**[Day 1 - October 2, 2007]{.underline}**
[8:00 -- 9:00 am]{.underline} -- Registration
[9:00 -- 9:15 am]{.underline} -- Welcome from 1) EPA -- Mike Gill; 2)
Arizona Department of Water Resources and President of Arizona
Hydrological Society -- Alan Dulaney
[**Session 1 -- Biological Technologies** - Chairperson -- Leanne
Austrins (CH2MHill)]{.underline}
[9:15 - 10:00 am]{.underline} -- Pilot Test of Deep Aquifer Permanganate
Treatment
David Abranovic, PE -- ERM-West, Inc.
[10:00 -- 10:45 am]{.underline} -- In-Situ Bioremediation for Treatment
of Chlorinated Solvents and Perchlorate Impacted Groundwater in Desert
Environments
Sam Williams, PG, CHg -- Geosyntec
Consultants
[10:45 -- 11:00 am]{.underline} -- AM Break
[11:00 -- 11:45 am]{.underline} -- Evaluation of an HRC and HRC-Primer
Injection at a TCE-Impacted Site after the Operation of a Dual Phase
Vacuum Extraction System
Gustavo Valdivia, PE -- Bureau Veritas
North America, Inc.
[11:45 -- 1:30 pm]{.underline} -- Lunch Break
[**Session 2 -- Mechanical Technologies** -- Chairperson -- Kevin
Murdock (CH2MHill)]{.underline}
[1:30 -- 2:15 pm]{.underline} -- Perchlorate, TCE, and 1,4-Dioxane
Investigation and Remediation at a Rocket Propellant Facility in a
Semiarid Environment
Edward (Ted) Tyler and Dave Jenkins --
Kleinfelder West, Inc.
[2:15 -- 3:00]{.underline} pm -- Systematic Remedial Methodology for
Chlorinated VOC Contamination of Soils and Groundwater Underlying Desert
Landfills
Harold Bentley and Stewart Smith -- Hydro Geo
Chem, Inc.
[3:00 -- 3:15 pm]{.underline} -- PM Break
[3:15 -- 4:00 pm]{.underline} -- Combined Groundwater Remediation
Strategies Using Electrical Resistance Heating
David Fleming - Thermal Remediation Services
[4:00 -- 4:45 pm]{.underline} -- Soil Vapor Extraction Pilot Test Study,
Sierra Army Depot, Building 210 Area, Herlong, California
Jackie Saling, P.E. -- ARCADIS
[4:45 pm]{.underline} -- Adjourn
**[Day 2 - October 3, 2007]{.underline}**
[9:00 -- 9:15 am]{.underline} -- Opening Speaker ADEQ
[**Session 3 -- Nanotechnologies** -- Chairperson -- Mike Gill
(EPA)]{.underline}
[9:15 -- 10:00 am]{.underline} -- Nanoscale Zero Valent Iron Bench Scale
Kinetic and Phase II Injection Testing, Phoenix-Goodyear Airport North
Superfund Site, Goodyear, Arizona
Robert J. Ellis, LG -- ARCADIS
[10:00 -- 10:45 a]{.underline}m -- Bench-Scale and Field-Scale
Evaluation of Nanoscale Iron Transport and Reactivity
Laurie LaPat-Polasko, PhD -- Geomatrix
Consultants
[10:45 -- 11:00 am]{.underline} -- AM Break
[**Session 4 -- Above Ground Treatment Alternatives** -- Chairperson --
Cathy O'Connell (ADEQ)]{.underline}
[11:00 -- 11:45 am]{.underline} -- Catalytic Destruction of Gas-Phase
TCE and PCE in Ground Water and Soils -- Laboratory Study and Field
Investigation
Song Gao, PhD -- University of Arizona,
Department of Atmospheric Sciences
[11:45 -- 1:30 pm]{.underline} -- Lunch Break
[**Session 5 -- Chromium Technologies** -- Chairperson -- Mary Aycock
(EPA)]{.underline}
[1:30 -- 2:15 pm]{.underline} -- Remediation of Mixed Chromium and TCE
Releases
Paula Chang -- ERM-West, Inc.
[2:15 -- 3:00 pm]{.underline} -- In-Situ Geochemical Fixation of
Chromium in Groundwater in Arid Climates: A Comparison of Chemical
Reductant Technologies
Peter Storch -- URS Phoenix
[3:00 -- 3:30pm]{.underline} -- Army Corps of Engineers Chromium
Presentation
Waleed (Wally) Shaheen, PE and Paul Lear
[3:30 -- 4:00 pm]{.underline} -- Open Session
[4:00 pm]{.underline} -- Closing Comments - Mary Aycock
[4:10 pm]{.underline} - Close Workshop
**[October 4, 2007]{.underline}** 8am-Noon
Field Trip -- Phoenix-Goodyear Airport Superfund Site, Goodyear, AZ
**[Poster Session Presentations]{.underline}**
HOW'D THAT GET IN THERE? A Practical Approach to Determining Sources of
Unexpected Contaminants or Why Geochemical Characterization is Key to
Remedial Investigations
Tiffany Downey, PhD -- GeoTrans, Inc.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
In Situ and Ex Situ Perchlorate Bioremediation in Vadose Zone
Contaminated Soil
Laurie LaPat-Polasko, PhD -- Geomatrix Consultants
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
In-Situ Bioremediation for Treatment of Chlorinated Solvents and
Perchlorate Impacted Groundwater in Desert Environments
Ronald Johnson -- Geosyntec Consultants
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Thermally Enhanced Soil Vapor Extraction to Remediate Volatile Organic
Compounds
Jay Dablow -- ERM-West, Inc.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Injectable Micro-Scale Iron for Source Treatment of Chlorinated Solvents
in Deep Groundwater
Paula Chang -- ERM-West, Inc.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Field Scale Investigation of Mass Flux Reduction as a Function of Source
Zone Mass Removal for Immiscible Liquid
Erica L. DiFilippo -- University of Arizona, Department of Hydrology and
Water Resources
| en |
markdown | 015753 | # Presentation: 015753
## Transit Management Centers: Human Factors Issues TRB Human Factors Workshop January 7, 2001
**Volpe National Transportation Systems Center**
- Don Sussman
- Mary Stearns
**Federal Transit Administration**
**Office of Mobility Innovation**
- Advanced Public Transportation Systems Division
## Transportation Management Center
- A facility housing the operations management centers for at least two transportation modes.
- It includes advanced technologies for various functions including highway congestion mitigation (e.g., assist in incident management), transportation information, and transit dispatching.
- Centers are also known as Traffic Control Centers, Central Control Centers, Traffic Information Centers, Transit Information Centers, Transit Control Centers and Transit Management Centers.
**NTI/FTA sponsored course, “TRANSIT ITS AWARENESS SEMINAR*”
## TMC vs. TMC
- Traffic Management Center
- Acquires and analyzes traffic data
- Provides guidance and coordination directly to the public as well as public and private agencies to maximize traffic throughput
- Transit Management Centers
- Monitors transit system operations and traffic conditions
- Controls transit operations
- Coordinates with emergency service providers and other public and private agencies
## Traffic Management Centers
- Focus is on traffic management, a broad range of vehicle types, no direct control of individual vehicles
- Proactive responses based on analysis of a broad range of incoming data that is compared to “historical” patterns
- Communication with drivers mostly one way through broadcast (auditory or visual)
- Communication with traffic personnel only in emergency or other unusual condition
- Problem response usually accomplished through a limited choice of available solutions
- Information provided by sensors, sampling through instrumented vehicles (traffic probes), and volunteers
## Transit Management Centers
- Focus is on maintaining scheduled service for a limited range of vehicles with direct supervision of vehicles
- Two way and targeted communications with bus drivers and street supervisors
- Information shared within TMC and conducted interactively with drivers and street supervisors to accomplish *problem-solving*
- Information gathered through verbal interactions and sensors on vehicles and roadway sensors or cameras
- Requirements for communications with police and traffic personnel as needed rather than routine
- Most transit systems have existing TMC that have to be retrofitted or replaced rather than designed from scratch
## Transit Management Center Requirements
- TMC staff must
- Support intermittent and scheduled services
- Understand the capabilities of a variety of equipment (buses, light rail)
- Guide drivers who are often new to the route and equipment
- Remotely diagnose complex systems (lifts, fare boxes, air conditioning)
- Interact with
- supervisors, bus drivers, support personnel, public safety personnel, members of unions, contractor employees, and sometimes customers
- a variety of service providers
## Other Transit Considerations
- Because transit provides a “linking” service, it is a creature of its environment
- Constraints include schedules, stops, and interfaces with other modes, and weather
- Enabling services include parking management, fare collection procedures, accessibility, terminal surveillance, real time schedule access
## Denver RTD an Illustrative Example
- Initial Goals:
- Better (more efficient) fleet management
- Improved security
- Better emergency management
- Better passenger service
## Denver RTD System Description
- Real time vehicle location displayed on Automatic Vehicle Location (AVL) Computer using differential GPS
- TMC incoming data
- AVL Screen for bus location, Computer Aided Dispatch (CAD) screen for driver initiated voice communication
- TMC outgoing data
- CAD or directly initiated voice and canned text
- Targeted, narrow cast, or broad cast
## Denver RTD System Description
- Street supervisors equipped with voice and laptop based real time information
- Communication using 9 microwave channels (2 data, 7 voice) with pre-coded text message capability
- Security based on “silent alarm”
- Automatic archiving of operations information
## Denver RTD Data/Information Flow
## Lead Dispatcher
- Denver RTD Dispatch Center
- I-25 CC TV
- Denver RTD Dispatch Center
## CAD / AVL Dispatch Console Denver RTD Dispatch Center
## Accurate accessible real-time vehicle location information resulted in improved
Fleet distribution
Deployment of support vehicles
Management of connecting service, “connection protection”
Transit management data collection
Collected in real time and automatically archived supports administrative as well as traffic needs
Message storage capabilities
Reduced driver distraction in high workload environments e.g. heavy traffic
*This project was the subject of two multiyear evaluations sponsored by the
FTA the results are summarized in the following slides
- Fleet distribution
- Deployment of support vehicles
- Management of connecting service, “connection protection”
- Transit management data collection
- Collected in real time and automatically archived supports administrative as well as traffic needs
- Message storage capabilities
- Reduced driver distraction in high workload environments e.g. heavy traffic
****This project was the subject of two multiyear evaluations sponsored by the *
* **FTA the results are summarized in the following slides*
**Lessons Learned**Fleet Efficiency *
**Notes:**
RTD provides public transportation for a metropolitan area that has a population of 2.3 million, encompasses forty-four municipalities, and covers 2,400 square miles. RTD operates the 12th largest transit bus fleet in the United States, as well as a light-rail line.
Regional Transportation District (RTD) acquired a CAD/AVL system that became fully operational in 1996. The CAD/AVL system added radio channels and covert alarms in buses, located vehicles in real time, and monitored schedule adherence
Dispatchers spend more time communicating about a greater variety of topics. The RTD dispatchers receive and transmit more calls as well as trace transit operations occurring both in real time and retrospectively. Having information, accurate in place and time, meant that the dispatchers could provide accurate information about on-street operations.
RTD initially expected that accurate representation of transit operations would reduce the number of street supervisors. Because the street supervisors access to real-time information from mobile data terminals (MDT) in their vehicles, they have assumed more duties.
As part of the CAD/AVL, the dispatchers acquired new equipment with enhanced capabilities. CAD/AVL added radio channels to alleviate the congested communication, displayed real-time vehicle location and schedule performance, and increased safety through accurate location of emergencies. Dispatchers also gained the capability to communicate directly with buses from other divisions, to receive and respond to covert emergency calls from buses, to “playback” past route performance of a particular bus, and to show the locations of buses out of service, for example, during snowstorms.
RTD’s dispatchers use dual computer screens (the CAD and AVL screens) that are located side-by-side. The CAD screen is the control center because it lists the radio calls by priority. The dispatchers see vehicles’ location on a scalable map on the AVL screen. Dispatchers access response options using “pull-down” menus and can select the desired level of detail to display on the AVL screen.
The street supervisors use laptop computers, Mobile Display Terminals (MDT), while they patrol their sector in a supervisor vehicle. They check out a MDT at the start of their shift and use it to access real time operating information. The MDTs are multitasking and have a windows operating system. The MDT has function keys for frequently used commands. The MDT design does not require street supervisors to recall data-entry commands because they can scroll through them.
RTD installed transit control heads (TCH) in every bus. Bus drivers use the TCH as their primary communication interface with the CAD/AVL system and the dispatchers. Bus drivers initiate communication with the Dispatch Center by selecting one of the precoded buttons to push.
## Lessons Learned Security
- Improved coordination with police through the use of accurate real time location data
- There was an initial reduction in perceived security due to use of “silent alarm” and pre-programmed communication lockout
- During the period of the project Passenger assaults decreased 33%
## Lessons Learned Passenger Service
- AVL allowed the system to respond quickly to unusual service demands
- Operated “load and go” shuttles by real time location monitoring
- Handled increased (doubled) call volume in snow emergencies
- Accomplished rapid reassignments during incidents and accidents
- AVL provided passengers with information that was authoritative, uniform and shared.
- E.g. GPS based system time
## Lessons Learned Emergency Management
- Distributed information- resulting in a better informed field staff, that can marshal more internal resources to deal with emergencies
- Better coordination with rescue, law enforcement, and fire services resulting in quicker, more effective rescue services
## Lessons Learned System Effectiveness
- Over the five years of the project
- Early bus arrivals deceased 12%
- Late arrivals decreased 21%
- Customer complaints deceased 26%
- Define critical prior elements / functional requirements.
- Establish a concept of operations
- Use cognitive task analysis to identify critical tasks.
- Identify the organizational elements and their internal formal and informal communication processes.
- Develop operational scenarios and talk them through with staff.
- Balance designer inputs with staff inputs
- Prototype the system for evaluation before committing to a full build.
**Learn from the experience of other systems**
**To Successfully Manage the Introduction of New Technology, **
## All Management Centers Issues:
- Upgrades are often technology driven
- Design to employees’ / maintainers’ needs and qualifications
- “Technology push, feature creep”
- Balance integration and modularity
- Avoid outdated technology but stay away from the”bleeding edge”
- Technology will continue to develop
- “Keep the best replace the rest”
- What is the value added?
- Anticipate unanticipated “local” application problems
- Buy the source code
- Beware COTS
## Coordination Issues Transit and Traffic Management centers
- Map conventions differ
- Highway maps isomorphic
- Transit maps symbolic, nodes
- Message propagation
- broadcast vs. narrowcast v.s. one to one
- Inter-vehicle communication
- Inter-system communication
- Both must deal with different frequencies patchy coverage, dead zones
## Transit and Traffic Management Centers
- Employee Issues
- Recognize the need to train, expect to find
- heterogeneous skills
- varying educations
- multiple employers
- Assess how long it will take to learn, and what assistance will be required, to use new feature
- You will need to “train more than you think”
## HF Considerations in All TMCs Work Environments
- TMC staff works as a team,
- They should be able to scan the other work stations and communicate verbally with each other
- Lighting / Sound
- “There will always be paperwork”
- Avoid “subdued” lighting
- Allow for personal preference for lighting
- Sound levels should be user adjustable
- Consider worker schedules
- Long shifts are common
- Conveniences must be near at hand
- Allow space for retention of some legacy systems
## HF Considerations in All TMCs Interfaces
- No display is too big
- AVL screens must display high levels of detail
- Pull down menus should not block important information
- System should have de-cluttering modes
- Color sets should be established through research rather than operator choice
- Field personnel want same picture as Management Center even though their displays will have lesser capabilities
- No system is too fast
- The lag in displaying new information is very disruptive
- Limit the number of input devices
## Specific HF Issues in Transit Management Systems
- System integration
- Provide redundant auditory cues for critical signals
- Displayed information (particularly calls) should be transferable between consoles
- End-to-end confirmation of message receipt is required
- Provide a convenient way of correcting data entries
## Specific HF Issues in Transit Management Systems
- Training
- Assume workers will have a wide range of skills, particularly computer skills
- Assume that critical learning will take place through formal or informal apprenticeship and OJT
## Integration questions
- Given multiple types of management centers
- Traffic Control Centers, Central Control Centers, Traffic Information Centers, Transit Information Centers, Transit Control Centers and Transit Management Centers, and Emergency Response Centers, how should they be integrated?
- How do we focus on the trip as opposed to the transit segment?
- How do we integrate traffic management, lane priority, parking lots, airports, sports events?
- What should the model be?
- Is there a model?
- How do we introduce a new technology?
- How do we incorporate the benefits of new technology and retain equipage flexibility? | en |
converted_docs | 407696 | Before the
**Federal Communications Commission**
**Washington, D.C. 20554**
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| In the matter of | * | MM Docket No. 92-266 |
| | *) | |
| Implementation of Section 3 of | ** | |
| the Cable Television Consumer | | |
| Protection and Competition Act | * | |
| of 1992 | *) | |
| | ** | |
| Statistical Report on Average | | |
| Rates for Basic Service, Cable | * | |
| Programming Service, and | *) | |
| Equipment | ** | |
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| | * | |
| | *) | |
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| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
| | ** | |
| | | |
| | * | |
| | *) | |
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| | * | |
| | *) | |
| | ** | |
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| | * | |
| | *) | |
| | ** | |
+----------------------------------+----+------------------------------+
**REPORT ON CABLE INDUSTRY PRICES**
**Adopted: April 1, 2002 Released: April 4, 2002**
By the Commission:
# Introduction
1. Section 623(k) of the Communications Act, as amended by the Cable
Television Consumer Protection and Competition Act of 1992 ("1992
Cable Act"),[^1] requires the Commission to publish annually a
statistical report on cable prices, or more specifically, average
rates for the delivery of basic cable service, cable programming
service, and equipment.[^2] The Act also requires the Commission to
compare the average rates of cable operators subject to effective
competition with those of operators not subject to effective
competition.[^3] This 2001 Report is issued in compliance with those
statutory obligations.[^4]
2. The information and analysis provided in this Report are based on
the Commission's 2001 survey of cable industry prices
("Survey").[^5] The Survey requested data from selected cable
operators as of July 1, 2001 and July 1, 2000. Limited amounts of
data were requested as of July 1, 1999. The Survey enables the
Commission to compare prices charged by two groups of cable
operators: (1) operators that are deemed to face effective
competition (herein referred to as the "competitive group") and (2)
operators that do not face effective competition (the
"noncompetitive group"). Within the noncompetitive group,
information was collected from both regulated and unregulated
operators.[^6] Operators in the competitive group are limited to
those operators that have sought and obtained a Commission finding
of effective competition.[^7] As a result, within the noncompetitive
group, there may be operators that face competition but have not
filed a petition with the Commission seeking a finding of effective
competition. Similarly, there may be operators within the
competitive group that may have met the criteria for a finding of
effective competition at the time the finding was made, but because
of changed circumstances, may not meet the statutory criteria
currently.
3. The Survey collected information about average monthly rates for the
basic service tier ("BST") and major cable programming service tier
("CPST").[^8] The BST typically consists of broadcast and other
local origination stations plus a few satellite channels. The major
CPST typically consists of satellite channels. Most cable customers
subscribe to both BST and the major CPST.[^9] We collected
information on the average monthly charge for equipment, consisting
of an analog addressable converter and remote control unit. The
Survey also collected information on service installation
charges.[^10] The Survey further sought information needed to
determine average rates per channel and to explain changes in rates
between the Survey dates. In addition, we sought to gather
information about the price and availability of digital programming
service tiers, Internet access, and telephony offered by cable
operators. We summarize, below, the major findings of the Survey.
# Summary of findings
4. The Survey shows that the average monthly rate for BST and CPST
programming services for the competitive and noncompetitive groups
combined increased by 7.3%, from \$31.45 to \$33.75, for the
12-month period ending July 1, 2001. The average monthly charge for
equipment increased by 9.1%, from \$2.97 to \$3.24, and the overall
charge for programming services and equipment increased by 7.5% from
\$34.42 to \$36.99, over the same period.
5. During the year ending July 1, 2001, the average monthly rate for
BST programming increased by 2.1% and the average monthly rate for
CPST programming increased by 10.8%. The average rate per channel
increased by 1.5% for the year ending July 1, 2001.[^11] The average
number of channels increased by 5.5%, from 56.3 to 59.4 channels,
over the same period. Table 1 presents these and other results for
the competitive and noncompetitive groups combined.
6. Both the competitive and noncompetitive groups increased their
average monthly rate for programming and equipment by 7.5% over the
12-month period ending July 1, 2001.[^12] Over the same period,
competitive and noncompetitive operators, respectively, increased
rates for programming services by 7.0% and 7.3%. The average monthly
charge for equipment increased for competitive and noncompetitive
operators, respectively, by 12.8% and 9.1%. The average price per
channel (based on the cost of programming services only) was
unchanged for competitive operators and increased by 1.5% for
noncompetitive operators. The competitive group averaged 60.9
channels and the noncompetitive group averaged 59.3 channels,
increases in channel offerings of 5.9% and 5.5%, respectively.
7. For the 12 months ending July 1, 2001, competitive and
noncompetitive operators attributed, on average, 64.7% and 58.2%,
respectively, of rate increases to higher programming costs. Other
factors that reportedly led to price increases were system upgrades,
and general inflation. In addition, the competitive group attributed
9.2%, and the noncompetitive group 13.4%, of their rate increases to
unspecified costs. Competitive and noncompetitive operators also
attribute 4.9% and 3.8%, respectively, of their rate increases to
factors other than cost.
8. The difference in average monthly rates between the competitive and
noncompetitive groups (the "competitive differential") remained at
6.3% for both 2000 and 2001. On July 1, 2000, the competitive and
noncompetitive groups, respectively, charged \$32.49 and \$34.54,
representing a 6.3% differential between the two groups. By July 1,
2001, cable operators facing competition were charging, on average,
\$34.93 while operators not facing competition were charging
\$37.13, also representing a 6.3% differential. In addition, the
differential in average monthly rate per channel was 9.4% on July 1,
2001, as competitive and noncompetitive cable operators,
respectively, charged 55.1 cents and 60.3 cents per channel. The
monthly charge for equipment was three cents lower for the
noncompetitive group at \$3.24, than for the competitive group, as
of July 1, 2001. Tables 2-8 present these and other results from the
Survey.
9. Growth in capacity and advanced services continued, as shown in
Tables 9-13, for both competitive and noncompetitive operators. For
the noncompetitive group, the fraction of total revenue derived from
programming declined from 83.1% to 79.9%, even as digital
programming grew, primarily as a result of growth in cable Internet
and telephony. Operators belonging to the competitive group
experienced a similar shift among revenue sources. Approximately
two-thirds of all cable systems (68.7% of competitive operators and
63.2% of noncompetitive operators) have achieved a capacity of 750
MHz and above. Over the year ending July 1, 2001, the percentage of
noncompetitive cable systems deploying digital video service to at
least a portion of their subscribers increased from 57.8% to 77.6%.
Similarly, the percentage deploying Internet access service rose
from 51.4% to 70.8%. The percentage offering cable telephony,
however, remained virtually constant at 21.1% in July 2001, compared
with 20.7% in July 2000. Over the same period, the percentage of
subscribers electing to take digital programming increased from 7.5%
to 15.7%, while the percentage of cable households purchasing cable
Internet access service grew from 3.1% to 7.4%. The percentage of
cable subscribers taking cable telephony increased from 0.7% in July
2000 to 2.2% in July 2001.
10. Finally, the results of our econometric analysis suggest that the
demand for cable service as well as the price charged for that
service was sensitive to the type of competition faced by cable
operators. In those areas where a cable operator faces effective
competition from a wireline overbuilder (i.e., where a finding of
effective competition was based on the LEC test or the wireline
portion of the overbuild test), we found that operators tend to
offer more channels at a lower rate. In the few areas where the
Commission has made a finding of effective competition as a result
of DBS penetration, we found that the presence of DBS competition
had no statistically significant effect on the demand for cable
service or on cable rates. However, because of the specific nature
of the sample, no general conclusions may be drawn from this fact.
# Survey methodology
## Sample
11. To compare average monthly rates of competitive and noncompetitive
cable operators,[^13] we selected a separate sample from each group.
These samples included 283 of the 368 operators in the competitive
group and 472 of the 9,789 operators in the noncompetitive group. To
ensure that the samples were representative and to gain more precise
estimates, we stratified both groups into subgroups (or strata) and
selected a portion of the sample from each stratum. The competitive
group was divided according to the test by which effective
competition was determined and the noncompetitive group according to
the number of subscribers in each operator's cable system. The
number of operators selected from each stratum depended on the
number of subscribers nationwide in that stratum. Attachment A
displays sample-size percentages and contains further information on
our stratified sampling methodology.[^14]
12. We divided competitive operators into five strata: (1) LEC; (2)
wireline overbuild; (3) DBS overbuild;[^15] (4*)* low penetration;
and (5) municipal. For the LEC, wireline overbuild, DBS overbuild,
and municipal strata, we included all 99, 45, 39, and 17 operators,
respectively, in our Survey because of the relatively small number
of operators in each of these four strata. We chose to use a random
sample for the low penetration stratum because that subgroup had a
large number of operators, 168 in all, from which we randomly
selected 83 for that stratum. This resulted in a total of 283
operators for the competitive group.
13. Noncompetitive operators also were divided into five strata. The
"very large" stratum includes operators serving more than 50,000
subscribers in a single community. The "large" stratum contains
operators serving more than 50,000 subscribers, but with no
individual community reaching 50,000 subscribers. The "medium"
stratum is comprised of operators serving from 10,001 through 50,000
subscribers. The "small" stratum includes operators serving from
1,001 through 10,000 subscribers and, finally, the "very small"
stratum includes operators with fewer than 1,000 subscribers. A
sample of operators not stratified by size would have placed a
disproportionately greater emphasis on smaller systems relative to
the number of subscribers the smaller systems serve. The high
proportion of subscribers nationwide represented by the very large
stratum resulted in the selection of all 97 operators in that
stratum. Other selections include 113 of the 170 large operators;
151 of the 888 medium-sized operators; 71 of the 2,717 small
operators; and 40 of the 5,917 very small operators. If a system
selected for our sample served more than one community, as
identified by the FCC community unit identification codes, we
randomly selected one of those communities for the Survey.
14. Of the 755 Survey questionnaires mailed to cable operators from both
groups, respondents returned 731 questionnaires to the Commission.
Of the 24 questionnaires not returned, 12 operators were no longer
in business or had recently sold the system. Of the 731 returned
questionnaires, 723 met the minimum necessary data requirements to
be included in the analysis.[^16] As of July 1, 2001, cable
operators that returned usable questionnaires served a total of 15.4
million subscribers or 22.3% of the 69.0 million cable subscribers
nationwide.[^17]
15. Of the 723 usable responses, competitive cable operators submitted
266 questionnaires. These 266 respondents served approximately 2.3
million subscribers, or 3.3% of all cable subscribers. Of these, 187
respondents had direct competition in their geographic area, with 93
meeting the LEC test, 78 meeting the overbuild test (with 40 in the
wireline overbuild subgroup and 38 in the DBS overbuild subgroup),
and 16 served a community in which the municipality owned one of the
operators (thereby meeting the municipal test). Of the remaining
respondents in the competitive group, 79 served less than 30% of
households in their service area (thereby meeting the low
penetration test). Noncompetitive cable operators submitted the
remaining 457 responses. These respondents served 13.1 million
subscribers, or approximately 19.0% of all cable subscribers.
## Variables
16. From the Survey responses, we calculated monthly average rates for
the variables described below.
[Average monthly rate for BST and CPST programming]{.underline}. This is
the average monthly rate for programming services. It is the total of
the monthly rate paid by subscribers to receive the BST and major CPST.
It excludes additional charges that may be incurred for a CPST beyond
the major tier, pay-per-view or pay-per-program services, and digital
programming. It also excludes the cost of equipment, which is shown
separately.
[Average monthly charge for equipment]{.underline}. This variable is the
monthly charge paid by subscribers for an analog addressable set-top box
plus a remote control.
[Average monthly rate for programming and equipment]{.underline}. This
variable is the sum of the average monthly rate for programming and
equipment. It represents the rate that a typical subscriber pays for BST
and CPST service, and equipment.
[Average number of channels]{.underline}. This variable is the average
number of local and satellite channels in the BST and CPST channel
lineup. Consistent with the monthly rate for programming services, this
variable excludes channels on any CPST beyond the major tier, as well as
channels devoted to pay-per-view or pay-per-program services, and
channels devoted to digital service.
[Average monthly rate per channel]{.underline}. This variable is the
average monthly rate for programming service divided by the average
number of channels.[^18] We also report the average monthly rate per
satellite channel, which is equal to the average monthly rate for
programming service divided by the average number of satellite channels.
17. In addition to these variables, we sought information that would
enable us to attribute the changes in average rates to various
categories of increased costs or to other factors. We also sought
information on (1) service installation charges; (2) availability
and growth of digital service, Internet access, and telephony;
and (3) the distribution of channels among major categories of
programming. We present Survey findings on these additional
variables. We also provide the results of an econometric analysis of
factors influencing cable rates and the demand for cable service.
## Estimates of Average Monthly Rates
18. As noted in Section III.A and Attachment A, we used a stratified
sampling methodology to estimate average monthly rates. This
entailed dividing the competitive and noncompetitive groups into
strata and drawing a sample from each stratum. Using those samples,
we calculated average monthly rates for each stratum,[^19] and then
combined those results to form averages for each major group
(competitive and noncompetitive) using a weighted average
methodology.[^20]
19. The weight given to each stratum depended on the number of
subscribers nationwide in that stratum. Within the competitive
group, we estimate that operators in the LEC stratum served 60.4% of
subscribers.[^21] Similarly, we estimate that the percentage of
subscribers served by operators in each of the remaining strata were
as follows: wireline overbuild 16.1%, DBS overbuild 11.7%, low
penetration 10.9%, and municipal 0.9%. Within the noncompetitive
group, we estimate that operators in the very large and large strata
served, respectively, 22.6% and 24.6% of subscribers. We also
estimate that operators in the medium-sized stratum served 33.8%,
operators in the small stratum served 15.6% and operators in the
very small stratum served 3.3% of subscribers. These percentages
became the weights used to calculate weighted averages of monthly
rates for the competitive and noncompetitive groups.
# survey results
## Change in Average Monthly Rate for All Cable Operators
20. Table 1 shows the average monthly rate of competitive and
noncompetitive operators combined for programming services and
equipment as of July 1, 2000, and 2001.[^22] The average monthly
rate for programming and equipment increased by 7.5% for the year
ending July 1, 2001 from \$34.42 in July 2000 to \$36.99 in
July 2001. This change is statistically significant at the 5% level
as denoted by the asterisk next to the percent change.[^23]
21. Table 1 also presents the components of programming \-- BST and
CPST. Between July 1, 2000 and July 1, 2001, the average rate for
BST, which typically includes broadcast and other local channels
plus a few satellite channels, increased by 2.1%, from \$12.57 to
\$12.84. The average rate for CPST, which typically consists
entirely of satellite channels, increased by 10.8%, from \$18.88 to
\$20.91. In addition, Table 1 divides the number of channels on BST
and major CPST into local and satellite channels and shows the
average rate per channel for satellite channels and all channels
(based on the cost of programming services only). Significantly, the
large increase in the average rate for CPST service correlates with
substantial growth in the number of satellite channels. While the
number of local channels increased by 2.8%, from 14.1 to 14.5
channels, satellite channels increased by 6.4%, from 42.2 to 44.9
channels. Correspondingly, the increase of 0.5% in the average rate
per satellite channel compares with an increase of 1.5% in the
average rate per channel overall.[^24] Table 1 also reports the
average monthly rate for equipment. The average monthly rate for an
analog addressable converter and remote control increased by 9.1%,
from \$2.97 to \$3.24 over the year ending July 1, 2001.
------------- --------------------------- ---------------------- ----------------------- ------ ---------------------- ----------------------- ----- ---------------------- ---------------------- -------- -------- --------------------- --------- -- -- --
**Table 1. Average Monthly
Rate, by Component
(Competitive and
Noncompetitive Groups
Combined)**
[July 1, [July 1, [12-Month [Percent
2000]{.underline} 2001]{.underline} Change]{.underline} Change]{.underline}
Basic service tier (BST) \$12.57 \$12.84 \$0.27 2.1%
Cable programming service [\$18.88]{.underline} [\$20.91]{.underline} [\$2.03]{.underline} 10.8%\*
tier (CPST)
Total programming services \$31.45 \$33.75 \$2.30 7.3%\*
(BST and CPST)
Equipment [\$2.97]{.underline} [\$3.24]{.underline} [\$0.27]{.underline} 9.1%
(set-top box
and remote
control)
Programming \$34.42 \$36.99 \$2.57 7.5%\*
and equipment
combined
Number of local channels 14.1 14.5 0.4 2.8%
Number of satellite [42.2]{.underline} [44.9]{.underline} [2.7]{.underline} 6.4%\*
channels
Total channels on BST and 56.3 59.4 3.1 5.5%\*
CPST
Programming rate per \$0.797 \$0.801 \$0.004 0.5%
satellite channel
Programming rate per \$0.591 \$0.600 \$0.009 1.5%
channel overall
\* An asterisk denotes a
statistically significant
change. *See* Attachment
B-1.
------------- --------------------------- ---------------------- ----------------------- ------ ---------------------- ----------------------- ----- ---------------------- ---------------------- -------- -------- --------------------- --------- -- -- --
22. The Bureau of Labor Statistics ("BLS") publishes a Consumer Price
Index ("CPI") which measures price inflation related to all goods
and services.[^25] By this measure, inflation increased by 2.7% over
the 12 months ending July 2001. The BLS also publishes price indexes
for many components and sub-components of the overall CPI. Among
these, the BLS publishes a price index for cable services ("cable
CPI"), which is one of the sub-components of the overall CPI. The
cable CPI increased by 3.9% over the 12 months ending July 2001. The
cable CPI cannot be compared directly with the results of our
Survey, however, because the cable CPI covers a different mix of
services, and includes quality adjustments such as for the number of
channels added.[^26]
## Comparison between Competitive and Noncompetitive Groups
23. Table 2 shows the difference in average monthly rate ("competitive
differential") between the group of operators facing effective
competition and those not facing effective competition, as of July
1, 2000, and 2001. On July 1, 2000, competitive and noncompetitive
cable operators charged, respectively, \$32.49 and \$34.54; a 6.3%
differential. On July 1, 2001, competitive operators were charging
\$34.93 while noncompetitive operators were charging \$37.13; also a
6.3% differential. Table 2 also compares the number of channels and
the rate per channel. As of July 1, 2001, competitive operators
offered 1.6 more channels and charged 9.4% less per channel than
noncompetitive operators.
<table style="width:100%;">
<colgroup>
<col style="width: 16%" />
<col style="width: 1%" />
<col style="width: 18%" />
<col style="width: 1%" />
<col style="width: 20%" />
<col style="width: 2%" />
<col style="width: 16%" />
<col style="width: 3%" />
<col style="width: 12%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 4%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="10"><strong>Table 2. Differential between the Competitive
and Noncompetitive Groups</strong></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="6"><p>Competitive Differential</p>
<p><u>Percent</u></p></td>
<td></td>
</tr>
<tr class="even">
<td><u>Date</u></td>
<td colspan="2"><u>Competitive</u></td>
<td colspan="2"><u>Noncompetitive</u></td>
<td colspan="2"><u>Amount</u></td>
<td colspan="4"><u>Percent</u></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="11">Average Monthly Rate</td>
<td></td>
</tr>
<tr class="even">
<td>July 1, 2001</td>
<td colspan="2">$34.93</td>
<td colspan="2">$37.13</td>
<td colspan="2">$2.20</td>
<td colspan="4">6.3% *</td>
<td></td>
</tr>
<tr class="odd">
<td>July 1, 2000</td>
<td colspan="2">$32.49</td>
<td colspan="2">$34.54</td>
<td colspan="2">$2.05</td>
<td colspan="4">6.3% *</td>
<td></td>
</tr>
<tr class="even">
<td colspan="11">Number of Channels</td>
<td></td>
</tr>
<tr class="odd">
<td>July 1, 2001</td>
<td colspan="2">60.9</td>
<td colspan="2">59.3</td>
<td colspan="2">-1.6</td>
<td colspan="4">-2.6%</td>
<td></td>
</tr>
<tr class="even">
<td>July 1, 2000</td>
<td colspan="2">57.5</td>
<td colspan="2">56.2</td>
<td colspan="2">-1.3</td>
<td colspan="4">-2.3%</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="11">Average Rate per Channel (Programming Only)</td>
<td></td>
</tr>
<tr class="even">
<td>July 1, 2001</td>
<td colspan="2">$0.551</td>
<td colspan="2">$0.603</td>
<td colspan="2">$0.052</td>
<td colspan="4">9.4% *</td>
<td></td>
</tr>
<tr class="odd">
<td>July 1, 2000</td>
<td colspan="2">$0.551</td>
<td colspan="2">$0.594</td>
<td colspan="2">$0.043</td>
<td colspan="4">7.8%</td>
<td></td>
</tr>
<tr class="even">
<td colspan="9"><p>* An asterisk denotes a statistically significant
differential. <em>See</em> Attachments B-1, B-2, and B-3.</p>
<p>*An asterisk denotes a statistically significant difference between
the two groups.</p></td>
<td colspan="3"></td>
</tr>
</tbody>
</table>
24. In order to determine if the competitive differentials shown in
Table 2 hold over different system size thresholds, we calculated
average rates by system size for the competitive and noncompetitive
groups, as of July 1, 2001. Table 3 presents the results of these
calculations and shows that the competitive differential varies
across the size strata.
-- --------------- ------------------- --------------------------- ------------------------------ -- --------- ---------------------------- ----- ----------------------- -- -- ------
**Table 3.
Competitive
Differential,
by System Size,
as of July 1,
2001**
[System [Competitive]{.underline} [Noncompetitive]{.underline} [Differential]{.underline} [Percent]{.underline}
Size]{.underline}
Very small and \$31.72 \$34.45 \$2.73 8.6%\*
small
Medium-sized \$36.40 \$37.18 \$0.78 2.1%
Large and very \$35.64 \$38.17 \$2.53 7.1% \*
large
\* An asterisk
denotes a
statistically
significant
differential.
*See*
Attachment B-4.
-- --------------- ------------------- --------------------------- ------------------------------ -- --------- ---------------------------- ----- ----------------------- -- -- ------
25. Tables 4 and 5 divide the monthly average rate for the competitive
and noncompetitive groups into BST and CPST components. The tables
also report channels by local and satellite and average equipment
price, for July 1, 2000, and July 1, 2001. For the competitive
group, BST service increased by 4.0%, from \$11.95 to \$12.43. This
compares with a 2.0% increase for the noncompetitive group, from
\$12.62 to \$12.87. CPST service for the competitive group increased
by 9.0%, from \$17.64 to \$19.23, while the increase for the
noncompetitive group was 10.9%, from \$18.95 to \$21.02.
26. The monthly average rate for BST and CPST combined increased by 7.0%
and 7.3%, respectively, for the competitive and noncompetitive
groups. However, when equipment is added to average monthly rate,
the rate of increase is the same for both groups \-- 7.5%. Within
the competitive group, the average number of satellite channels
offered increased by 6.9%, from 43.4 to 46.4 and the average rate
per satellite channel declined by 0.9%, from 75.1 cents to 74.4
cents. Within the noncompetitive group, satellite channels grew by
6.4%, from 42.1 to 44.8, and the average rate per satellite channel
increased by 0.6%, from 80.0 cents to 80.5 cents. The average rate
per channel overall (including local and satellite channels) was
unchanged and increased by 1.5%, respectively, for the competitive
and noncompetitive groups.
--------------- --------------------------- ----------------------- ------- ----------------------- ------ ---------------------- --------- --------------------- --------- -- --
T**able 4. Averages for the
Competitive Group, by
Service Component**
[July 1, [July 1, [12-month [Percent
2000]{.underline} 2001]{.underline} Change]{.underline} Change]{.underline}
Basic service tier (BST) \$11.95 \$12.43 \$0.48 4.0%
Cable programming service [\$17.64]{.underline} [\$19.23]{.underline} [\$1.59]{.underline} 9.0%
tier (CPST)
Total programming services \$29.59 \$31.66 \$2.07 7.0%\*
(BST and CPST)
Equipment (set-top box and [\$2.90]{.underline} [\$3.27]{.underline} [\$0.37]{.underline} 12.8%
remote control)
Programming and equipment \$32.49 \$34.93 \$2.44 7.5%\*
combined
Number of channels (local) 14.1 14.5 0.4 2.8%
Number of channels [43.4]{.underline} [46.4]{.underline} [3.0]{.underline} 6.9%
(satellite)
Total channels on BST and 57.5 60.9 3.4 5.9%
CPST
Programming rate per \$0.751 \$0.744 -\$0.007 -0.9%
satellite channel
Programming rate per \$0.551 \$0.551 \$0.000 -0.0%
channel overall
\* An asterisk denotes a
statistically significant
change.
**Table 5. Averages for the
Noncompetitive Group, by
Service Component**
[July 1, [July 1, [12-month [Percent
2000]{.underline} 2001]{.underline} Change]{.underline} Change]{.underline}
Basic service tier (BST) \$12.62 \$12.87 \$0.25 2.0%
Cable programming service [\$18.95]{.underline} [\$21.02]{.underline} [\$2.07]{.underline} 10.9%\*
tier (CPST)
Total programming services \$31.57 \$33.89 \$2.32 7.3%\*
(BST and CPST)
Equipment (set-top box and [\$2.97]{.underline} [\$3.24]{.underline} [\$0.27]{.underline} 9.1%
remote control)
Programming and equipment \$34.54 \$37.13 \$2.59 7.5%\*
combined
Number of channels (local) 14.1 14.5 0.4 2.8%
Number of channels [42.1]{.underline} [44.8]{.underline} [2.7]{.underline} 6.4%\*
(satellite)
Total channels on BST and 56.2 59.3 3.1 5.5%\*
CPST
Programming rate per \$0.800 \$0.805 \$0.005 0.6%
satellite channel
Programming rate per \$0.594 \$0.603 \$0.009 1.5%
channel overall
\*An asterisk
denotes a
statistically
significant
change.
--------------- --------------------------- ----------------------- ------- ----------------------- ------ ---------------------- --------- --------------------- --------- -- --
27. Finally, Table 6 reports the average monthly rate for each
competitive stratum \-- wireline overbuild, DBS overbuild, LEC, low
penetration, and municipal \-- compared with the average for the
noncompetitive group. It shows that average monthly rates vary
significantly among the competitive strata, from \$24.35 to \$37.13,
as of July 1, 2001. The average monthly charge for every stratum of
the competitive group except the DBS overbuild stratum, is lower
than the average monthly rate of \$37.13 for the noncompetitive
group. The average rate charged by operators in the DBS overbuild
stratum is the same as the average for the noncompetitive group. The
competitive response of those operators making up the DBS overbuild
stratum, however, may not be representative of the competitive
response to DBS among cable operators generally because this
subgroup consists of only 38 operators and is made up almost
entirely of small cable operators located in rural areas. Cable
operators in rural areas may face higher costs per subscriber
because operators in those areas may need more distribution plant
per subscriber to reach their customers. The table also provides a
comparison of the average number of channels and the average monthly
charge per channel for each stratum of the competitive group and the
noncompetitive group.
<table style="width:100%;">
<colgroup>
<col style="width: 7%" />
<col style="width: 6%" />
<col style="width: 13%" />
<col style="width: 1%" />
<col style="width: 12%" />
<col style="width: 4%" />
<col style="width: 9%" />
<col style="width: 13%" />
<col style="width: 4%" />
<col style="width: 9%" />
<col style="width: 3%" />
<col style="width: 10%" />
<col style="width: 1%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="13"><strong>Table 6. Comparison between Competitive Strata
and the Noncompetitive Group</strong></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="3"></td>
<td colspan="2"></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="2"><u>Date</u></td>
<td><p>Wireline</p>
<p><u>Overbuild</u></p></td>
<td colspan="2"><p>DBS</p>
<p><u>Overbuild</u></p></td>
<td colspan="2"><u>LEC</u></td>
<td><p>Low</p>
<p><u>Penetration</u></p></td>
<td colspan="2"><u>Municipal</u></td>
<td colspan="2"><p>Non-</p>
<p><u>Competitive</u></p></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="12">Average Monthly Rate</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="2">July 1, 2001</td>
<td>$34.03*</td>
<td colspan="2">$37.13</td>
<td colspan="2">$35.03*</td>
<td>$34.30*</td>
<td colspan="2">$24.35*</td>
<td colspan="2">$37.13</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="2">July 1, 2000</td>
<td>$31.45*</td>
<td colspan="2">$34.25</td>
<td colspan="2">$32.55*</td>
<td>$32.57</td>
<td colspan="2">$23.40*</td>
<td colspan="2">$34.54</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="12">Number of Channels</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="2">July 1, 2001</td>
<td>56.0</td>
<td colspan="2">53.3</td>
<td colspan="2">65.3*</td>
<td>52.9</td>
<td colspan="2">51.4</td>
<td colspan="2">59.3</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="2">July 1, 2000</td>
<td>52.7</td>
<td colspan="2">46.5</td>
<td colspan="2">62.4*</td>
<td>49.5</td>
<td colspan="2">50.8</td>
<td colspan="2">56.2</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="12">Average Rate per Channel (Programming Only)</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="2">July 1, 2001</td>
<td>$0.587</td>
<td colspan="2">$0.727</td>
<td colspan="2">$0.489*</td>
<td>$0.663</td>
<td colspan="2">$0.447*</td>
<td colspan="2">$0.603</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="2">July 1, 2000</td>
<td>$0.578</td>
<td colspan="2">$0.761</td>
<td colspan="2">$0.483*</td>
<td>$0.674</td>
<td colspan="2">$0.437*</td>
<td colspan="2">$0.594</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="13">*An asterisk denotes a statistically significant
differential when compared with the noncompetitive group.</td>
<td></td>
</tr>
</tbody>
</table>
## Explanation for Changes in Average Monthly Programming Rates
28. The Survey asked respondents to explain changes in their monthly
programming rates between July 2000 and July 2001, and between July
1999 and July 2000, by attributing those changes to various
categories of increased costs or other factors. Table 7 shows the
percentage by which each factor contributed to the increase in
programming rates. Both the competitive and noncompetitive groups
attributed much of their rate increases to changes in the cost of
programming, including both the increased cost of existing
programming and the initial cost associated with new programming.
For the 12 months ending July 2001, the competitive group attributed
64.7% and the noncompetitive group attributed 58.2% of their higher
rates to programming costs. For the competitive and noncompetitive
groups, respectively, system upgrades accounted for 10.6% and 9.9%
of the increases in average monthly rates, general inflation
accounted for 10.6% and 14.7% of the increases, and unspecified
costs accounted for 9.2% and 13.4% of the increases. Survey
responses showed that, for the same year, 4.9% of the rate changes
made by the competitive group, and 3.8% of the rate changes made by
the noncompetitive group, were unrelated to cost increases.
-- --------------------------- --------------------- ------------------- ---------- ------------------- -- ------------------- ------------------- -- --
**Table 7. Reported
Explanations for
Changes in Average
Monthly Programming
Rates**
Competitive Group Noncompetitive
Group
[Explanation]{.underline} [July 1, [July 1, [July 1, [July 1,
2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Fees for existing 43.6% 50.7% 46.0% 46.1%
programming
Fees for new programming 9.2% 14.0% 8.0% 12.1%
Upgrades to cable system 15.3% 10.6% 14.4% 9.9%
General inflation 12.3% 10.6% 13.8% 14.7%
Unspecified costs 13.5% 9.2% 10.3% 13.4%
Unrelated to costs 6.1% 4.9% 7.5% 3.8%
Note: *See* Attachment B-5.
-- --------------------------- --------------------- ------------------- ---------- ------------------- -- ------------------- ------------------- -- --
## Charges for Installation of Cable Service
29. Table 8 compares one-time charges for service installation exclusive
of promotional discounts that may have been offered. The charge for
service installation increased, although at a slower pace than
monthly charges for programming and equipment. As of July 1, 2001,
competitive operators charged \$38.67 and noncompetitive operators
charged \$42.41 for installation at previously unwired households; a
9.7% differential. For pre-wired installation, competitive operators
charged \$27.28 and noncompetitive operators charged \$29.93; also a
9.7% differential. Competitive operators charged \$25.00 and
noncompetitive operators charged \$26.75 for service reconnection; a
7.0% differential.
--------------------------- -------------- ------------------- -------- ------------------- ---------------------- ------------------- ------- ------------------- ---------------------- -- -- --
**Table 8.
Average Charge
for
Installation
of Cable
Service**
Competitive Group Noncompetitive
Group
[Type of [July 1, [July 1, [Change]{.underline} [July 1, [July 1, [Change]{.underline}
Installation]{.underline} 2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Unwired installation \$37.95 \$38.67 1.9% \$41.85 \$42.41 1.3%
Pre-wired installation \$27.23 \$27.28 0.2% \$29.44 \$29.93 1.7%
Service reconnection \$25.10 \$25.00 -0.4% \$26.28 \$26.75 1.8%
Note: *See* Attachment B-6.
--------------------------- -------------- ------------------- -------- ------------------- ---------------------- ------------------- ------- ------------------- ---------------------- -- -- --
# other findings
## Distribution of Programming by Major Categories
30. Table 9 shows a breakdown by category of the average number of
channels on BST and major CPST, as of July 1, 2000, and July
1, 2001. The number of total channels grew by 3.4 within the
competitive group and by 3.1 within the noncompetitive group. Most
of this difference is reflected in an increase in the number of news
and general entertainment channels. These channels increased by 2.8
in the competitive group, from 36.9 to 39.7 channels, and by 2.4 in
the noncompetitive group, from 36.3 to 38.7 channels.
--------------------------- ------------------- ------------------- ------------------- -- ------------------- ------------------- ------------------- ------------------- -- -- --
**Table 9. Average Number
of BST and CPST Channels,
by Category**
Competitive Group Noncompetitive
Group
[Category of [July [July [July [July
Channel]{.underline} 2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Local broadcast stations 10.7 10.9 10.5 10.7
Public, educational, & 1.9 2.0 2.2 2.3
governmental
Commercial leased access 0.8 0.8 0.5 0.6
Other local origination [0.7]{.underline} [0.8]{.underline} [0.9]{.underline} [0.9]{.underline}
Total of local channels 14.1 14.5 14.1 14.5
News & general 36.9 39.7 36.3 38.7
entertainment
Sports 3.8 3.9 3.3 3.5
Children's [2.7]{.underline} [2.8]{.underline} [2.5]{.underline} [2.6]{.underline}
Total satellite channels 43.4 46.4 42.1 44.8
Total channels on BST and 57.5 60.9 56.2 59.3
major CPST
Note: *See* Attachment C.
--------------------------- ------------------- ------------------- ------------------- -- ------------------- ------------------- ------------------- ------------------- -- -- --
## Annual System Revenues
31. The Survey sought information on system-wide revenues from six major
sources: (a) all types of analog and digital cable programming
(non-premium, premium and pay-per-view); (b) equipment; (c) Internet
access; (d) telephony; (e) advertising; and (f) other sources
(commissions, leased access, etc.). While operators received the
bulk of revenues from programming services, Table 10 shows that
revenue from non-video sources increased as a percent of total
revenue between 2000 and 2001, with Internet access and telephony
showing the largest percentage increases.
---------------------- ------------------- -------------------- ------------------- -- -------------------- ------------------- -------------------- ------- ------------------- -------------------- -- -- --
**Table 10. Percent of
Annual System Revenue,
by Source**
Competitive Group Noncompetitive
Group
[Source of [July [July [July [July
Revenue]{.underline} 2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Programming services 82.2% 78.7% 83.1% 79.9%
Equipment 4.5% 4.5% 4.1% 4.0%
Internet access 1.8% 3.8% 1.3% 3.1%
Cable telephony 1.4% 3.6% 0.5% 2.4%
Advertising 5.3% 5.1% 5.0% 4.9%
Other sources [4.8%]{.underline} [4.3%]{.underline} [6.0%]{.underline} [5.7%]{.underline}
Total 100% 100% 100% 100%
---------------------- ------------------- -------------------- ------------------- -- -------------------- ------------------- -------------------- ------- ------------------- -------------------- -- -- --
## System Capacity and Advanced Services
32. Over the year ending July 1, 2001, the percentage of systems with
capacity of 750 MHz and above increased from 58.3% to 68.7% for
competitive operators and from 54.1% to 63.2% for noncompetitive
operators. Table 11 shows that capacity on an analog basis,
including capacity used for all types of programming \--
non-premium, premium and pay-per-view, as well as analog channels
devoted to digital tier services \-- grew to 83.3 and 81.7 channels,
respectively, for the competitive and noncompetitive groups. Table
12 shows that 74.1% of competitive systems and 77.6% of
noncompetitive systems offered digital service. In addition, for
competitive and noncompetitive systems, respectively, the number of
systems offering cable modem service for Internet access grew to
65.5% and 70.8%, and the number of systems offering cable telephony
remained virtually unchanged at 19.8% and 21.1%.[^27]
--------------------------- ------------------- -------------------- -- ------------------- -------------------- -- ---
**Table 11. System
Capacity**
Competitive Group Noncompetitive
Group
[July [July [July [July
2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Average system capacity 630 666 623 652
(MHz)
Percent of systems with
capacity of:
330 MHz and below 10.0% 8.5% 9.0% 8.3%
331 through 749 MHz 31.7% 22.8% 36.9% 28.5%
750 MHz and above 58.3% 68.7% 54.1% 63.2%
Number of 6-MHz activated
channels:
Devoted to analog service 69.2 72.0 67.7 69.9
Devoted to digital service [6.7]{.underline} [11.3]{.underline} [7.0]{.underline} [11.8]{.underline}
Total number of channels 75.9 83.3 74.4 81.7
--------------------------- ------------------- -------------------- -- ------------------- -------------------- -- ---
--------------------------- ------------------- ------------------- -- ------------------- ------------------- -- ---
**Table 12. Advanced
Services**
Competitive Group Noncompetitive
Group
[July [July [July [July
2000]{.underline} 2001]{.underline} 2000]{.underline} 2001]{.underline}
Percent of cable systems
offering:
Digital programming 52.3% 74.1% 57.8% 77.6%
Internet access 51.7% 65.5% 51.4% 70.8%
Cable telephony 19.7% 19.8% 20.7% 21.1%
Percent of cable
subscribers taking:
Digital service 5.9% 13.4% 7.5% 15.7%
Internet access 2.9% 6.9% 3.1% 7.4%
Cable telephony 1.2% 2.3% 0.7% 2.2%
--------------------------- ------------------- ------------------- -- ------------------- ------------------- -- ---
## Digital Programming Service
33. Table 13 provides additional information on the major digital tier
of programming,[^28] as well as the average monthly cost of a
digital converter (which is required to receive digital service) and
remote. For operators belonging to the competitive group, the
average price for programming and equipment for digital service
increased by 4.7%, while the price per channel decreased by 10.2%.
For operators in the noncompetitive group, the average price of
digital programming and equipment increased by 8.5%, while the
average price per channel decreased by 7.3%.
--------------------- ---------------------- ---------------------- --------------------- -------- ---------------------- ---------------- ---------------------- -------- --------------------- ------- --
**Table 13. Average
Monthly Rate for
Major Digital Tier**
Competitive Group Noncompetitive
Group
[July [July [% [July [July [%
2000]{.underline} 2001]{.underline} Change]{.underline} 2000]{.underline} 2001]{.underline} Change]{.underline}
Average programming \$10.09 \$10.61 5.2% \$10.40 \$11.58 11.3%
rate ^†^
Converter & remote [\$4.10]{.underline} [\$4.24]{.underline} 3.4% [\$4.38]{.underline} [\$4.46]{.underline} 1.8%
control
Programming and \$14.19 \$14.85 4.7% \$14.78 \$16.04 8.5%
equipment
Number of digital 24.0 29.5 22.9% 26.3 32.4 23.2%
channels
Average price per \$0.430 \$0.386 -10.2% \$0.426 \$0.395 -7.3%
channel ^††^
^†^ Does not include
digital premium,
pay-per-view, music
(and other audio)
channels. ^††^
Programming only.
--------------------- ---------------------- ---------------------- --------------------- -------- ---------------------- ---------------- ---------------------- -------- --------------------- ------- --
# ECONOMETRIC ANALYSIS OF CABLE RATES AND DEMAND FOR CABLE SERVICE
## Factors Affecting Rates
34. In this section, we use regression analysis as well as various other
types of econometric analysis to examine the influence of several
factors on cable rates and to determine the effects of each factor
separately by holding all other factors constant. This additional
analysis is useful because the foregoing comparison of averages or
means does not enable us to separate the influences of various
factors on the averages. The number of channels offered, for
example, may influence the rate charged. Cable operators that offer
more channels typically charge higher rates. Regression analysis
enables us to measure the effects of the number of channels offered
on rates while holding the effects of all other variables that also
influence rates constant. This type of analysis also enables us to
determine whether specific factors influence rates, and to measure
the extent of that influence.
35. In the Benchmark Order, the Commission identified a number of
factors (or variables) that may affect cable rates and used
regression analysis to measure the effects of these variables.[^29]
These variables include competitive status, system size, average
household income in the area served, and whether the operator was a
multiple system operator ("MSO"), i.e., was affiliated with more
than one system. System size was represented by two variables: total
number of channels offered and number of system subscribers. In
addition, several "product mix" ratios were identified and used as
variables, including: (1) the ratio of satellite channels to total
channels; (2) CPST subscribers to total subscribers; and (3)
subscribers taking analog addressable converter leases relative to
total subscribers. We analyzed 2001 Survey data using a regression
equation similar to that used in the Benchmark Order in order to
determine the current effects of each of these variables on average
monthly rates. The results of this analysis are shown in Attachment
D-1.[^30]
36. The results of this analysis show that MSO affiliation was
associated with higher monthly rates in 2001. Holding all other
variables constant, we found that operators with two or more
systems, on average, had rates that were approximately 23% higher
than single system operators.[^31] The variable for number of
channels offered captured the full effects of size in our equation.
The estimated coefficient for this variable was large and
statistically significant. It shows that, other things held
constant, average monthly rates increase as the number of channels
offered increases. The effect, however, is nonlinear which means
that as the number of channels offered increases, the effect on
monthly rates diminishes. For example, the effect on rates of going
from 40 channels to 50 channels is greater than the effect of going
from 70 channels to 90 channels. We also found that the product mix
variables mentioned above \-- the ratios of satellite channels, CPST
subscribers, and converter leases \-- were not associated with
significantly higher rates during 2001.
37. We also found significant differences in average rates among the
five competitive strata compared with the noncompetitive group
holding system size and other variables constant. When number of
channels, MSO affiliation, and consumer income are held constant, we
estimated for 2001 that competitive operators that meet the LEC test
had rates that were 7.7% lower than the noncompetitive group. For
the same year, the regression coefficients for the wireline
overbuild and low penetration subcategories indicated that the
prices charged by operators belonging to these subcategories were
7.0% and 4.7% lower, respectively, than the rates charged by the
noncompetitive group. We also found that systems owned by a
municipality had rates that were 22.0% lower than rates charged by
the noncompetitive group. For the DBS overbuild subgroup, rates were
5.1% higher than rates charged by the noncompetitive group. As
mentioned above, the DBS overbuild subgroup is made up largely of
operators that serve rural areas and, therefore, may have higher
distribution costs per subscriber than other operators.
38. We note that the equation used to explain the effects of competitive
status on rates may be subject to a potential bias.[^32] More
specifically, as explained above, monthly cable rates are influenced
by changes in the number of channels offered. Cable operators,
however, may be willing to supply more channels after raising
monthly rates or, conversely, may seek to raise rates after
supplying more channels. Therefore, it is not possible to determine
the direction of causality between higher rates and an increased
number of channels. This interdependency between variables results
in estimates that reflect the mix of the effects of these variables
on each other. As a result, the estimated value can no longer be
attributed to an unambiguous effect of one variable on the other.
This type of interdependency, or simultaneity problem as it is
called in this type of analysis, can be eliminated by using a
simultaneous equation technique such as the three-stage least
squares ("3SLS") procedure which is discussed below.
## Simultaneous Analysis of Monthly Rates, Demand, and Quality of Service
39. In an effort to fully understand the effects of various factors on
the demand for cable service and on average cable rates (including
the effects of interactions among those factors), we estimated a
model consisting of three equations measuring prices (or monthly
rates), household subscriptions, and product quality. Our model is
an extension of prior academic studies in which the demand for cable
service, the number of channels offered (which is used as a proxy
for quality of service), and monthly cable rates were analyzed
simultaneously.[^33] The three equations in the model not only
enable us to measure the direct effects of factors affecting
subscription, price, and quality of cable service, but also provide
us with estimates of other interesting parameters, including the
price elasticity of demand for cable service.[^34]
40. Our three-equation model also incorporates the effects of
competition on the demand for cable service, monthly cable rates,
and quality of service by examining the effects of specific types of
effective competition, e.g., wireline overbuild compared with DBS
overbuild. Our hypothesis underlying each of the three equations is
set forth below.
41. *The Demand Equation*. We hypothesize that household subscription to
cable service is: (1) inversely related to cable rates (since, as
cable rates increase, subscription is expected to decrease); (2)
positively related to number of homes passed (since the number of
homes passed, in the short run, represents the upper limit of a
cable system's potential market); (3) positively related to system
age (since subscribers will tend to be more aware of availability
and quality of cable service the longer those services are
available); (4) positively related to median household income
(since, as income rises, households can better afford cable
service); (5) inversely related to urbanization (since in urban
areas many alternative forms of entertainment, including
over-the-air broadcasts, are available to subscribers); (6)
inversely related to wireline overbuild and DBS overbuild status
(since the incumbent cable operator is likely to face lower demand
for service in areas where there is competition from overbuild
competitors); and (7) positively related to the number of channels
offered on the system (since, as the number of channels increases,
consumers may place a higher value on cable service and therefore
are likely to demand more of that service).
42. *The Price Equation*. Our price equation hypothesizes that monthly
rates (which are used as a proxy for the price of cable service)
are: (1) negatively related to number of subscribers (since, as the
number of subscribers increases, economies of scale should be
adequate to offset any increased costs per subscriber associated
with serving additional subscribers); (2) positively related to
median household income (since areas with higher incomes may also
have higher average wages and hence higher operating costs which may
lead to higher monthly rates); (3) inversely related to the number
of subscribers belonging to the MSO of which the operator is a part
(since larger MSOs may have a relative cost advantage over single
system operators or smaller MSOs, particularly in programming and
financing costs, which may be reflected in lower monthly
rates);[^35] (4) inversely related to the degree of vertical
integration[^36] (since costs, especially programming costs, may be
reduced as a result of efficiencies gained through vertical
integration which, in turn, may be reflected in lower monthly
rates); (5) inversely related to wireline overbuild and DBS
overbuild status (since, as the degree of direct competition from an
alternative MVPD provider increases, the price of cable service is
likely to decrease); (6) inversely related to population density
(since costs and therefore prices may be lower in areas with higher
population density); (7) positively related to the number of
channels offered (since it costs more to provide more channels and
customers may be willing to pay more for more channels); and (8)
positively related to system age (since it may cost more for an
older system to provide service to its customers compared with a
newer system).
43. *The Quality of Service Equation*. We hypothesize that the quality
of cable service as measured by the number of channels offered
is: (1) positively related to system capacity in megahertz (since,
as capacity increases, the operator is likely to offer more
channels); (2) positively related to wireline overbuild and DBS
overbuild status (since operators that face competing MVPDs may be
compelled to deliver more channels to attract subscribers); (3)
positively related to median household income (since, as income
rises, consumers can afford to pay for higher service quality, i.e.,
more channels); (4) positively related to the degree of vertical
integration (since vertical integration with programming networks
may result in increased efficiency, which may lower programming
costs, which, in turn, may result in an increase in the number of
channels offered); (5) inversely related to the presence of digital
service and Internet access service (since, unless there is an
accompanying change in system capacity, the presence of digital
and/or Internet access service may lead operators to shift channels
from CPST to these services); and (6) positively related to number
of subscribers (since, as the number of subscribers increases,
operators may offer more channels in order to satisfy the diverse
programming interests of their larger subscriber base).
44. *Results*. We estimated these three equations simultaneously using
3SLS techniques, and the results are shown in Attachment D-2. Most
notably, results from the demand equation indicate that the
estimated price elasticity of demand for cable service is 2.19,
which indicates that the demand for cable service is price
elastic.[^37] This means that a one-percent increase in the price of
cable service, for example, would result in a slightly more than
two-percent decrease in the demand for that service, all other
things being held constant. The estimated price elasticity suggests
that there are substitutes for cable service, which is reflected by
the negative and statistically significant coefficient for the
wireline overbuild subgroup.[^38] This level of price elasticity
suggests that cable subscriptions tend to be lower in those areas
where a wireline competitor provides a substitute for cable service.
The estimated coefficient for the DBS overbuild variable, however,
is also negative, but is not statistically significant, which
suggests that the presence of effective competition due to DBS
overbuild status has no measurable effect on the demand for cable
service. This may be due to the characteristics of the operators in
the DBS overbuild subgroup. For example, it may be that the DBS
overbuild subgroup consists of operators that are located primarily
in rural areas where cable penetration may be limited by high
deployment costs. There may, however, be other explanations for the
differences between the wireline and DBS subgroups that are not
captured by our analysis.
45. Our price equation shows that the presence of a wireline overbuilder
has a negative effect on cable rates. However, based on our limited
data, the presence of effective competition due to DBS overbuild
status has no significant effect on cable rates.[^39] Contrary to
our hypothesis, the data suggest that as the number of subscribers
belonging to the MSO of which the operator is a part increases, the
rates charged by that MSO also increase.[^40] It is unclear whether
this effect is due to some exogenous factor not controlled for in
our analysis,[^41] or whether, in fact, there is a positive
correlation between horizontal concentration and cable rates. We
found that vertical integration has no significant effect on cable
rates. As expected, the results of our equation show that as more
channels are offered, monthly rates tend to be higher. Both the
number of system subscribers and the population density of the areas
served have no measurable effect on monthly rates.
46. Our results show that the quality of cable service (as measured by
the number of channels offered) increases directly with the system
capacity of the operator. Also, the results show that in areas where
wireline competitive providers are present, subscribers receive more
channels. We found that where a finding of effective competition was
due to DBS penetration, there is no measurable effect from DBS
competition on number of channels offered. Larger systems, as
measured by number of subscribers, tend to offer more channels. We
found that the degree of vertical integration has a statistically
significant negative effect on the number of channels offered.[^42]
Contrary to our hypothesis, we found that operators offering digital
services also offer more BST and CPST channels, most likely due to a
reallocation of channel capacity from other service tiers. However,
we found that Internet access service has no measurable effect on
the number of channels offered.
47. The results of these three equations suggest that there are
substitutes available for cable service. In areas where a wireline
overbuild is present, cable subscribers receive more channels at
lower prices and the subscriptions for cable service tend to be
reduced. In areas where effective competition is achieved as a
result of DBS penetration, there is no measurable effect on cable
subscriptions, the price of cable service, or the number of channels
offered.
# Conclusion
48. We found that operators belonging to the competitive and
noncompetitive groups both increased their average monthly rates by
7.5% for programming and equipment during the time period surveyed.
We also found that the competitive differential between the
competitive and noncompetitive groups remained unchanged at 6.3%.
The average monthly rate per channel for operators in the
competitive group was unchanged and for operators in the
noncompetitive group increased by 1.5% over the 12-month period
ending July 1, 2001.
49. Operators in the competitive and noncompetitive groups both
attribute a large percentage of their rate increases to increased
programming costs. System upgrades also are cited as a factor to
explain higher rates. Both groups continue to increase system
capacity and, as a result, offer their subscribers more BST and CPST
channels along with new services such as digital programming tiers,
Internet access, and telephony.
50. This report fulfills the Commission's annual statutory obligation to
compare prices charged by cable operators facing effective
competition with those of cable operators not facing effective
competition for the delivery of basic service, other cable
programming services, and equipment.
# administrative matters
51. It is ORDERED that this Report be issued pursuant to authority
contained in Section 623(k) of the Communications Act of 1934, as
amended, 47 U.S.C. § 543(k).
FEDERAL COMMUNICATIONS COMMISSION
William F. Caton
Acting Secretary
<table>
<colgroup>
<col style="width: 5%" />
<col style="width: 17%" />
<col style="width: 6%" />
<col style="width: 10%" />
<col style="width: 4%" />
<col style="width: 13%" />
<col style="width: 12%" />
<col style="width: 13%" />
<col style="width: 0%" />
<col style="width: 16%" />
<col style="width: 0%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="11"><p><strong>ATTACHMENT A</strong></p>
<p><strong>SURVEY SAMPLE</strong></p></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Sample Group a<u>nd Strata</u></td>
<td colspan="2">Number of <u>Operators</u></td>
<td>Percent of <u>Subscribers</u></td>
<td><p>Sample</p>
<p><u>Size</u></p></td>
<td colspan="2">Number of <u>Responses</u></td>
<td colspan="2"><p>Usable</p>
<p><u>Responses</u></p></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">(A)</td>
<td colspan="2">(B)</td>
<td>(C)</td>
<td>(D)</td>
<td colspan="2">(E)</td>
<td colspan="2">(F)</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><u>Competitive Group</u></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">Local exchange carrier</td>
<td colspan="2">99</td>
<td>60.35%</td>
<td>99</td>
<td colspan="2">96</td>
<td colspan="2">93</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Wireline overbuild</td>
<td colspan="2">45</td>
<td>16.14%</td>
<td>45</td>
<td colspan="2">41</td>
<td colspan="2">40</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">DBS overbuild</td>
<td colspan="2">39</td>
<td>11.67%</td>
<td>39</td>
<td colspan="2">39</td>
<td colspan="2">38</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Low penetration</td>
<td colspan="2">168</td>
<td>10.92%</td>
<td>83</td>
<td colspan="2">80</td>
<td colspan="2">79</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">Municipal</td>
<td colspan="2"><u>17</u></td>
<td><u>0.92%</u></td>
<td><u>17</u></td>
<td colspan="2"><u>16</u></td>
<td colspan="2"><u>16</u></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Total</td>
<td colspan="2">368</td>
<td>100%</td>
<td>283</td>
<td colspan="2">272</td>
<td colspan="2">266</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="6"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><u>Noncompetitive Group</u></td>
<td colspan="2"></td>
<td colspan="6"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">Very large</td>
<td colspan="2">97</td>
<td>22.62%</td>
<td>97</td>
<td colspan="2">97</td>
<td colspan="2">97</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Large</td>
<td colspan="2">170</td>
<td>24.59%</td>
<td>113</td>
<td colspan="2">111</td>
<td colspan="2">111</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">Medium</td>
<td colspan="2">888</td>
<td>33.82%</td>
<td>151</td>
<td colspan="2">148</td>
<td colspan="2">148</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Small</td>
<td colspan="2">2,717</td>
<td>15.63%</td>
<td>71</td>
<td colspan="2">68</td>
<td colspan="2">67</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2">Very small</td>
<td colspan="2"><u>5,917</u></td>
<td><u>3.34%</u></td>
<td><u>40</u></td>
<td colspan="2"><u>35</u></td>
<td colspan="2"><u>34</u></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Total</td>
<td colspan="2">9,789</td>
<td>100%</td>
<td>472</td>
<td colspan="2">459</td>
<td colspan="2">457</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><strong>Grand Total</strong></td>
<td colspan="2">10,157</td>
<td>100%</td>
<td>755</td>
<td colspan="2">731</td>
<td colspan="2">723</td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
</tbody>
</table>
For the data file listing these communities, *see* fcc.gov/csb on the
Internet, *All Cable Communities Registered with the FCC (*updated as of
Feb. 2001). Subscriber data are from Form 325 filings (as of 1994), the
most recent year that subscriber counts are available on a system basis.
Since it is likely that the percentage growth in subscribers has been
fairly evenly distributed across all operators, the 1994 weights serve
as a reasonable approximation of year 2001 weights. Column A shows the
competitive group stratified by competitive test, and the noncompetitive
group by system size. In order to stratify by system size, it was
necessary to know the number of subscribers for each operator.
Consequently, we excluded 822 noncompetitive operators for which we
lacked a subscriber count. These 822 operators, however, are believed to
be similar to other operators in the sample frame, and thus our sampling
frame is representative of all operators. In Column B, an MSO is
considered an operator for each of its systems. For example, an MSO with
10 systems would count as 10 operators in column B. Column C shows the
number of subscribers in each stratum, as a percent of subscribers in
that group nationwide. Column D shows the sample size for each group and
strata. Column E is the number of questionnaires that were returned, and
Column F shows the remaining questionnaires after eliminating those
lacking the requisite 3 years of price data.
We determined the overall sample size for the competitive and
noncompetitive groups by applying a standard statistical formula, which
can be found in B. J. Mandel, S*tatistics for Management* (1984), at
258. Parameters were chosen to include a maximum allowable error of
\$0.49 at a confidence level of 99%, based on standard deviation
calculations using our 2000 Survey data. A non-response factor was added
to account for the ratio of the number of usable surveys to sample size
in the 2000 Survey. We distributed the number of sample selections among
strata, based on the percentages shown in Column C. Adjustments were
made, however, to ensure that each stratum had a sufficient number of
observations for statistical precision. Many of the cable systems
selected for our sample serve more than one community, as identified by
community unit identification codes. For those operators, we randomly
selected one community from each selected system.
.
<table>
<colgroup>
<col style="width: 22%" />
<col style="width: 13%" />
<col style="width: 13%" />
<col style="width: 13%" />
<col style="width: 13%" />
<col style="width: 9%" />
<col style="width: 3%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 12%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="7"><p><strong>ATTACHMENT B-1</strong></p>
<p><strong>AVERAGE MONTHLY RATES AND COMPARISON BETWEEN
GROUPS</strong></p></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><u>Cable Service</u></td>
<td>All Surveyed <u>Operators</u></td>
<td><p>Competitive</p>
<p><u>Group</u></p></td>
<td>Noncompetitive <u>Group</u></td>
<td>Absolute <u>Difference</u></td>
<td colspan="4">Percent <u>Difference</u></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="8"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="8"><strong>July 1, 2001</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>BST</strong></td>
<td>$12.84</td>
<td>$12.43</td>
<td>$12.87</td>
<td>$0.44</td>
<td colspan="4">3.5%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.48</td>
<td>0.56</td>
<td>0.48</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Major CPST</strong></td>
<td>$20.91</td>
<td>$19.23</td>
<td>$21.02</td>
<td>$1.79</td>
<td colspan="4">9.3%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.55</td>
<td>0.84</td>
<td>0.54</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Programming total</strong></td>
<td>$33.75</td>
<td>$31.66</td>
<td>$33.89</td>
<td>$2.23</td>
<td colspan="4">7.0%*</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.37</td>
<td>0.62</td>
<td>0.35</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Equipment</strong></td>
<td>$3.24</td>
<td>$3.27</td>
<td>$3.24</td>
<td>-$0.03</td>
<td colspan="4">-0.9%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.13</td>
<td>0.18</td>
<td>0.13</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Programming and equipment</strong></td>
<td>$36.99</td>
<td>$34.93</td>
<td>$37.13</td>
<td>$2.20</td>
<td colspan="4">6.3%*</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.39</td>
<td>0.69</td>
<td>0.37</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Number of channels</strong></td>
<td>59.37</td>
<td>60.92</td>
<td>59.27</td>
<td>-1.65</td>
<td colspan="4">-2.7%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>1.03</td>
<td>1.45</td>
<td>1.00</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$0.600</td>
<td>$0.551</td>
<td>$0.603</td>
<td>$0.052</td>
<td colspan="4">9.4%*</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.01</td>
<td>0.02</td>
<td>0.01</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>No. of satellite channels</strong></td>
<td>44.88</td>
<td>46.42</td>
<td>44.79</td>
<td>-1.63</td>
<td colspan="4">-3.5%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.89</td>
<td>1.26</td>
<td>0.86</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Rate per satellite channel</strong></td>
<td>$0.801</td>
<td>$0.744</td>
<td>$0.805</td>
<td>$0.061</td>
<td colspan="4">8.2%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.02</td>
<td>0.04</td>
<td>0.02</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="8"><strong>July 1, 2000</strong></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>BST</strong></td>
<td>$12.57</td>
<td>$11.95</td>
<td>$12.62</td>
<td>$0.67</td>
<td colspan="4">5.6%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.50</td>
<td>0.55</td>
<td>0.49</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Major CPST</strong></td>
<td>$18.88</td>
<td>$17.64</td>
<td>$18.95</td>
<td>$1.31</td>
<td colspan="4">7.4%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.54</td>
<td>0.80</td>
<td>0.51</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Programming total</strong></td>
<td>$31.45</td>
<td>$29.59</td>
<td>$31.57</td>
<td>$1.98</td>
<td colspan="4">6.7%*</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.33</td>
<td>0.57</td>
<td>0.31</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Equipment</strong></td>
<td>$2.97</td>
<td>$2.90</td>
<td>$2.97</td>
<td>$0.07</td>
<td colspan="4">2.4%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.11</td>
<td>0.16</td>
<td>0.11</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Programming and equipment</strong></td>
<td>$34.42</td>
<td>$32.49</td>
<td>$34.54</td>
<td>$2.05</td>
<td colspan="4">6.3%*</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.35</td>
<td>0.61</td>
<td>0.33</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Number of channels</strong></td>
<td>56.27</td>
<td>57.47</td>
<td>56.20</td>
<td>-1.27</td>
<td colspan="4">-2.2%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>1.03</td>
<td>1.46</td>
<td>0.97</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$.0.591</td>
<td>$0.551</td>
<td>$0.594</td>
<td>$0.043</td>
<td colspan="4">7.8%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.01</td>
<td>0.02</td>
<td>0.01</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>No. of satellite channels</strong></td>
<td>42.16</td>
<td>43.41</td>
<td>42.09</td>
<td>-1.33</td>
<td colspan="4">-3.1%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.86</td>
<td>1.26</td>
<td>0.83</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Rate per satellite channel</strong></td>
<td>$0.797</td>
<td>$0.751</td>
<td>$0.800</td>
<td>$0.049</td>
<td colspan="4">6.5%</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.02</td>
<td>0.04</td>
<td>0.02</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="even">
<td colspan="8"><strong>July 1, 1999</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>Programming total</strong></td>
<td>$29.71</td>
<td>$27.96</td>
<td>$29.83</td>
<td>$1.87</td>
<td colspan="4">6.7%*</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.31</td>
<td>0.54</td>
<td>0.30</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Number of channels</strong></td>
<td>53.66</td>
<td>54.81</td>
<td>53.59</td>
<td>-1.22</td>
<td colspan="4">-2.2%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.99</td>
<td>1.42</td>
<td>0.99</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$0.587</td>
<td>$0.549</td>
<td>$0.589</td>
<td>$0.040</td>
<td colspan="4">7.3%</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.01</td>
<td>0.02</td>
<td>0.01</td>
<td>--</td>
<td colspan="4">---</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="7"><p>* An asterisk denotes a statistically significant
difference between the competitive and noncompetitive groups.</p>
<p><sup>†</sup> Equals the number of channels divided by the monthly
rate for programming. This average cannot be computed using the numbers
in this Attachment, because the number of channels and the monthly rate
shown are weighted separately.</p></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td colspan="7"><p><strong>ATTACHMENT B-2</strong></p>
<p><strong>AVERAGE MONTHLY RATES, COMPETITIVE GROUP BY
STRATA</strong></p></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><u>Cable Service</u></td>
<td>Wireline <u>Overbuild</u></td>
<td><p>DBS</p>
<p><u>Overbuild</u></p></td>
<td><p>Local Exchange</p>
<p><u>Carrier (LEC)</u></p></td>
<td><p>Low</p>
<p><u>Penetration</u></p></td>
<td colspan="4"><u>Municipal</u></td>
<td></td>
</tr>
<tr class="even">
<td colspan="6"></td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td colspan="6"><strong>July 1, 2001</strong></td>
<td colspan="4"></td>
</tr>
<tr class="even">
<td><strong>BST</strong></td>
<td>$15.09</td>
<td>$11.01</td>
<td>$11.45</td>
<td>$15.42</td>
<td colspan="4">$12.77</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.99</td>
<td>0.39</td>
<td>0.42</td>
<td>0.79</td>
<td colspan="4">1.28</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Major CPST</strong></td>
<td>$16.04</td>
<td>$23.31</td>
<td>$19.85</td>
<td>$17.01</td>
<td colspan="4">$9.50</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>1.52</td>
<td>1.07</td>
<td>0.57</td>
<td>0.97</td>
<td colspan="4">2.10</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Programming total</strong></td>
<td>$31.13</td>
<td>$34.32</td>
<td>$31.30</td>
<td>$32.43</td>
<td colspan="4">$22.27</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>1.10</td>
<td>0.84</td>
<td>0.46</td>
<td>0.54</td>
<td colspan="4">1.12</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Equipment</strong></td>
<td>$2.90</td>
<td>$2.81</td>
<td>$3.73</td>
<td>$1.87</td>
<td colspan="4">$2.08</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.27</td>
<td>0.24</td>
<td>0.14</td>
<td>0.19</td>
<td colspan="4">0.52</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Programming and equipment</strong></td>
<td>$34.03</td>
<td>$37.13</td>
<td>$35.03</td>
<td>$34.30</td>
<td colspan="4">$24.35</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>1.22</td>
<td>1.00</td>
<td>0.51</td>
<td>0.55</td>
<td colspan="4">1.31</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Number of channels</strong></td>
<td>55.98</td>
<td>53.26</td>
<td>65.32</td>
<td>52.94</td>
<td colspan="4">51.38</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>2.42</td>
<td>2.63</td>
<td>0.88</td>
<td>1.74</td>
<td colspan="4">3.02</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$0.587</td>
<td>$0.727</td>
<td>$0.489</td>
<td>$0.663</td>
<td colspan="4">$0.447</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.03</td>
<td>0.05</td>
<td>0.01</td>
<td>0.02</td>
<td colspan="4">0.02</td>
<td></td>
</tr>
<tr class="even">
<td><strong>No. of satellite channels</strong></td>
<td>42.43</td>
<td>39.92</td>
<td>49.73</td>
<td>41.42</td>
<td colspan="4">40.81</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>2.12</td>
<td>2.21</td>
<td>0.78</td>
<td>1.53</td>
<td colspan="4">2.80</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Rate per satellite channel</strong></td>
<td>$0.796</td>
<td>$1.066</td>
<td>$0.647</td>
<td>$0.870</td>
<td colspan="4">$0.571</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.04</td>
<td>0.12</td>
<td>0.02</td>
<td>0.03</td>
<td colspan="4">0.04</td>
<td></td>
</tr>
<tr class="even">
<td colspan="6"><strong>July 1, 2000</strong></td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td><strong>BST</strong></td>
<td>$14.43</td>
<td>$10.98</td>
<td>$10.95</td>
<td>$14.76</td>
<td colspan="4">$12.19</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>1.01</td>
<td>0.40</td>
<td>0.40</td>
<td>0.76</td>
<td colspan="4">1.25</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Major CPST</strong></td>
<td>$14.40</td>
<td>$20.46</td>
<td>$18.39</td>
<td>$16.01</td>
<td colspan="4">$9.23</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>1.44</td>
<td>0.93</td>
<td>0.56</td>
<td>0.95</td>
<td colspan="4">2.07</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Programming total</strong></td>
<td>$28.83</td>
<td>$31.44</td>
<td>$29.34</td>
<td>$30.77</td>
<td colspan="4">$21.42</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.97</td>
<td>0.71</td>
<td>0.44</td>
<td>0.49</td>
<td colspan="4">1.12</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Equipment</strong></td>
<td>$2.62</td>
<td>$2.81</td>
<td>$3.21</td>
<td>$1.80</td>
<td colspan="4">$1.98</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.25</td>
<td>0.24</td>
<td>0.12</td>
<td>0.17</td>
<td colspan="4">0.49</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Programming and equipment</strong></td>
<td>$31.45</td>
<td>$34.25</td>
<td>$32.55</td>
<td>$32.57</td>
<td colspan="4">$23.40</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>1.07</td>
<td>0.85</td>
<td>0.46</td>
<td>0.50</td>
<td colspan="4">1.29</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Number of channels</strong></td>
<td>52.68</td>
<td>46.50</td>
<td>62.41</td>
<td>49.52</td>
<td colspan="4">50.81</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>2.35</td>
<td>2.58</td>
<td>0.95</td>
<td>1.66</td>
<td colspan="4">3.06</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$0.578</td>
<td>$0.761</td>
<td>$0.483</td>
<td>$0.674</td>
<td colspan="4">$0.437</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.03</td>
<td>0.05</td>
<td>0.01</td>
<td>0.03</td>
<td colspan="4">0.03</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>No. of satellite channels</strong></td>
<td>39.82</td>
<td>34.63</td>
<td>47.08</td>
<td>38.08</td>
<td colspan="4">40.44</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>1.95</td>
<td>2.17</td>
<td>0.83</td>
<td>1.48</td>
<td colspan="4">2.81</td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Rate per satellite channel</strong></td>
<td>$0.777</td>
<td>$1.13</td>
<td>$0.645</td>
<td>$0.906</td>
<td colspan="4">$0.558</td>
<td></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td>0.04</td>
<td>0.12</td>
<td>0.02</td>
<td>0.04</td>
<td colspan="4">0.04</td>
<td></td>
</tr>
<tr class="odd">
<td colspan="6"><strong>July 1, 1999</strong></td>
<td colspan="4"></td>
</tr>
<tr class="even">
<td><strong>Programming total</strong></td>
<td>$27.23</td>
<td>$29.63</td>
<td>$27.71</td>
<td>$29.24</td>
<td colspan="4">$20.55</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.94</td>
<td>0.66</td>
<td>0.41</td>
<td>0.45</td>
<td colspan="4">1.14</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Number of channels</strong></td>
<td>50.62</td>
<td>42.63</td>
<td>59.77</td>
<td>47.03</td>
<td colspan="4">49.94</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>2.45</td>
<td>2.30</td>
<td>0.93</td>
<td>1.53</td>
<td colspan="4">2.91</td>
<td></td>
</tr>
<tr class="even">
<td><strong>Rate per channel</strong> <sup>†</sup></td>
<td>$0.578</td>
<td>$0.777</td>
<td>$0.477</td>
<td>$0.672</td>
<td colspan="4">$0.428</td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.03</td>
<td>0.05</td>
<td>0.01</td>
<td>0.03</td>
<td colspan="4">0.03</td>
<td></td>
</tr>
</tbody>
</table>
^†^ Equals the number of channels divided by the monthly rate for
programming. This average cannot be computed using the numbers in this
Attachment, because the number of channels and the monthly rate shown
are weighted separately.
+-----------------+---------+---------+----------+---------+-------+---+---+
| **ATTACHMENT | | | | | | | |
| B-3** | | | | | | | |
| | | | | | | | |
| **AVERAGE | | | | | | | |
| MONTHLY RATES, | | | | | | | |
| NONCOMPETITIVE | | | | | | | |
| GROUP BY | | | | | | | |
| STRATA** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| [Cable | Very | Large | Medi | Small | Very | | |
| Servi | Large | | um-Sized | | Small | | |
| ce]{.underline} | [O | [O | [Operat | [O | [Op | | |
| | perator | perator | ors]{.un | perator | erato | | |
| | s]{.und | s]{.und | derline} | s]{.und | rs]{. | | |
| | erline} | erline} | | erline} | under | | |
| | | | | | line} | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **July 1, | | | | | | | |
| 2001** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **BST** | \$11.36 | \$10.84 | \$12.78 | \$16.36 | \$ | | |
| | | | | | 22.56 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.26 | 0.29 | 0.47 | 0.95 | 1.26 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Major CPST** | \$23.64 | \$23.03 | \$21.09 | \$17.15 | \ | | |
| | | | | | $5.85 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.37 | 0.37 | 0.50 | 0.98 | 1.52 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Programming | \$35.00 | \$33.87 | \$33.87 | \$33.51 | \$ | | |
| total** | | | | | 28.41 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.33 | 0.34 | 0.28 | 0.41 | 0.98 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Equipment** | \$3.76 | \$3.76 | \$3.31 | \$2.00 | \ | | |
| | | | | | $1.03 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.10 | 0.11 | 0.11 | 0.22 | 0.22 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Programming | \$38.76 | \$37.63 | \$37.18 | \$35.51 | \$ | | |
| and equipment** | | | | | 29.44 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.34 | 0.35 | 0.30 | 0.49 | 1.04 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Number of | 66.84 | 63.51 | 59.79 | 45.85 | 34.21 | | |
| channels** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.80 | 0.96 | 0.84 | 1.47 | 2.01 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Rate per | \$0.529 | \$0.545 | \$0.584 | \$0.778 | \$ | | |
| channel** ^†^ | | | | | 0.899 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.01 | 0.01 | 0.01 | 0.02 | 0.04 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **No. of | 48.91 | 47.15 | 46.05 | 36.19 | 26.88 | | |
| satellite | | | | | | | |
| channels** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.68 | 0.77 | 0.73 | 1.37 | 1.79 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Rate per | \$0.726 | \$0.739 | \$0.764 | \$1.026 | \$ | | |
| satellite | | | | | 1.192 | | |
| channel** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.01 | 0.01 | 0.02 | 0.05 | 0.07 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **July 1, | | | | | | | |
| 2000** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **BST** | \$11.12 | \$10.54 | \$12.57 | \$16.23 | \$ | | |
| | | | | | 21.48 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.33 | 0.27 | 0.47 | 0.93 | 1.26 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Major CPST** | \$21.50 | \$21.04 | \$18.89 | \$15.00 | \ | | |
| | | | | | $5.68 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.35 | 0.33 | 0.48 | 0.91 | 1.47 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Programming | \$32.62 | \$31.58 | \$31.46 | \$31.23 | \$ | | |
| total** | | | | | 27.16 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.28 | 0.31 | 0.27 | 0.33 | 0.87 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Equipment** | \$3.45 | \$3.39 | \$3.05 | \$1.88 | \ | | |
| | | | | | $1.00 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.08 | 0.09 | 0.10 | 0.21 | 0.21 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Programming | \$36.07 | \$34.97 | \$34.51 | \$33.11 | \$ | | |
| and equipment** | | | | | 28.16 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.29 | 0.33 | 0.29 | 0.38 | 0.93 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Number of | 63.81 | 60.37 | 56.41 | 43.22 | 32.56 | | |
| channels** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.83 | 0.97 | 0.84 | 1.29 | 1.80 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Rate per | \$0.518 | \$0.536 | \$0.577 | \$0.765 | \$ | | |
| channel** ^†^ | | | | | 0.900 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.01 | 0.01 | 0.01 | 0.02 | 0.04 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **No. of | 46.61 | 44.38 | 42.89 | 33.75 | 25.29 | | |
| satellite | | | | | | | |
| channels** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.68 | 0.77 | 0.71 | 1.23 | 1.63 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Rate per | \$0.711 | \$0.735 | \$.0.764 | \$1.019 | \$ | | |
| satellite | | | | | 1.211 | | |
| channel** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.01 | 0.01 | 0.02 | 0.04 | 0.07 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **July 1, | | | | | | | |
| 1999** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Programming | \$30.68 | \$29.75 | \$29.72 | \$29.68 | \$ | | |
| total** | | | | | 26.34 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.25 | 0.28 | 0.27 | 0.33 | 0.83 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Number of | 61.26 | 57.64 | 53.20 | 41.54 | 32.24 | | |
| channels** | | | | | | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.87 | 0.95 | 0.82 | 1.29 | 1.67 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| **Rate per | \$0.508 | \$0.531 | \$0.579 | \$0.759 | \$ | | |
| channel** ^†^ | | | | | 0.870 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
| Standard error | 0.01 | 0.01 | 0.01 | 0.02 | 0.04 | | |
+-----------------+---------+---------+----------+---------+-------+---+---+
^†^ Equals the number of channels divided by the monthly rate for
programming. This average cannot be computed using the numbers in this
Attachment, because the number of channels and the monthly rate shown
are weighted separately.
<table>
<colgroup>
<col style="width: 18%" />
<col style="width: 2%" />
<col style="width: 14%" />
<col style="width: 0%" />
<col style="width: 13%" />
<col style="width: 5%" />
<col style="width: 16%" />
<col style="width: 0%" />
<col style="width: 16%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 12%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="9"><p><strong>ATTACHMENT B-4</strong></p>
<p><strong>COMPARISION OF AVERAGE MONTHLY RATES</strong></p>
<p><strong>BETWEEN GROUPS BY SYSTEM SIZE</strong></p></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td colspan="3"></td>
<td></td>
<td colspan="3"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><u>System Size</u></td>
<td colspan="2"><p>Competitive</p>
<p><u>Group</u></p></td>
<td colspan="3"><p>Noncompetitive</p>
<p><u>Group</u></p></td>
<td><p>Difference</p>
<p><u>in Averages</u></p></td>
<td colspan="3"><p>Percent</p>
<p><u>Difference</u></p></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="10"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="10"><strong>July 1, 2001</strong></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>Very large and large</strong></td>
<td colspan="2">$35.64</td>
<td colspan="3">$38.17</td>
<td>$2.53</td>
<td colspan="3">7.1%*</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td colspan="2">0.60</td>
<td colspan="3">0.35</td>
<td>--</td>
<td colspan="3">---</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>Medium sized</strong></td>
<td colspan="2">$36.40</td>
<td colspan="3">$34.18</td>
<td>$0.78</td>
<td colspan="3">2.1%</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td colspan="2">0.49</td>
<td colspan="3">0.30</td>
<td>--</td>
<td colspan="3">---</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>Small and very small</strong></td>
<td colspan="2">$31.72</td>
<td colspan="3">$34.45</td>
<td>$2.73</td>
<td colspan="3">8.6%*</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td colspan="2">0.68</td>
<td colspan="3">0.59</td>
<td>--</td>
<td colspan="3">---</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="10"><strong>July 1, 2000</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>Very large and large</strong></td>
<td colspan="2">$33.02</td>
<td colspan="3">$35.50</td>
<td>$2.48</td>
<td colspan="3">7.5%*</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td colspan="2">0.53</td>
<td colspan="3">0.31</td>
<td>--</td>
<td colspan="3">--</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>Medium sized</strong></td>
<td colspan="2">$34.08</td>
<td colspan="3">$34.51</td>
<td>$0.43</td>
<td colspan="3">1.3%</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td colspan="2">0.47</td>
<td colspan="3">0.27</td>
<td>--</td>
<td colspan="3">---</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td><strong>Small and very small</strong></td>
<td colspan="2">$29.83</td>
<td colspan="3">$32.24</td>
<td>$2.41</td>
<td colspan="3">8.1%*</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td>Standard error</td>
<td colspan="2">0.64</td>
<td colspan="3">0.43</td>
<td>--</td>
<td colspan="3">---</td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="9">* An asterisk denotes a statistically significant
difference between competitive and noncompetitive groups.</td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="9"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="9"></td>
<td colspan="2"></td>
<td></td>
</tr>
</tbody>
</table>
<table style="width:100%;">
<colgroup>
<col style="width: 19%" />
<col style="width: 12%" />
<col style="width: 7%" />
<col style="width: 12%" />
<col style="width: 8%" />
<col style="width: 11%" />
<col style="width: 8%" />
<col style="width: 12%" />
<col style="width: 8%" />
<col style="width: 0%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="9"><p><strong>ATTACHMENT B-5</strong></p>
<p><strong>OPERATORS’ EXPLANATION FOR CHANGES IN MONTHLY
RATE</strong></p>
<p><strong>COMPETITIVE AND NONCOMPETITIVE GROUPS</strong></p></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="4"></td>
<td colspan="4"></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="4"><p>Change in Monthly Rate,</p>
<p><u>July 1, 1999 to July 1, 2000</u></p></td>
<td colspan="4"><p>Change in Monthly Rate,</p>
<p><u>July 1, 2000 to July 1, 2001</u></p></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"><u>Competitive Group</u></td>
<td colspan="2"><u>Noncompetitive Group</u></td>
<td colspan="2"><u>Competitive Group</u></td>
<td colspan="2"><u>Noncompetitive Group</u></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><u>Explanation</u></td>
<td>Amount <u>Attributed</u></td>
<td>% of <u>Total</u></td>
<td>Amount <u>Attributed</u></td>
<td>% of <u>Total</u></td>
<td>Amount <u>Attributed</u></td>
<td>% of <u>Total</u></td>
<td>Amount <u>Attributed</u></td>
<td>% of <u>Total</u></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><strong>Cost increases for program licenses</strong></p>
<p><strong>& copyright fees:</strong></p>
<p><strong>existing programs</strong></p></td>
<td>$0.71</td>
<td>43.6%</td>
<td>$0.80</td>
<td>46.0%</td>
<td>$1.05</td>
<td>50.7%</td>
<td>$1.07</td>
<td>46.1%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.07</td>
<td></td>
<td>0.07</td>
<td></td>
<td>0.08</td>
<td></td>
<td>0.07</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><p><strong>Cost increases for program licenses</strong></p>
<p><strong>& copyright fees:</strong></p>
<p><strong>new programs</strong></p></td>
<td>$0.15</td>
<td>9.2%</td>
<td>$0.14</td>
<td>8.0%</td>
<td>$0.29</td>
<td>14.0%</td>
<td>$0.28</td>
<td>12.1%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.05</td>
<td></td>
<td>0.04</td>
<td></td>
<td>0.08</td>
<td></td>
<td>0.06</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>For upgrades to distribution facility and headend plant and
equipment</strong></td>
<td>$0.25</td>
<td>15.3%</td>
<td>$0.25</td>
<td>14.4%</td>
<td>$0.22</td>
<td>10.6%</td>
<td>$0.23</td>
<td>9.9%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.06</td>
<td></td>
<td>0.05</td>
<td></td>
<td>0.07</td>
<td></td>
<td>0.06</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>General inflation unaccounted for elsewhere</strong></td>
<td>$0.20</td>
<td>12.3%</td>
<td>$0.24</td>
<td>13.8%</td>
<td>$0.22</td>
<td>10.6%</td>
<td>$0.34</td>
<td>14.7%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.03</td>
<td></td>
<td>0.03</td>
<td></td>
<td>0.03</td>
<td></td>
<td>0.03</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Other cost increases or decreases</strong></td>
<td>$0.22</td>
<td>13.5%</td>
<td>$0.18</td>
<td>10.3%</td>
<td>$0.19</td>
<td>9.2%</td>
<td>$0.31</td>
<td>13.4%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.07</td>
<td></td>
<td>0.05</td>
<td></td>
<td>0.07</td>
<td></td>
<td>0.07</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Unrelated to cost change</strong></td>
<td>$0.10</td>
<td>6.1%</td>
<td>$0.13</td>
<td>7.5%</td>
<td>$0.10</td>
<td>4.9%</td>
<td>$0.09</td>
<td>3.8%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.04</td>
<td></td>
<td>0.05</td>
<td></td>
<td>0.04</td>
<td></td>
<td>0.05</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>Total change in monthly rate (sum of above)</strong></td>
<td>$1.63</td>
<td>100%</td>
<td>$1.74</td>
<td>100%</td>
<td>$2.07</td>
<td>100%</td>
<td>$2.32</td>
<td>100%</td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Standard error</td>
<td>0.16</td>
<td></td>
<td>0.13</td>
<td></td>
<td>0.20</td>
<td></td>
<td>0.16</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="10"></td>
</tr>
</tbody>
</table>
<table style="width:100%;">
<colgroup>
<col style="width: 24%" />
<col style="width: 17%" />
<col style="width: 3%" />
<col style="width: 14%" />
<col style="width: 3%" />
<col style="width: 14%" />
<col style="width: 6%" />
<col style="width: 10%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="9"><p><strong>ATTACHMENT B-6</strong></p>
<p><strong>AVERAGE MONTHLY CHARGES FOR INSTALLATION OF CABLE SERVICE
(EXCLUDING PROMOTIONS)</strong></p></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="3"></td>
<td colspan="4"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="3">July 1, 2000</td>
<td colspan="4">July 1, 2001</td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><p>Type of</p>
<p><u>Installation</u></p></td>
<td><p>Competitive</p>
<p><u>Group</u></p></td>
<td colspan="2">Noncompetitive <u>Group</u></td>
<td colspan="2">Competitive <u>Group</u></td>
<td colspan="2">Noncompetitive <u>Group</u></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><strong>Unwired installation</strong></td>
<td>$37.95</td>
<td colspan="2">$38.67</td>
<td colspan="2">$41.85</td>
<td colspan="2">$42.41</td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td>Standard Error</td>
<td>1.36</td>
<td colspan="2">1.28</td>
<td colspan="2">0.92</td>
<td colspan="2">0.91</td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><strong>Pre-wired installation</strong></td>
<td>$27.23</td>
<td colspan="2">$27.28</td>
<td colspan="2">$29.44</td>
<td colspan="2">$29.93</td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td>Standard Error</td>
<td>1.28</td>
<td colspan="2">1.20</td>
<td colspan="2">0.93</td>
<td colspan="2">0.87</td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><strong>Service reconnection</strong></td>
<td>$25.10</td>
<td colspan="2">$25.00</td>
<td colspan="2">$26.28</td>
<td colspan="2">$26.75</td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td>Standard Error</td>
<td>0.98</td>
<td colspan="2">1.00</td>
<td colspan="2">0.81</td>
<td colspan="2">0.79</td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td colspan="10"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="10"></td>
<td></td>
</tr>
</tbody>
</table>
+----------------+------+------+-----+-----+------+------+-----+-----+
| **ATTACHMENT | | | | | | | | |
| C** | | | | | | | | |
| | | | | | | | | |
| **AVERAGE | | | | | | | | |
| NUMBER OF | | | | | | | | |
| CHANNELS ON AN | | | | | | | | |
| ANALOG BASIS** | | | | | | | | |
| | | | | | | | | |
| **BY CATEGORY | | | | | | | | |
| OF | | | | | | | | |
| PROGRAMMING** | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | [Com | | | | [No | | | |
| | peti | | | | ncom | | | |
| | tive | | | | peti | | | |
| | Gr | | | | tive | | | |
| | oup] | | | | Gr | | | |
| | {.un | | | | oup] | | | |
| | derl | | | | {.un | | | |
| | ine} | | | | derl | | | |
| | | | | | ine} | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | [Nu | | [ | | [Nu | | [ | |
| | mber | | Ann | | mber | | Ann | |
| | of | | ual | | of | | ual | |
| | C | | C | | C | | C | |
| | hann | | han | | hann | | han | |
| | els] | | ge] | | els] | | ge] | |
| | {.un | | {.u | | {.un | | {.u | |
| | derl | | nde | | derl | | nde | |
| | ine} | | rli | | ine} | | rli | |
| | | | ne} | | | | ne} | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| [Categor | [ | [ | [N | [Pe | [ | [ | [N | [Pe |
| y]{.underline} | July | July | umb | rce | July | July | umb | rce |
| | 2 | 2 | er] | nt] | 2 | 2 | er] | nt] |
| | 000] | 001] | {.u | {.u | 000] | 001] | {.u | {.u |
| | {.un | {.un | nde | nde | {.un | {.un | nde | nde |
| | derl | derl | rli | rli | derl | derl | rli | rli |
| | ine} | ine} | ne} | ne} | ine} | ine} | ne} | ne} |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **BST and | | | | | | | | |
| Major CPST | | | | | | | | |
| Channel | | | | | | | | |
| Lineup** ^†^ | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Local | 10.7 | 10.9 | 0.2 | 1 | 10.5 | 10.7 | 0.2 | 1 |
| broadcast** | | | | .9% | | | | .9% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | .48 | .47 | | | .38 | .37 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **PEG** ^†^ | 1.9 | 2.0 | 0.1 | 5 | 2.2 | 2.3 | 0.1 | 4 |
| | | | | .3% | | | | .5% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.20 | 0.21 | | | 0.18 | 0.19 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Leased | 0.8 | 0.8 | 0.0 | 0 | 0.5 | 0.6 | 0.1 | 20 |
| access** | | | | .0% | | | | .0% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.11 | 0.11 | | | 0.06 | 0.06 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Other | 0.7 | 0.8 | 0.1 | 14 | 0.9 | 0.9 | 0.0 | 0 |
| local** | | | | .3% | | | | .0% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.11 | 0.17 | | | 0.09 | 0.09 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Children's | 2.7 | 2.8 | 0.1 | 3 | 2.5 | 2.6 | 0.1 | 4 |
| satellite** | | | | .7% | | | | .0% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.15 | 0.15 | | | 0.09 | 0.09 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Sports | 3.8 | 3.9 | 0.1 | 2 | 3.3 | 3.5 | 0.2 | 6 |
| satellite** | | | | .6% | | | | .1% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.21 | 0.20 | | | 0.12 | 0.13 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Other | 36.9 | 39.7 | 2.8 | 7 | 36.3 | 38.7 | 2.4 | 6 |
| satellite** | | | | .6% | | | | .6% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 1.47 | 1.53 | | | 0.75 | 0.82 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Total of | 57.5 | 60.9 | 3.4 | 5 | 56.2 | 59.3 | 3.1 | 5 |
| above** | | | | .9% | | | | .5% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 1.45 | 1.46 | | | 1.00 | 0.97 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Other | | | | | | | | |
| Channels** | | | | | | | | |
| ^†††^ | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Devoted to | 11.7 | 11.1 | - | -5 | 11.5 | 10.6 | - | -7 |
| analog | | | 0.6 | .1% | | | 0.9 | .8% |
| service** | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 0.64 | 0.73 | | | 0.42 | 0.44 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Devoted to | 6.7 | 11.3 | 4.6 | 68 | 7.0 | 11.8 | 4.8 | 68 |
| digital | | | | .7% | | | | .6% |
| service** | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 1.06 | 1.08 | | | 0.74 | 0.84 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Total | | | | | | | | |
| Channels** | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Total number | 75.9 | 83.3 | 7.4 | 9 | 74.4 | 81.7 | 7.3 | 9 |
| of channels** | | | | .7% | | | | .8% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| **Total number | 75.9 | 83.3 | 7.4 | 9 | 74.4 | 81.7 | 7.3 | 9 |
| of channels** | | | | .7% | | | | .8% |
+----------------+------+------+-----+-----+------+------+-----+-----+
| | | | | | | | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
| Standard error | 1.84 | 1.80 | | | 1.18 | 1.14 | | |
+----------------+------+------+-----+-----+------+------+-----+-----+
^†^ Excludes CPST tiers beyond the major CPST, as well as premium,
pay-per-view, digital and audio (*e.g.*, music) channels.
^††^ PEG: Public, educational, and governmental.
^†††^ Excludes channels in the BST and major CPST lineup and audio
channels.
+---+--------------------------+-----------------+------------------------+
| | **ATTACHMENT D-1** | | |
| | | | |
| | **REGRESSION RESULTS | | |
| | SHOWING EFFECTS OF | | |
| | COMPETITIVE STATUS,** | | |
| | | | |
| | **MSO AFFILIATION, | | |
| | SYSTEM SIZE, NUMBER OF | | |
| | CHANNELS, AND** | | |
| | | | |
| | **HOUSEHOLD INCOME ON | | |
| | AVERAGE MONTHLY RATES** | | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | [ | [Coefficient^ | |
| | Variable^1^]{.underline} | 2^]{.underline} | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Low penetration dummy | -0.048 | |
| | | | |
| | | (0.015)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | LEC dummy | -0.080 | |
| | | | |
| | | (0.014)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Municipal dummy | -0.249 | |
| | | | |
| | | (0.035)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Overbuild dummy | -0.071 | |
| | | | |
| | | (0.019)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | DBS dummy | 0.050 | |
| | | | |
| | | (0.020)\*\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | MSO dummy | 0.228 | |
| | | | |
| | | (0.026)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Reciprocal of average | -10.795 | |
| | total channels | | |
| | | (0.652)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Log of median household | 0.018 | |
| | income | | |
| | | (0.020) | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Intercept | 3.387 | |
| | | | |
| | | (0.212)\* | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Adjusted R-squared | 0.48 | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Number of observations | 722 | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Impact of LEC systems | 0.077 | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Impact of Overbuild | 0.069 | |
| | Systems | | |
+---+--------------------------+-----------------+------------------------+
| | | | |
+---+--------------------------+-----------------+------------------------+
| | Impact of DBS systems | 0.051 | |
+---+--------------------------+-----------------+------------------------+
> ^1^ Dependent variable is log of average monthly rates. Values for log
> of median household income is from US Department of Commerce, County
> and City Data Book (1994). Values for all other variables are from the
> Survey.
>
> ^2^ standard errors are in parenthesis.
\* Denotes significance at the 1% level.
\*\* Denotes significance at the 5% level.
**ATTACHMENT D-2**
**THREE-STAGE LEAST SQUARES ESTIMATION RESULTS FOR DEMAND, PRICE AND
QUALITY EQUATIONS**
+----------------------+-----------+-----------------+----------------+
| [Vari | Demand | Price Equation: | Quality |
| able^1^]{.underline} | Equation: | | Equation: Log |
| | Log of | Log of Average | of Number [of |
| | Number of | | Channel |
| | | [Monthly | s]{.underline} |
| | [ | Rat | |
| | Subscribe | es]{.underline} | |
| | rs^2^]{.u | | |
| | nderline} | | |
+----------------------+-----------+-----------------+----------------+
| Log of subscribers | | -0.001 | 0.0859 |
| | | | |
| | | (0.014) | (0.007)\* |
+----------------------+-----------+-----------------+----------------+
| Log of average | -2.193 | | |
| monthly rate | | | |
| | (0.768)\* | | |
+----------------------+-----------+-----------------+----------------+
| Log of number of | 3.668 | 0.257 | |
| channels | | | |
| | (0.410)\* | (0.053)\* | |
+----------------------+-----------+-----------------+----------------+
| Log of system | 0.273 | | |
| households passed | | | |
| | (0.036)\* | | |
+----------------------+-----------+-----------------+----------------+
| Log of system | | | 0.363 |
| megahertz | | | |
| | | | (0.029)\* |
+----------------------+-----------+-----------------+----------------+
| Log of MSO | | 0.018 | |
| subscribers | | | |
| | | (0.002)\* | |
+----------------------+-----------+-----------------+----------------+
| Log of system age | 0.268 | 0.017 | |
| | | | |
| | (0.095)\* | (0.017) | |
+----------------------+-----------+-----------------+----------------+
| Log of median | -0.180 | -0.005 | 0.666 |
| household income | | | |
| | (0.303) | (0.026) | (0.036) |
+----------------------+-----------+-----------------+----------------+
| Log of percent urban | 0.229 | | |
| population | | | |
| | (0.047)\* | | |
+----------------------+-----------+-----------------+----------------+
| Log of population | | -0.003 | |
| density | | | |
| | | (0.008) | |
+----------------------+-----------+-----------------+----------------+
| Log of number of | | -0.001 | -0.014 |
| vertically | | | |
| integrated channels | | (0.006) | (0.006)\* |
+----------------------+-----------+-----------------+----------------+
| Digital service | | | 0.053 |
| dummy | | | |
| | | | (0.013)\* |
+----------------------+-----------+-----------------+----------------+
| Internet access | | | 0.017 |
| service dummy | | | |
| | | | (0.013) |
+----------------------+-----------+-----------------+----------------+
| Wireline competition | -0.536 | -0.068 | 0.059 |
| dummy | | | |
| | (0.178)\* | (0.014) | (0.021)\* |
+----------------------+-----------+-----------------+----------------+
| DBS competition | -0.440 | 0.035 | 0.016 |
| dummy | | | |
| | (0.289) | (0.023) | (0.036) |
+----------------------+-----------+-----------------+----------------+
| Constant | -1.452 | 2.31 | 0.248 |
| | | | |
| | (3.446) | (0.240)\* | (0.373) |
+----------------------+-----------+-----------------+----------------+
| Number of | 702 | 702 | 702 |
| Observations | | | |
+----------------------+-----------+-----------------+----------------+
^1^ Data for log of system age variable is from FCC Form 325. We used
data from US Department of Commerce, County and City Data Book (1994)
for median household income, population density, and percent urban
population variables. Data for vertically integrated channels is from
2001 Competition Report at Appendix D, Table D-1. This variable includes
all BST and CPST channels that are vertically integrated. Premium and
pay-per-view channels are not included in the calculation. Values for
all other variables are from the Survey.
^2^ Standard errors are in parenthesis.
\* Denotes significance at the 1% level.
**Notes on Attachment D-2**
1\. Attachment D-2 shows the results of our three-equation structural
model, which describes the relationships among all the variables
included in the model. The endogenous variables (i.e., those variables
the value of which are determined within the model) are functions of
other endogenous variables, predetermined or exogenous variables (i.e.,
variables whose values are determined outside the model), and random
variables. The estimated coefficients express the direct effects of each
explanatory variable (both endogenous and exogenous) on the dependent
variables (i.e., the variable determined by the other variables in the
equation).[^43]
2. We estimated the following three structural equations:
> Demand equation: Log of subscribers = f (log of average monthly rate,
> log of number of channels offered, log of number of system households
> passed, log of system age, log of household median income, log of
> percent urban population, wireline competition dummy, DBS competition
> dummy).
>
> Price equation: Log of average monthly rate = f (log system
> subscribers, log of number of channels offered, log of number of
> subscribers belonging to the MSO of which the operator is a part, log
> of system age, log median household income, log of population density,
> log of number of vertically integrated channels, wireline competition
> dummy, DBS competition dummy).
>
> Quality equation: Log of number of channels = f (log of system
> subscribers, log of system megahertz, log of household median income,
> log of number of vertically integrated channels, digital service
> dummy, Internet access service dummy, wireline competition dummy, DBS
> competition dummy).
3\. The variables included in our model are similar to those used in
previous academic studies.[^44] Several variables, including number of
subscribers, number of channels offered, and average monthly rates,
produce two-way (or simultaneous) relationships. To illustrate, we
believe that demand for cable service is sensitive to changes in average
monthly rates and to the number of channels offered. At the same time,
as demand increases, cable operators may be able to offer more channels
and charge higher rates for their service. To correct for this
simultaneity problem, we chose a three-stage least squares ("3SLS")
procedure.[^45] This procedure uses a three-step method to solve
simultaneous relationships among the variables and to account for any
possible correlation between random variables in the equations. This
technique yields estimates that are asymptotically more efficient than
the two-stage least squares method. However, if the random variables are
independent, then two-stage and three-stage estimators produce similar
results.
4\. As its name implies, 3SLS involves three stages to purge the
simultaneous relationships among the variables and contemporaneous
relationships among the structural equations. In the first stage, we
derive predicted values for each of the explanatory endogenous
variables. These predicted values of the explanatory endogenous
variables are then used to estimate coefficients for each of the
equations, which in turn are used to obtain estimates of the error terms
of the structural equations for the second stage. The third stage
involves use of generalized least-squares estimation of all coefficients
in the system, using a covariance matrix for the error terms of the
structural equations that are estimated from the second-stage.[^46]
5\. The estimated coefficients shown in the table above were derived
using the procedure described above. The predicted values used in the
second stage were estimated in separate "first stage" regressions of the
log of number of subscribers, average monthly rates, and number of
channels on a set of instrument variables, which served as independent
variables in the equations. The instrument variables included all the
predetermined variables, including log of number of system households
passed, log of system age, log of household median income, log of
percent urban population, wireline competition dummy, DBS competition
dummy, log of population density, log of number of vertically integrated
channels, log of number of MSO subscribers, digital tier dummy, Internet
access service dummy, and log of system megahertz.
[^1]: Section 623(k) was adopted as Section 3(k) of the 1992 Cable Act,
Pub. L. No. 102-385, 106 Stat. 1460, codified at 47 U.S.C. §
543(k)*.*
[^2]: *See* 47 U.S.C. § 543(k). The 1992 Cable Act defines basic cable
service as the tier of service that includes the retransmission of
local television broadcast signals. *See* 7 U.S.C. § 543(b)(7).
Cable programming service is defined as any video programming other
than video programming carried on the basic service tier, and video
programming offered on a per channel or per program basis. *See* 47
U.S.C. § 543(k)(1)(2). Equipment refers to a converter box, remote
control, and other equipment necessary to access programming. *See*
47 U.S.C. § 543(b)(3).
[^3]: Effective competition exists where a multichannel video
programming distributor ("MVPD") meets one of four tests within its
franchise area: (1) fewer than 30% of households subscribe to the
service of the cable system (herein referred to as the "low
penetration test"); (2) at least two MVPDs serve 50% or more of
households and at least 15% of those households take service other
than from the largest MVPD (the "overbuild test"); (3) a municipal
MVPD offers service to at least 50% of households (the "municipal
test"); or (4) a local exchange carrier ("LEC") or its affiliate (or
any MVPD using the facilities of the LEC or its affiliate) offers
video programming service (other than direct broadcast satellite
("DBS") service) comparable to the service of an unaffiliated MVPD
(the "LEC test"). *See* 47 U.S.C. § 543(1)(1)(A-D).
[^4]: For the results of previous surveys, *see* *Implementation of
Section 3 of the Cable Television Consumer Protection and
Competition Act of 1992, Statistical Report on Average Prices for
Basic Service, Cable Programming Services, and Equipment*, 16 FCC
Rcd 4346 (2001); *Implementation of Section 3 of the Cable
Television Consumer Protection and Competition Act of 1992,
Statistical Report on Average Prices for Basic Service, Cable
Programming Services, and Equipment*, 15 FCC Rcd 10927 (2000);
*Implementation of Section 3 of the Cable Television Consumer
Protection and Competition Act of 1992, Statistical Report on
Average Prices for Basic Service, Cable Programming Services, and
Equipment*, 14 FCC Rcd 8331 (1999); *Implementation of Section 3 of
the Cable Television Consumer Protection and Competition Act of
1992, Statistical Report on Average Prices for Basic Service, Cable
Programming Services, and Equipment*, 12 FCC Rcd 22756 (1997);
*Implementation of Section 3 of the Cable Television Consumer
Protection and Competition Act of 1992, Statistical Report on
Average Prices for Basic Service, Cable Programming Services, and
Equipment*, 12 FCC Rcd 3239 (1997); *Report on the Cable Services
Bureau's Survey on the Rate Impact of the Federal Communications
Commission's Revised Rate Regulations*, 9 FCC Rcd 5484 (1994);
*Implementation of Sections of the Cable Television Consumer
Protection and Competition Act of 1992: Rate Regulation*, 9 FCC Rcd
4119 (1994) ("*Benchmark Order*"); *Implementation of Sections of
the Cable Television Consumer Protection and Competition Act of
1992: Rate Regulation*, 8 FCC Rcd 5631 (1994).
[^5]: Pursuant to 47 U.S.C. § 543(k), the Commission directed cable
operators, selected as part of a random sample representative of the
industry, to respond to certain data requests. *See Implementation
of Section 3 of the Cable Television Consumer Protection and
Competition Act of 1992*, *Statistical Report on Average Prices for
Basic Service, Cable Programming Services, and Equipment*, 16 FCC
Rcd 10749 (2001).
[^6]: Cable operators are not subject to rate regulation in franchise
areas where the Commission has made a finding of effective
competition. In other franchise areas, local communities may
continue to have the authority to regulate the rates of the basic
service tier and equipment. *See* 47 U.S.C. § 543(l)(2).
[^7]: *See* fn. 3, *supra*.
[^8]: The term "service tier" means a cable service for which the
operator charges a separate rate. *See* 47 U.S.C. § 522(l7). The
"major" CPST tier typically meets two criteria: (1) offers the most
number of channels among the CPST tiers, and (2) has the highest
number of subscribers among the CPST tiers.
[^9]: Most subscribers (89%) take both BST and the major CPST; the
remaining 11% take BST service only.
[^10]: Installation charges represent one-time charges in contrast to
monthly charges.
[^11]: We calculated average monthly rate per channel equal to average
monthly rate divided by number of channels. Ideally, when
calculating price changes, we would like to take into account
changes in the quantity and quality of service provided. In the case
of cable rates, however, that is difficult to do because there is no
readily available measure of service and programming quality. Both
the quantity and quality of services provided have changed
significantly in recent years as cable operators have upgraded their
systems' capacity. Increased system capacity, typically, results in
additional channels of service and may also result in improved
signal quality, improved system reliability and the provision of new
services. We report average monthly rates on a per channel basis as
a proxy for quality adjusted price changes.
[^12]: Throughout this report, there is only a slight difference, if
any, in the overall average and the average for the noncompetitive
group. This is because the group of operators that have received a
specific Commission "effective competition" finding represents a
relatively small group of cable operators, and thus there is only a
slight effect from this group on the overall average. We estimate
that competitive and noncompetitive operators serve, respectively,
approximately 6% and 94% of cable households nationwide.
[^13]: Operator is defined for this report on a system basis. For
example, if a multiple system operator ("MSO") has 10 cable systems,
that MSO is considered to be 10 operators for the purpose of this
report.
[^14]: For a general explanation of stratified sampling methodology,
*see* G. W. Snedecor and W. G. Cochran*,* Statistical Methods
434-59, 7^TH^ ed. (1980). A positive correlation exists between
system size and the monthly rate for cable service. Using
statistical analysis of data from the year 2000 survey, we
stratified noncompetitive cable systems prior to selecting the
sample according to size thresholds that yielded relatively uniform
rates within each stratum.
[^15]: We subdivided the operators meeting the overbuild test into two
subgroups \-- wireline overbuild and DBS overbuild.
[^16]: To be included in the statistical analysis, respondents must have
provided the average monthly rate and number of channels offered as
of July 1999, 2000, and 2001.
[^17]: Kagan World Media, *Kagan's 10-Year Cable TV Industry
Projections,* Broadband Cable Financial Databook 2001, (July 2001)
at 10.
[^18]: The value of cable services can be measured in various ways. Some
analysts have suggested that the average number of channels (or
satellite channels) received by subscribers, along with their
respective per channel rates, are an appropriate measure of value.
Alternatively, others have suggested that subscribers may not
similarly value an increase in the number of channels as more
channels are added, and thus the additional channels may have a
declining marginal value. Because of the difficulty of obtaining
consumer valuation data, our Survey did not seek information on how
consumers value the channels on the BST and CPST tiers they receive,
or how they would value those tiers if given the option of receiving
fewer channels or different channels than those offered.
[^19]: The use of statistics as an analytical tool is a way of
estimating the unknown characteristics of a population by examining
a random sample selected from that population. The monthly rates we
calculate from our samples probably do not match exactly the average
monthly rate for the entire population of cable operators, even
though our samples are representative. Rather, the average monthly
rate for the entire population falls within a range around our
sample's reported average. This range is bounded by the sample
average plus or minus 1.955 multiplied by the standard error of our
estimated average. This gives us a "95.5% confidence interval." If,
for example, a sample's average monthly rate is \$35.00 and the
standard error is \$0.50, we estimate that the true average monthly
rate is between \$34.02 and \$35.98 with 95.5% probability. We
arrive at \$34.02, the lower end of the range, by subtracting 1.955
x \$0.50 from \$35.00, and we arrive at \$35.98, the higher end of
the range, by adding 1.955 x \$0.50 to \$35.00. We report the
standard errors for the estimated averages in the Attachments. *See*
J. Kmenta, Elements of Econometrics 70-153 (1971) for a further
explanation of sampling techniques.
[^20]: These weighted averages could be calculated by several methods.
In the method we use, the weighted average for each group equals the
sum of the average monthly rate calculated for each stratum times
the percent of subscribers in that stratum. For further information
on methods of calculating weighted averages, *see* W. E. Deming,
Some Theory of Sampling 135-211 (1950).
[^21]: The LEC stratum consists of both the incumbent cable operators
who competed with an affiliate of a LEC at the time that a finding
of effective competition was made and the LEC affiliate. The other
strata, except for the DBS stratum, similarly consist of the
incumbent cable operator as well as the relevant competitor. The DBS
stratum includes only the incumbent because monthly rates of the DBS
competitor are not part of the Survey. Most of the operators
represented by the LEC stratum are incumbent operators. Only a small
percentage (about 20%) of the operators belonging to this stratum
are new entrants, which are either LEC affiliates or former LEC
affiliates in cases where the LEC may have sold these operations
subsequent to the finding of effective competition.
[^22]: We combined the averages for the competitive and noncompetitive
groups using a weight of 6.1% for the competitive group and 93.9%
for the noncompetitive group. *See* Attachment A for information on
data used to compute those weights.
[^23]: In all tables, a 5% level is used to denote statistical
significance.
[^24]: Because the average monthly rate per channel is a
weighted-average, a direct division of the average monthly rate by
the average number of channels does not yield the average monthly
rate per channel.
[^25]: *See* www.bls.gov/cpi/#data for information on the CPI series.
[^26]: BLS bases the cable CPI on a survey of items on consumers'
monthly cable bills, including premium services (i.e.,
pay-per-program services) and installation costs, which are not
included in our monthly average. When an item shows a significant
change in price, BLS attempts to make a quality adjustment. BLS may
increase or decrease the observed price of an item, depending on
whether the change deteriorated or improved the quality of the
particular product or service in question. In the case of cable
service, the addition of channels is perceived, in most cases, as an
improvement in quality. For a further discussion of BLS methodology,
*see* www.bls.gov/cpi/fact9.htm.
[^27]: These percentages refer to the percentage of cable systems
offering these services, and not the percentage of U.S. households
passed.
[^28]: Services on digital tiers are separate from BST and CPST. Charges
for digital tier service were not included in the calculation of
average monthly rates that serve as the focus of this report.
[^29]: *See Benchmark Order,* 9 FCC Rcd 4119 at Appendix C (1994).
[^30]: We found that some of the variables used in the benchmark
analysis were not statistically significant in our analysis and thus
are not shown in Attachment D-1.
[^31]: The benchmark analysis found a similar, although smaller,
difference and attributed this difference in average rates to
possible cost differences or differences in the quality of service
(or other non-price dimensions of the product offering) between
multiple system operators and single system operators. *See*
*Benchmark Order* at Appendix C.
[^32]: For a further explanation of this potential bias, s*ee*
*Benchmark Order*, 9 FCC Rcd 4119 at Appendix C.
[^33]: *See, e.g.,* R. N. Rubinovitz, *Market Power and Price Increases
for Basic Cable Service since Deregulation,* Rand Journal of
Economics 10 (Spring 1993) ("Rubinovitz"); J. W. Mayo and Y. Otsuka,
*Demand, Pricing, and Regulation: Evidence from the Cable TV
Industry,* Rand Journal of Economics 405 (Autumn 1991) ("Mayo and
Otsuka"); T. Chipty, *Horizontal Integration for Bargaining Power:
Evidence from the Cable Television Industry*, Journal of Economics
and Management Strategy 385 (Summer 1995); G. S. Ford and J. D.
Jackson, *Horizontal Concentration and Vertical Integration in the
Cable Television Industry,* Review of Industrial Organization 507
(1997) ("Ford and Jackson"). These studies examined a variety of
factors that influence the demand, price, and quality of cable
service, and our model uses similar factors. For a description of
other equally valid approaches, *see* R. W. Crandall and H.
Furchtgott-Roth, Cable TV Regulation or Competition, the Brookings
Institution (1996) at Appendix B.
[^34]: According to a well-established economic theory related to
consumer demand, substitutability of a product or service depends
upon the level of responsiveness of the quantity demanded to changes
in price for that good. The responsiveness of the quantity demanded
to changes in price of the good is known as "price elasticity of
demand." For example, the price elasticity of demand for cable
services would measure the effects of changes in average monthly
cable rates on the demand for cable services assuming that all other
factors, such as the number of channels offered, were held constant.
Another such parameter is income elasticity of demand. Income
elasticity is defined as the responsiveness of demand for a
particular good or service to changes in household income. *See* C.
E. Ferguson and J. P. Gould, Microeconomic Theory 4^TH^ ed., (1975).
[^35]: *See, e.g.*, Ford and Jackson; and D. Waterman and A. A. Weiss,
Vertical Integration in Cable Television, MIT Press and AEI Press
136-7 (1997).
[^36]: The degree of vertical integration is measured by the number of
BST and major CPST channels which are devoted to the carriage of
programming networks in which the operator has an ownership
interest. Data for the number of channels devoted to the carriage of
vertically affiliated networks is from the 2001 Competition Report,
at Appendix D, Table D-1. We also considered an alternative method
for measuring the degree of vertical integration. This method, which
involved identifying whether or not the operator has an affiliation
with a programming network, produced similar results.
[^37]: A price elasticity estimate of less than one is referred to as
"inelastic." Conversely, an elasticity estimate of more than one is
considered "elastic." Recent econometric estimates of the price
elasticity of demand for cable service range from 2.41 to 3.22.
*See, e.g.,* Ford and Jackson; and General Accounting Office, *The
Effects of Competition from Satellite Providers on Cable Rates* 30
(2000) ("GAO Report").
[^38]: Throughout the analysis, a 5% level is used to denote statistical
significance.
[^39]: As explained above, the operators meeting the criteria for this
subgoup include only those who have filed a petition seeking a
finding of effective competition with the Commission and where the
Commission has made such a finding. There may be other operators,
however, who could meet the criteria for effective competition, but
who have not filed a petition with the Commission. In 30 states, for
example, DBS penetration has reached an average level of more than
20% (*see* *Annual Assessment of the Status of Competition in
Markets for Delivery of Video Programming,* at ¶ 58, FCC 01-389,
released Jan. 14, 2002 ("2001 Competition Report")). In those
states, there are most likely a number of operators who would be
able to meet the test for effective competition based on overbuild
status (50% of homes passed and 15% penetration by a competitor),
but who have not filed a petition with the Commission seeking such a
finding.
[^40]: *See, e.g.,* GAO Report; and W. M. Emmons and R. A. Prager, *The
Effects of Market Structure and Ownership on Prices and Service
Offerings in the U.S. Cable Television Industry*, Rand Journal
732-50 (Winter 1997) for similar findings.
[^41]: For example, the demographics of the various areas served by
operators may differ in a consistent manner.
[^42]: This may be due to the possibility that vertically integrated
systems are using a larger proportion of their channel capacity than
non-vertically integrated systems for services other than the BST
and major CPST, the measure of channel capacity used in our model.
For example, our model does not include premium or pay-per-view
services. Results from a recent academic study show that the number
of channels offered tends to vary depending on the type of networks
with which the operator is vertically integrated (a refinement not
included in our analysis). According to this study, which was based
on pre-1992 data, operators vertically integrated with the owners of
networks carried on BST and CPST tend to offer an increased number
of both CPST and premium channels. Those operators that are
vertically integrated with the owners of premium service networks
tend to offer fewer CPST and premium channels. *See* T. Chipty,
*Vertical Integration, Market Foreclosure, and Consumer Welfare in
the Cable Television Industry,* American Economic Review 436 (July
2001).
[^43]: *See* R. C. Mittelhammer, G. G. Judge, and D. J. Miller,
Econometric Foundations 446-95 (2000) ("Mittelhammer") for a further
discussion of this methodology.
[^44]: Previous studies using similar sets of independent variables
include Rubinovitz; Mayo and Otsuka; Chipty; and Ford and Jackson.
[^45]: In ideal terms, we would prefer that all influences captured in a
demand equation go in one direction only, i.e., influences should go
from the independent variables to the dependent variable. In this
case, the influences go in both directions. In economic terms, this
is called "simultaneity." Failure to deal with this problem will
result in biased estimations of the demand function.
[^46]: For a further explanation of this technique, *see* Mittelhammer.
| en |
converted_docs | 061154 | **Before the**
**FEDERAL COMMUNICATIONS COMMISSION**
**Washington, D.C. 20554**
In re Application of )
)
LAKESIDE TELECOMMUNICATIONS, INC. ) File No. BPED-20000314ABN
) Facility ID No. 36428
)
For a Construction Permit to Modify )
NCE Class D Station WSSD(FM) )
at Chicago, Illinois )
# MEMORANDUM OPINION AND ORDER
**Adopted: December 28, 2004** **Released: January 5, 2005**
By the Commission:
1\. The Commission has before it the January 15, 2003, Application for
Review filed by Lakeside Telecommunications, Inc. ("Lakeside"), licensee
of noncommercial educational FM ("NCE FM") Class D Station WSSD(FM),
Chicago, Illinois and applicant for a construction permit to modify the
WSSD facilities. Lakeside seeks review of a January 3, 2003, Media
Bureau ("Bureau") decision ("Reconsideration Decision")[^1] denying
reconsideration of the July 31, 2001, staff action dismissing the
modification application ("Letter Decision").[^2] For the reasons
discussed below, we deny the Application for Review.
2\. **Background.** The Commission initially licensed Class D NCE FM
stations to serve limited areas with low-powered facilities.[^3] Over
time, concerns arose about the increasing demand for NCE FM spectrum and
the inherent inefficiencies of licensing 10-watt Class D stations. In
1978 the Commission concluded that the continued licensing of these
stations could impede the development of the emerging NCE FM radio
service.[^4] The *NCE FM Order* required Class D stations to migrate to
the non-reserved portion of the FM band or to Channel 200, where they
would be considered secondary operations. If neither of these options
was available however, a Class D station was required to move to a
reserved band channel with "the least preclusionary impact on other
potential stations."[^5] In addition, the Commission ended Class D
stations' protection against interference and imposed a permanent freeze
on the filing of applications for new Class D facilities. The rules
adopted in this proceeding also provided for exemption from these
relocation directives if the Class D station modified its facility to at
least the minimum Class A level of 100 watts ERP.[^6] Stations were
given until January 1, 1980, to file the necessary application to
upgrade their facilities to Class A status. WSSD did not file an
application for Class A facilities at that time.
3\. WSSD(FM) is currently licensed to operate on channel 201D (88.1 MHz)
with an ERP of 10 watts. On March 14, 2000, Lakeside filed the
above-referenced application to increase power to 240 watts and to
change WSSD(FM)'s status to a Class A station. The application was
accompanied by a request for waiver of Section 73.509 of the
Commission's rules[^7] because, as proposed, WSSD(FM) would receive
pervasive prohibited contour overlap from each of two co-channel
stations, WCRX(FM), Chicago, Illinois and WBMF(FM), Crete, Illinois.[^8]
With the exception of a small area falling entirely over water, WSSD's
proposed 60 dBu contour would be completely encompassed by WBMF's 40 dBu
interfering contour. Similarly, WCRX's 40 dBu contour would overlap 86
percent of the proposed WSSD service area. In its Letter Decision, the
staff concluded that Lakeside had failed to provide sufficient support
to justify a waiver of the Commission's core NCE technical rules and
dismissed Lakeside's application for failure to comply with Section
73.509(a), (b), and (d).[^9] Lakeside sought and the staff denied
reconsideration. The Bureau noted that the Commission has consistently
held that, absent compelling facts and circumstances, enhanced service
cannot overcome the longstanding prohibition against destructive
co-channel signal contour overlap.[^10]
4\. **Discussion.** When an applicant seeks waiver of a rule, its burden
is to plead with particularity the facts and circumstances which warrant
such action.[^11] Thus, an applicant for waiver "faces a high hurdle
even at the starting gate."[^12] While the Commission must consider
carefully all waiver requests, such requests must be supported by a
compelling showing in order to be granted.[^13] "A waiver is appropriate
only if special circumstances warrant a deviation from the general rule
and such deviation will serve the public interest."[^14] In its
Application for Review, Lakeside reiterates its assertion that there are
compelling reasons for waiver of Section 73.509 of the Commission's
rules to allow Station WSSD(FM) to upgrade to a Class A facility and
receive prohibited interference. In support of its request, Lakeside
claims that its proposal would increase the WSSD(FM) service area, would
allow it to continue to provide minority programming, and would not
create any undesirable precedent.[^15] We agree with the Bureau and find
waiver of Section 73.509 unwarranted on the facts of this case.
5\. Lakeside argues that grant of its Class A application will increase
the area served from 20 square kilometers to 50 square kilometers and
will increase the population served from 92,791 persons to 228,822
persons.[^16] According to Lakeside, almost all of these persons are
African-American residents of Chicago's inner city, and the station is
programmed and will continue to be programmed to cater specifically to
their needs.[^17] The Commission has consistently held, however, that
enhanced service cannot overcome the longstanding prohibition against
increases in harmful signal contour overlap,[^18] absent compelling
facts and circumstances.[^19] Here, Lakeside has made no showing that
the benefits of increased coverage outweigh the detriment of the nearly
100 % interference that will be received. Lakeside has also not shown
that the proposed gain area is underserved. When faced with a choice
between increased coverage on one hand, and lesser but adequate coverage
without prohibited interference on the other, the Commission favors the
latter.[^20] It is also well established that the Commission will not,
absent extraordinary circumstances, waive core technical rules based
upon ownership or programming considerations.[^21] Neither the pledge of
particular program offerings, nor the specific audience demographic of
Station WSSD(FM), justifies waiver of the Commission's interference
protection rules.
6\. As additional support for waiver, Lakeside contends that, since
grant of the application will not cause interference to any other
stations,[^22] Section 73.509 can be waived without creating undesirable
precedent. We reject this contention. The Commission's policy with
regard to prohibited NCE received overlap is well settled. Since 1981,
the Commission has delegated authority to staff to waive Section 73.509
"*when warranted*, provided such \[received\] interference did not
exceed roughly five percent of the proposed service area."[^23] A decade
later the Commission elaborated on this policy in *Educational
Information Corporation*, noting that this delegation "did not . . .
nullify the longstanding prohibition against occurrences of harmful
overlap, including overlap received."[^24] In so doing, it reaffirmed
the principle that Section 73.509 is designed both to prevent each NCE
station from causing harmful interference to other NCE stations and to
ensure interference-free service within each NCE station's own service
contour. The WSSD(FM) proposal is in fundamental conflict with this
policy. As Lakeside concedes, only 50 square kilometers of the 110
square kilometers within the station's protected service area would
enjoy interference-free service.
7\. In *EIC,* the Commission also reexamined the Section 73.509 waiver
policy. It explicitly rejected any relaxation of this policy for "more
serious" co- and first adjacent channel interference that can result in
the loss of service over a wide area. Thus, the Lakeside proposal is in
fundamental conflict with established Commission precedent. Grant of the
Lakeside application would turn this core technical requirement on its
head by authorizing a Class A station that would receive nearly 100
percent co-channel overlap from two other stations. We note, however,
that dismissal of the Lakeside application will not preclude WSSD from
continuing its present operation, nor does it preclude Lakeside from
filing a technically viable proposal using any non-interfering
channel.[^25]
8\. As a final matter, Lakeside claims that grant of this application
will correct an "historical anomaly."[^26] According to Lakeside, a 1983
renewal challenge engendered substantial confusion at the station and
caused it to miss the previously provided Class D filing period. In the
*NCE FM Order*, the Commission provided Class D stations with generous
opportunities to enable continued operation.[^27] For example, Class D
stations were given the opportunity to upgrade to Class A operations. To
benefit from this offer, Class D stations needed only to have filed the
requisite construction permit application by January 1, 1980. WSSD(FM)
did not avail itself of this opportunity and has not explained why a
renewal challenge raised more than three years after this filing
deadline has relevance to its failure to timely pursue this potential
relief. Moreover, Lakeside has not attempted to demonstrate that it had
any viable technical option to upgrade to Class A status or that the
Commission approved similarly defective technical proposals filed by the
January 1, 1980, deadline. We decline to grant WSSD's untimely request
for relief that would be well beyond that afforded any other Class D
station.
9\. **Conclusion.** For the foregoing reasons, Lakeside's Application
for Review **IS DENIED**.
FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch
Secretary
[^1]: *Letter to Lakeside Telecommunications, Inc.* (MB Jan. 3, 2003).
[^2]: *Letter to Lakeside Telecommunications, Inc.*, Ref. No. 1800B3-AED
(MMB July 31, 2001).
[^3]: Unlike other FM stations whose facilities are based on an
effective radiated power ("ERP") and a computed figure for height
above average terrain, Class D stations were allowed 10 watts
transmitter power output and were assumed to have an antenna height
not exceeding 100 feet. *Changes In The Rules Relating To
Noncommercial Educational FM Broadcast Stations, Second Report and
Order*, 69 F.C.C.2d 240, 242 n.6 (1978) ("*NCE FM Order*"). *See* 47
C.F.R. § 73.506(a)(1).
[^4]: *NCE FM Order*, 69 F.C.C.2d at 244-51; *see also Notice of
Inquiry*, 5 F.C.C.2d 587, 588-89 (1966).
[^5]: *NCE FM Order*, 69 F.C.C.2d at 249.
[^6]: *See generally* 47 C.F.R. § 73.512.
[^7]: Lakeside Petition for Waiver and For Acceptance and Grant, dated
March 14, 2000.
[^8]: A station would "receive" prohibited co-channel overlap when it
proposes new or modified facilities that would result in an overlap
of the proposed station's 60 dBu contour and the 40 dBu contour of a
nearby co-channel station. *See* 47 C.F.R. § 73.509.
[^9]: 47 C.F.R. § 73.509(a), (b), (d).
[^10]: *See City of Atlanta (WABE-FM)*, 82 F.C.C.2d 125 (1980) (Section
73.509 waiver denied based on level of interference received from
both co-channel and third adjacent channel stations).
[^11]: *See Columbia Communications Corp. v. FCC*, 832 F.2d 189, 192
(D.C. Cir. 1987) (citing *Rio Grande Family Radio Fellowship, Inc.
v. FCC*, 406 F.2d 644, 666 (D.C. Cir. 1968) (per curiam)).
[^12]: *WAIT Radio v. FCC*, 418 F.2d 1153, 1157 (D.C. Cir. 1969) ("*WAIT
Radio*").
[^13]: *Greater Media Radio Co., Inc.,* 15 FCC Rcd 7090 (1999) (citing
*Stoner Broadcasting System, Inc*., 49 F.C.C.2d 1011, 1012 (1974))
("*Greater Media*").
[^14]: *Northwest Cellular Telephone Co. v. F.C.C.*, 897 F.2d 1164, 1166
(D.C. Cir. 1990) (citing *WAIT Radio*, 418 F.2d at 1157).
[^15]: Lakeside contends that this is a unique situation because Station
WSSD(FM) is a Class D station operating in a very crowded urban
environment in Chicago, Illinois. Over time, Lakeside argues, other
NCE FM allotments have been made and now the station is in danger of
"becoming extinct." Lakeside Application for Review at 5.
[^16]: *Id.* This analysis impermissibly relies on the
"undesired-to-desired" signal strength ratio method rather than the
applicable contour overlap standards. *See infra* note 23.
[^17]: Lakeside Application for Review at 7.
[^18]: *See, e.g., Greater Media,* 15 FCC Rcd at 7101-7102; *City of
Atlanta (WABE-FM)*, 82 F.C.C.2d at 127.
[^19]: *City of Atlanta (WABE-FM)*, 82 F.C.C.2d at 127 (denying overlap
waiver when service to community of license is adequate and gain
area is well served); *Open Media Corp.*, 8 FCC Rcd 4070, 4071
(1993) (upholding staff action denying a § 73.509(a) waiver request
where applicant failed to show that service to the community of
license was deficient).
[^20]: *See City of Atlanta (WABE-FM)*, 82 F.C.C.2d at 127.
[^21]: *Open Media Corp.*, 8 FCC Rcd at 4071(citing U.S.C. § 303(f)).
[^22]: Lakeside Application for Review at 8.
[^23]: *Delegation of Authority to the Chief of the Broadcast Bureau to
Waive Small Amounts of Interference Received by Non-Commercial
Educational FM Proposals,* 49 R.R.2d 1524 (1981) (emphasis added).
The Commission replaced this signal strength ratio methodology with
a contour overlap standard in 1985. *Changes In The Rules Relating
To Noncommercial Educational FM Broadcast Stations, Memorandum
Opinion and Order,* MM Docket No. 20735, 50 Fed.Reg. 27954 (July 9,
1985) ("*1985 Order*"). The signal strength ratio method served to
identify the area in which the quality of service was predicted to
fall below the minimally acceptable level. The contour overlap
method identifies not only the area in which quality of service
falls below the minimally acceptable level, but also the larger area
in which the quality of service is predicted to be better than
minimally acceptable overall, but nonetheless may be diminished for
some listeners. *See Board of Education of City of Atlanta
(WABE-FM)*, 11 FCC Rcd 7763, 7764 n.1 (1996). The *1985 Order* also
modified the Bureau's delegated authority to grant waivers to
conform to this new methodology. Specifically, such authority is now
limited to 10 % "overlap" received compared to 5 % "interference"
received under the old policy. *1985 Order,* 50 Fed. Reg. at
27959-27960.
[^24]: *Educational Information Corp.*, 6 FCC Rcd 2207, 2208 (1991)
("*EIC*").
[^25]: *See* 47 C.F.R. § § 73.506(b); 73.512(d). *See also Quinnipiac
College*, 8 FCC Rcd 6285, 6286 (1993) ("If Class D FM stations . . .
are unable to . . . comply with applicable Commission rules, they
may remain as secondary Class D FM stations and continue to provide
the service they have always provided unless and until it causes
interference to another primary NCE station.").
[^26]: Lakeside Application for Review at 8.
[^27]: *See* *supra* para. 2.
| en |
converted_docs | 313104 | **Connecticut WIC Program**
**Customer Service Training**
**Module One Workbook**
Developed by Learning Dynamics
2003
{width="3.7in" height="1.6472222222222221in"}
This project has been funded at least in part with Federal funds from
the U.S. Department of Agriculture, Food and Nutrition Service, under a
Fiscal Year 2001 WIC Special Project Grant. The contents of this
publication do not necessarily reflect the view of policies of the U.S.
Department of Agriculture, nor does mention of trade names, commercial
products, or organizations imply endorsement by the U.S. Government.
*How I Expect to be Treated as a Customer*
***CUSTOMERS\' RANKING OF SERVICE SKILLS***
######### Some years ago a survey of over thirteen hundred customers asked them to rank by importance nine customer service skills. The following are the results.
1\. Is Prepared.
2. Makes Customers Feel Important.
3. Listens and Responds to Customer Feelings.
4. Meets or Exceeds Customer Needs.
5. Follows Through.
6. Makes Sure Customer is Satisfied.
7. Acknowledges the Customer.
8. Clarifies Details.
9. Asks for Ideas and Offers Suggestions.
####### *WHAT CUSTOMERS EXPECT WHEN THINGS GO WRONG*
A Study some years ago surveyed customers who had experienced recent
service breakdowns. They were asked what they experienced as positive
from companies when they experienced a service breakdown.
> 1\. Dealt With My Being Upset.
2\. Apologized.
3. Didn\'t Become Defensive.
4. Showed Humility and Poise.
5. Followed Up After Complaint.
6. Showed Skill at Problem Solving.
7. Proactive in Admitting Organization's Error.
8. Acted in Empowered Fashion.
9. Showed Good Interpersonal Skills.
10. Showed Empathy.
11. Acted Quickly to Resolve Problems.
12. Created Added Value for Customer.
13. Believed Customer; Valued Customer\'s Perceptions.
####### *BEHAVIORS THAT TURN OFF CUSTOMERS*
1. Apathy
2. Brush-Off
3. Coldness
4. Condescension
5. Robotism
> 6\. Rule Book
7. Run-Around
> 8\. Sideline Conversations
>
> 9\. Different Standards
{width="1.625in" height="1.1944444444444444in"}
***Interpersonal Communication***
***Skills Inventory***
***SECTION I***
+-----------------------------------+---------+------------+----------+
| | ### | ### | ## |
| | USUALLY | SOMETIMES | # SELDOM |
+-----------------------------------+---------+------------+----------+
| 1\. Is it difficult for you to | | | |
| talk to other | | | |
| | | | |
| people? | | | |
+-----------------------------------+---------+------------+----------+
| 2. When you are trying to | | | |
| explain something, do others | | | |
| tend to put words in your | | | |
| mouth, or finish your | | | |
| sentences for you? | | | |
+-----------------------------------+---------+------------+----------+
| 3. In conversation, do your | | | |
| words usually come out the | | | |
| way you would like? | | | |
+-----------------------------------+---------+------------+----------+
| 4. Do you find it difficult to | | | |
| express your ideas when they | | | |
| differ from the ideas of | | | |
| people around you? | | | |
+-----------------------------------+---------+------------+----------+
| 5. Do you assume that the other | | | |
| person knows what you are | | | |
| trying to say, and leave it | | | |
| to him/her to ask you | | | |
| questions? | | | |
+-----------------------------------+---------+------------+----------+
| 6. Do others seem interested and | | | |
| attentive when you are | | | |
| talking to them? | | | |
+-----------------------------------+---------+------------+----------+
| 7. When speaking, is it easy for | | | |
| you to recognize how others | | | |
| are reacting to what you are | | | |
| saying? | | | |
+-----------------------------------+---------+------------+----------+
| 8. Do you ask the other person | | | |
| to tell you how she/he feels | | | |
| about the point you are | | | |
| trying to make? | | | |
+-----------------------------------+---------+------------+----------+
| 9. Are you aware of how your | | | |
| tone of voice may affect | | | |
| others? | | | |
+-----------------------------------+---------+------------+----------+
| 10. In conversation, do you look | | | |
| to talk about things of | | | |
| interest to both you and the | | | |
| other person? | | | |
+-----------------------------------+---------+------------+----------+
**SCORE: SECTION I TOTAL \_\_\_\_\_\_\_\_\_\_\_\_\_**
***Interpersonal Communication***
***Skills Inventory***
***SECTION II***
+---------------------------------+----------+-------------+----------+
| | ### | ## | ## |
| | USUALLY | # SOMETIMES | # SELDOM |
+---------------------------------+----------+-------------+----------+
| 11. In conversation, do you | | | |
| tend to do | | | |
| | | | |
| > more talking than the other | | | |
| > person does? | | | |
+---------------------------------+----------+-------------+----------+
| 12. In conversation, do you ask | | | |
| the other person questions | | | |
| when you don't understand | | | |
| what they have said? | | | |
+---------------------------------+----------+-------------+----------+
| 13. In conversation, do you | | | |
| often try to figure out | | | |
| what the other person is | | | |
| going to say before they | | | |
| have finished talking? | | | |
+---------------------------------+----------+-------------+----------+
| 14. Do you find yourself not | | | |
| paying attention while in | | | |
| conversation with others? | | | |
+---------------------------------+----------+-------------+----------+
| 15. In conversation, can you | | | |
| easily tell the difference | | | |
| between what the person is | | | |
| saying and how he/she may | | | |
| be feeling? | | | |
+---------------------------------+----------+-------------+----------+
| 16. After the other person is | | | |
| done speaking, do you | | | |
| clarify what you heard them | | | |
| say before you offer a | | | |
| response? | | | |
+---------------------------------+----------+-------------+----------+
| 17. In conversation, do you | | | |
| tend to finish sentences or | | | |
| supply words for the other | | | |
| person? | | | |
+---------------------------------+----------+-------------+----------+
| 18. In conversation, do you | | | |
| find yourself paying most | | | |
| attention to details and | | | |
| frequently missing the | | | |
| speaker's emotional tone? | | | |
+---------------------------------+----------+-------------+----------+
| 19. In conversation, do you let | | | |
| the other person finish | | | |
| talking before reacting to | | | |
| what she/he says? | | | |
+---------------------------------+----------+-------------+----------+
| 20. Is it difficult for you to | | | |
| see things from the other | | | |
| person's point of view? | | | |
+---------------------------------+----------+-------------+----------+
**SCORE: SECTION II TOTAL \_\_\_\_\_\_\_\_\_\_\_**
***Interpersonal Communication***
***Skills Inventory***
***SECTION III***
+--------------------------------+----------+-------------+-----------+
| | ### | ## | # |
| | USUALLY | # SOMETIMES | ## SELDOM |
+--------------------------------+----------+-------------+-----------+
| 21. Is it difficult to hear or | | | |
| accept | | | |
| | | | |
| > constructive criticism from | | | |
| > the other person? | | | |
+--------------------------------+----------+-------------+-----------+
| 22. Do you refrain from saying | | | |
| something that you think | | | |
| will upset someone or make | | | |
| matters worse? | | | |
+--------------------------------+----------+-------------+-----------+
| 23. When someone hurts your | | | |
| feelings, do you discuss | | | |
| this with him/her? | | | |
+--------------------------------+----------+-------------+-----------+
| 24. In conversation, do you | | | |
| try to put yourself in the | | | |
| other person's shoes? | | | |
+--------------------------------+----------+-------------+-----------+
| 25. Do you become uneasy when | | | |
| someone pays you a | | | |
| compliment? | | | |
+--------------------------------+----------+-------------+-----------+
| 26. Do you find it difficult | | | |
| to disagree with others | | | |
| because you are afraid | | | |
| they will get angry? | | | |
+--------------------------------+----------+-------------+-----------+
| 27. Do you find it difficult | | | |
| to compliment or praise | | | |
| others? | | | |
+--------------------------------+----------+-------------+-----------+
| 28. Do others remark that you | | | |
| always seem to think you | | | |
| are right? | | | |
+--------------------------------+----------+-------------+-----------+
| 29. Do you find that others | | | |
| seem to get defensive when | | | |
| you disagree with their | | | |
| point of view? | | | |
+--------------------------------+----------+-------------+-----------+
| 30. Do you help others to | | | |
| understand you by saying | | | |
| how you feel? | | | |
+--------------------------------+----------+-------------+-----------+
**SCORE: SECTION III TOTAL \_\_\_\_\_\_\_\_\_\_**
***Interpersonal Communication***
***Skills Inventory***
***SECTION IV***
+------------------------------------+---------+------------+---------+
| | ### | ### | ### |
| | USUALLY | SOMETIMES | SELDOM |
+------------------------------------+---------+------------+---------+
| 31. Do you have a tendency to | | | |
| change the subject when the | | | |
| other person's feelings enter | | | |
| into the discussion? | | | |
+------------------------------------+---------+------------+---------+
| 32. Does it upset you a great deal | | | |
| when | | | |
| | | | |
| > someone disagrees with you? | | | |
+------------------------------------+---------+------------+---------+
| 33. Do you find it difficult to | | | |
| think clearly | | | |
| | | | |
| > when you are angry with someone? | | | |
+------------------------------------+---------+------------+---------+
| 34. When a problem arises between | | | |
| you and another person, can | | | |
| you discuss it without getting | | | |
| angry? | | | |
+------------------------------------+---------+------------+---------+
| 35. Are you satisfied with the way | | | |
| you handle differences with | | | |
| others? | | | |
+------------------------------------+---------+------------+---------+
| 36. Do you sulk for a long time | | | |
| when someone upsets you? | | | |
+------------------------------------+---------+------------+---------+
| 37. Do you apologize to someone | | | |
| whose feelings you may have | | | |
| hurt? | | | |
+------------------------------------+---------+------------+---------+
| 38. Do you admit that you are | | | |
| wrong when you know that you | | | |
| are/were wrong about | | | |
| something? | | | |
+------------------------------------+---------+------------+---------+
| 39. Do you avoid or change the | | | |
| topic if someone is expressing | | | |
| his or her feelings in a | | | |
| conversation? | | | |
+------------------------------------+---------+------------+---------+
| 40. When someone becomes upset, do | | | |
| you find it difficult to | | | |
| continue the conversation? | | | |
+------------------------------------+---------+------------+---------+
**SCORE: SECTION IV TOTAL \_\_\_\_\_\_\_**
**TOTAL SCORE FOR ALL SECTIONS (I THROUGH IV) \_\_\_\_\_\_**
***Interpersonal Communication***
***Inventory Scoring Key***
*Instructions: Go back and look over your responses to each question. In
front of each question, write the appropriate score using the table
below.*
*For example, if you answered "No" to Question 1, you would get 3
points. Write the number 3 in front of Question 1 on the inventory.
Proceed to score all other questions.*
*Each section contains 10 questions. After scoring all questions, go
back to Section 1. Total the score of Section 1 and put that number on
the line "Score Section 1 Total." Proceed to total all scores for all
other sections.*
*Enter your score here: \_\_\_\_\_\_\_\_*
**SCORING KEY**
-------------- ------------- --------------- ------------ -------------- ------------- --------------- ------------
**Question** **Usually** **Sometimes** **Seldom** **Question** **Usually** **Sometimes** **Seldom**
1 0 1 3 21 0 1 3
2 0 1 3 22 3 1 0
3 3 1 0 23 3 1 0
4 0 1 3 24 3 1 0
5 0 1 3 25 0 1 3
6 3 1 0 26 0 1 3
7 3 1 0 27 0 1 3
8 3 1 0 28 0 1 3
9 3 1 0 29 0 1 3
10 3 1 0 30 3 1 0
11 0 1 3 31 0 1 3
12 3 1 0 32 0 1 3
13 0 1 3 33 0 1 3
14 0 1 3 34 3 1 0
15 3 1 0 35 3 1 0
16 3 1 0 36 0 1 3
17 0 1 3 37 3 1 0
18 0 1 3 38 3 1 0
19 3 1 0 39 0 1 3
20 0 1 3 40 0 1 3
-------------- ------------- --------------- ------------ -------------- ------------- --------------- ------------
{width="0.9013888888888889in"
height="0.8263888888888888in"}***Interpersonal Communication Profile***
*Interpretation: Look at your score for each section as one indication
of the degree to which you effectively communicate. Plot your scores on
the table below using an "X" for each section score. Draw a line to
connect them column to column. This will create a profile of your
strengths and opportunities for improvement.*
- Scores in the 1 \> 15 range indicate areas of your communication
skills that need improvement.
- Scores in the 16 \> 21 range indicate areas of communication skills
that need more consistent attention.
- Scores in the 22 \> 30 range indicate areas of strength or potential
strength.
Area (s) of Strength:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Area (s) of Improvement:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
--------------- -------------- -------------------- --------------------
Sending Clear Listening Giving and Getting Handling Emotional
Messages Feedback Interactions
30 30 30 30
29 29 29 29
28 28 28 28
27 27 27 27
26 26 26 26
25 25 25 25
24 24 24 24
23 23 23 23
22 22 22 22
21 21 21 21
20 20 20 20
19 19 19 19
18 18 18 18
17 17 17 17
16 16 16 16
15 15 15 15
14 14 14 14
13 13 13 13
12 12 12 12
11 11 11 11
10 10 10 10
9 9 9 9
8 8 8 8
7 7 7 7
6 6 6 6
5 5 5 5
4 4 4 4
3 3 3 3
2 2 2 2
1 1 1 1
--------------- -------------- -------------------- --------------------
***SPOKEN COMMUNICATION***
1. Always be Polite and Courteous.
2. Avoid Using Jargon.
3. Use Positive, Not Negative, and Non Judgmental Language.
4. Ask Customers Politely.
5. Be Sensitive.
6. Don't Answer a Question with a Question.
7. Be Cautious with Humor.
8. Try to Hear Yourself as Customers Hear You.
9. Paraphrase or Summarize when Needed.
10. When Necessary, Ask Clients to Repeat/Paraphrase Instructions.
***TECHNICAL JARGON***
#########
#########
#########
#########
#########
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#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
#########
######### *SAYING OR WRITING IT POSITIVELY*
DIRECTIONS: In the table below, examples of common phrases that people
use are shown in the left-hand column. In the right-hand column, write
an improved phrase. For example, instead of "I'll try\..." say "I
will\....".
+-----------------------------------+-----------------------------------+
| ######## COMMONLY-USED PHRASES | ######## IMPROVED PHRASES |
+-----------------------------------+-----------------------------------+
| 1\. "I'll try\..." | 1\. |
+-----------------------------------+-----------------------------------+
| 2. "As soon as possible." | 2\. |
+-----------------------------------+-----------------------------------+
| 3. "Our policy is\..." | 3\. |
+-----------------------------------+-----------------------------------+
| 4. "Why didn't you\....?" | 4\. |
+-----------------------------------+-----------------------------------+
| 5. "I'm just\..." | 5\. |
+-----------------------------------+-----------------------------------+
| 6. "There's nothing I can do." | 6\. |
+-----------------------------------+-----------------------------------+
| 7. "You can't\..." | 7\. |
+-----------------------------------+-----------------------------------+
| 8. "We can't\..." | 8\. |
+-----------------------------------+-----------------------------------+
| 9. "You should have\..." | 9\. |
+-----------------------------------+-----------------------------------+
| 10. "There is no one here to help | 10\. |
| you." | |
+-----------------------------------+-----------------------------------+
| 11. "I'm sure no one is working | 11\. |
| on your issue." | |
+-----------------------------------+-----------------------------------+
| 12. "You don't have an | 12\. |
| appointment today.\" | |
+-----------------------------------+-----------------------------------+
***SUGGESTING SKILLS***
People often have a variety of reactions to suggestions about something
personal to them (their appearance, their parenting skills or how they
live their life):
#######
- Put off or embarrassed
- Angry or hurt
- Resistant or defensive
- Pleased that the person cared enough about them to make the
suggestion
When making suggestions to clients, you will want to remember to explain
why you are making the suggestion (what will be better for them as a
result of doing what you suggest?). Also, be sure to remember the old
adage, "What's In It For Me?" also known as WIIFM).
Be careful not to sound condescending or patronizing when making
suggestions. And remember that you are in partnership with your clients,
so whenever possible, try to say "we should try" instead of "you should
try."
+-------------------------------+--------------------------------------+
| # | > **More effective suggestions** |
| Not-so-effective suggestions | |
+-------------------------------+--------------------------------------+
| 1. "You'd better not wait | 1. "Remember, that it's hard to get |
| until the last minute to | an appointment so I'd suggest |
| make a doctor's | you call as soon as possible." |
| appointment." | |
+-------------------------------+--------------------------------------+
| 2. "Your children are out of | 2. "I'm concerned that your child |
| control." | might get hurt if he continues |
| | to..." |
+-------------------------------+--------------------------------------+
**A common suggestion you make to clients:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**An even more effective way to make this suggestion:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
*TELEPHONE SKILLS REFRESHER*
1. Say it with a smile in your voice.
2. Don't sound frustrated or verbalize everything you're thinking (for
example, "Where is your file?!" or "Just hold on...give me a
minute").
3. Take notes when necessary. Document conversation in the client's
file and/or statewide WIC Info System comments screen.
4. Keep your voicemail current (for example, "This is Sue Wilson. It's
Friday, April 14th, and I will be out of the office all day").
5. Sound helpful and interested in what the client is saying.
6. Use a standard voicemail greeting.
7. Check messages frequently, especially if you are away from your desk
for an extended period of time.
8. Reassure a client with an urgent problem that you will get back to
them with an answer (or will make sure someone else does) within a
specific time period.
9. Be careful about background comments (for example, when you have a
client on the phone and other co-workers are talking loudly,
laughing, shuffling papers, or responding indirectly to client with
such comments as "What a crazy question!" or "You just answered
that!").
10. Be personal but not too personal (for example, "I'm having problems
at home and I'm just not able to focus").
11. Answer with a consistent greeting at all times ("Hello \_\_\_\_\_WIC
Program, this is \_\_\_\_\_\...")
12. When forwarding a call, announce the caller to whom you are sending
it to (for example, "Sue, I have Mary Jones on the line looking for
some help").
13. When possible, use a private office or conference room for sensitive
calls with clients or lower your voice.
14. Don't eat, drink, or chew gum while on the phone!
*AUDIOTAPED MESSAGES*
1. "Good morning. WIC Monica speaking"
2. "Good morning, Hartford WIC office, this is Monica. How may I help
you?"
3. "Theresa, this is Ginny calling from WIC. Beth, our nutritionist,
needs to review your son's doctor's report. Maybe we can set up an
appointment sometime next week. Bye."
4. "Vera, this is Laura from WIC. I am sorry to hear about the problem
with your WIC checks. Please call me with the store's address and
phone number so I can work to resolve your issue as soon as
possible. I will be here until 4:30 p.m. today. Thank you."
5. "Yes, Wanda, I remember you.
> *negative:* "What's the problem today?"
*positive:* "How can I help you today?"
#######
#######
#######
#######
#######
#######
#######
#######
*CASE STUDIES*
**Case 1** *(intended to help staff deal with service recovery when WIC
creates a problem for the client)*
# Carla
Carla has been a WIC client for over a year. She doesn't say much and
shows very little expression whenever she has her appointments. This
morning she shows up with her 15-month old son for a 10:00 a.m.
appointment at your office. As she checks in, you realize that your
office mistakenly triple-booked appointments for 10:00 a.m. and Carla
will need to wait at least until 10:40 a.m. before someone will be able
to see her.
What is your plan for working with Carla?
What will you say to Carla?
# Case 2 *(intended to help staff "go the extra mile" to help a client who has a problem unrelated to WIC)*
#
# Mariella
Mariella has been a longtime WIC client and she has seen her share of
ups and downs (evicted from one apartment, had a part-time job and then
lost it, etc.). Mariella just learned that her health insurance will end
next month and she tells you she will not be able to pay for doctor's
visits for her children.
What is your plan for supporting Mariella?
What will you say to Mariella?
**Case 3** *(intended to help staff deal effectively with a client who
has unrealistic expectations, help staff say "no" properly, and uphold
WIC's policies)*
# Betty
Betty is a WIC client who always looks for ways to get around WIC
policies and procedures. Last month she asked for more formula than WIC
is allowed to give. Today she really pushed the limits when she asked
why "WIC couldn't just put the vouchers in the mail to her since she's
been so busy with her baby?!" You let her know that this is against WIC
policy and she was not happy to hear this.
What is your plan for working with Betty?
What would you say to Betty?
**Case 4** *(intended to help staff deal with client resistance and
unrealistic expectations)*
**Anna**
You have just placed a call with Anna, asking her to come in on May 2nd
for her appointment. Anna says she can't make it in that day. You try
feverishly to find a good time for her on the 5^th^, 6^th^, 7^th^ and
8^th^ -- no go. Because of previous behavior, you suspect that she will
simply show up later in the month once she spends her allotted benefits.
The phone is ringing off the hook and you're getting nowhere with Anna.
You really can't spend much more time trying to book her appointment on
the phone.
What is your plan for working with Anna?
What will you say to Anna?
**Case 5** *(intended to help staff deal effectively with an angry
client)*
#
# Lizette
Lizette, a newer WIC client, just stormed through the entrance waving a
piece of paper at you. She starts shouting about not getting the forms
she needs to start receiving WIC benefits. Lizette is really making a
scene in front of the other five women and several children in the
waiting room. You know that Lizette did not follow the directions you
gave her over the phone last week, causing the delay in WIC benefits.
What is your plan for working with Lizette?
What will you say to Lizette?
# Case 6 *(intended to help staff go the extra mile))*
#
# Tracey
Tracey has just moved to Connecticut from Tennessee. She would like to
transfer to the CT WIC Program. She arrives at her appointment without a
verification of certification (VOC) and with no proof of income.
However, she states that she has applied to the HUSKY A program. She has
an infant and has stopped breast feeding before she moved. She tells the
nutritionist that she is in dire need of formula.
What is your plan for working with Tracey?
What will you say to Tracey?
| en |
markdown | 499628 | # Presentation: 499628
## Erika Nowak & Trevor B. Persons
- USGS Southwest Biological Science Center
- Colorado Plateau Field Station
**Inventory of Reptiles and Amphibians at** **Death Valley NP**** **** **** ****Manzanar NHS**** **** **** ****Mojave NP**
## The Crew
**The Crew**
- Laura Cunningham
- and Erika
- Trevor Persons
- Scott Hillard
- Shawn Knox
- AJ Monatesti
- Bob Parker
- Jason Pilarski
- Justin Schofer
- Eric Zepnewski
- Kevin Emmerich
- Bryan Hamilton
- Kris Heister/I&M Network
- David Morafka
- Dana York & all NPS staff
- CPFS administrative staff
**Thanks to:**
## Potential Inventory Objectives
**Potential Inventory Objectives**
**1. Provide a basis for statistical inference about species richness (provide rigor and repeatability)**
**-OR-**
## Potential Inventory Objectives
**Targeted sampling**** ****(DEVA, MOJA)**
**Potential Inventory Objectives**
**1. Provide a basis for statistical inference about species richness**
**Stratified grid-constrained random ****sampling (MANZ)**
**-AND-**
## OUR OBJECTIVES
- Inventory and document the occurrence of reptile and amphibian species
- Within identified priority sampling locations (DEVA and MOJA)
- Within all of MANZ
- Provide one voucher specimen for each species if not previously collected
- Estimate inventory completeness at each park (Master List)
- Enter species data into NPSpecies and provide other deliverables
- ** **** ****http://sbsc.wr.usgs.gov/products/ofr**
## METHODS
- Time-recorded visual encounter surveys (VES, NVES)
- Road driving (ROAD)
- Random encounters (RE)
- One hour - one hectare time-area constrained VES (TACS; MANZ)
- 100 m-long lizard line transects (LL; MANZ)
- Pitfall traps (PF; DEVA, MANZ)
- Data mining (museum searches, literature review, contact area experts)
- estimate inventory completeness
## DEVA
- PSA
**Owlshead**
** ****PSA**
**Greenwater**
** ****PSA**
**DEVA**
**Priority **
**Sampling **
**Areas (6)**
**2002-2004**
## DEVA: NOTABLE SPECIES
**LIZARDS **(16 species)
- *Southern Alligator Lizard (1) *(Elgaria multicarinata)*
- Scotty’s Castle
- Mojave Fringe-toed Lizard (*Uma scoparia*)
- state species of concern
- Ibex Dunes * *
**SNAKES **(16 species)
- *Ring-necked Snake (1)
- (*Diadophis punctatus*)
- near Scotty’s Castle
- Rosy Boa (*Charina trivirgata*)
- rare, collected by poachers
- Darwin Falls
- * = new park record
## DEVA: NOTABLE SPECIES
**DESERT TORTOISE**
- (*Gopherus agassizii*)
- Federally threated
- Greenwater range * *
**AMPHIBIANS **(4 species)
- Bullfrog (*Rana catesbeiana*)
- Saline Valley and Furnace Creek golf course
- Odd-looking Western toads (*Bufo boreas*) hybrids??
- Darwin Falls
- No salamanders documented (*Batrachoseps *seen outside park in Waucoba Canyon)
## MANZ: COMPARISON OF METHODS 2002-2003
**MANZ: COMPARISON OF METHODS****2002-2003**
| # Species | TACS | LL | VES/
NVES | PF | ROAD | RE |
| --- | --- | --- | --- | --- | --- | --- |
| Total
(per
pers-hr) | 7
(0.36) | 6
(0.11) | 6
(0.09) | 4
(245
t-days) | 7
(0.09) | 5
|
| Lizards | 5 | 4 | 6 | 4 | 5 | 5 |
| Snakes | 2 | 2 | 0 | 0 | 2 | 0 |
**** NO ONE METHOD CAUGHT ALL SPECIES**
## MANZ: NOTABLE SPECIES
**LIZARDS **(7 species)
- Southern Alligator Lizard (*Elgaria multicarinata*)
- apparently rare
**SNAKES **(3 species)
- Nothing unusual:
- Gophersnake (*Pituophis catenifer*)
- Glossy Snake (*Arizona elegans*)
- Coachwhip (*Masticophis flagellum*)
**AMPHIBIANS**
- NONE!!!!!
**T. Persons**
## MOJA PRIORITY SAMPLING AREAS (4) 2004-2005
- Clark Range
- Piute Range
- Piute Creek
- Cornfield Spring
- (Providence Mtns)
## MOJA: NOTABLE SPECIES
**LIZARDS **(15 species)
- Mojave Fringe-toed Lizard
- (*Uma scoparia*)
- Kelso Dunes
- Did not find Gila Monster (*Heloderma suspectum*)
- seen in 2005 by tourist bet. Clark and Kingston ranges
**SNAKES **(14 species)
- Nothing unusual except high road mortality
**DESERT TORTOISE**
- federally threatened
- Not uncommon
**AMPHIBIANS **(1 species found)
- Red-spotted Toad (*Bufo punctatus*)
- deformities in Piute Creek (post-fire)
- Did not find Pacific Treefrog (*Hyla regilla*)
- introduced at ZZYZX
## OVERALL RESULTS
## OVERALL RESULTS: % INVENTORY COMPLETENESS
| | DEVA | MANZ | MOJA |
| --- | --- | --- | --- |
| Overall
| 92 | 50 | 95-100 |
| Amphibians | 73 | 0 | 67-100 |
| Reptiles
| 95 | 54 | 97-100 |
## DISCUSSION: TIMING ISSUES
- 2002-2004: Impact of drought on survey results
- Likely decrease in numbers of individuals detected and esp. on detected amphibian species richness
- Possible longer-term effects on age class structure
- 2005: WET!
- Limited surveys done at MOJA
- Importance of longer-term studies
- Done by park-based researchers
## DISCUSSION: RARE SPECIES
- Secretive snakes
- Rain-breeding amphibians
- Patchy spatial / temporal distribution
- Does not support detection at randomly-generated plots
- Over half of rare species added by random encounters outside standard methods
**DISCUSSION: RARE SPECIES**
**J. Pilarski**
## DISCUSSION: SAMPLING ISSUES
- VES surveys most efficient for limited $$ inventories
- TACS and lizard line transects have limited utility for species inventory
- TACS could be useful for monitoring if properly stratified
- Pitfalls useful if long monitoring periods (or inventory if $$$$)
- Will occasionally detect rare or secretive species
- **MUST BE CHECKED FREQUENTLY**
## DISCUSSION: HERP ISSUES
- Monitor/control non-native or introduced species
- Bullfrogs (eat everything)
- Fish/crayfish (eat amphibian eggs/larvae)
- Monitor amphibians at springs
- Toad deformities at MOJA Piute Creek
- Salamanders in DEVA Panamints??
- Throw money at surveys in wet years
- More general surveys at MANZ
- Road mortality of snakes at MOJA
**B. Parker**
## CONCLUSIONS I: Implications for Future Herpetofauna Inventories
- Use a variety of methods for documentation
- Random points are inefficient for inventories:
- largely document common, already listed species
- Time, luck, cameras needed to detect rare species
- Herp inventories uncompleted in
- Mojave and other Network Parks
- Relative abundance estimable only for common species
- Droughts necessitate longer inventory periods
- Park-funded best
**CONCLUSIONS I: Implications for Future Herpetofauna Inventories**
**T. Persons**
## CONCLUSIONS II: Implications for Future Herpetofauna Inventories
- Statistical inference or specific sample designs should not become ends in themselves
- Don’t confuse inventory and monitoring methods/objectives
- Documentation (of new species or locations) is simple!
- Easily done by park-based NPS staff or tourists
- Need camera, GPS, date
- http://sbsc.wr.usgs.gov/products/ofr
**CONCLUSIONS II: Implications for Future Herpetofauna Inventories**
## J. Pilarski
**J. Pilarski**
## DEVA: EFFORT BY METHOD
**DEVA: EFFORT BY METHOD**
- PFs at Hummingbird Springs, Mahogany Flats
- (also Cunningham and Emmerich traps at Scotty’s Castle and Last Chance Range)
## MOJA: EFFORT BY METHOD
## MANZ
**MANZ **
**Random **
**Plots* ****(*TACS ****& LL) **
**2002-3003**
## DEVA Potential Reptile Species List Review
- long-tailed brush lizard
- tree lizard
- northern alligator lizard
- southern alligator lizard
- gila monster
- ringneck snake
- Mojave rattlesnake
- western rattlesnake
- western diamondback rattlesnake
- rubber boa
- western terrestrial garter snake
- previously seen in Greenwater Valley
- not likely present – out of range
- low probability of presence in N. mtns
- we documented at Scotty’s Castle
- not likely present- out of range
- we documented at Scotty’s Castle
- high probability of presence in S.
- high probability of presence in N. mtns
- not likely present- out of range
- not likely present- out of range
- low probability of presence
## DEVA Other Potential Species
- western skink
- Mediterranean or house gecko** **
- CA mountain kingsnake
- slender salamanders (*Batrachoseps*)
- ensatina (*Ensatina escholtzii*) or web-toed salamander (*Hydromantes)*
- northern leopard frog
- Great Basin spadefoot
- black toad
- specimen misidentified- not likely
- unconfirmed reports at Scotty’s Castle- unlikely
- possibly present in moist habitats
- slight probability of presence in canyons of Panamint Mountains
- previously recorded on Telescope Peak, low probability of finding it
- likely present historically, low probability of presence in wetlands
- low-fair probability of presence
- introduced in the Saline Valley Marsh
## MANZ Potential Species List- Amphibians
- Slender Salamander (*Batrachoseps* *sp.*)
- Owens Valley web-toed salamander (*Hydromantes* *sp*.)
- Great Basin Spadefoot (*Spea intermontana*)
- Boreal (Western) Toad (*Bufo boreas)*
- Pacific Treefrog (*Hyla regilla*)
- low probability of presence along Bairs Creek
- not likely present – out of elevational range
- good probability of presence
- fair probability of presence
- low probability of presence along creek
## MANZ Potential Species List- Lizards
- Western Banded Gecko (*Coleonyx variegatus*)
- Desert Night Lizard (*Xantusia vigilis*)
- Great Basin Collared Lizard (*Crotaphytus bicinctores*)
- Western Fence Lizard (*Sceloporus occidentalis*)
- Sagebrush Lizard (*Sceloporus graciosus*)
- Western Skink (*Eumeces skiltonianus*)
- high probability of presence
- good probability of presence
- low probability of presence
- low probability of presence
- low probability of presence
- fair probability of presence
## MANZ Potential Species List - Snakes
- Ringneck Snake (*Diadophis punctatus*)
- Common Kingsnake (*Lampropeltis getulus*)
- Longnose Snake (*Rhinocheilus lecontei*)** **
- Western Patchnose Snake (*Salvadora hexalepis*)
- Ground Snake (*Sonora semiannulata*)
- low probability of presence along Bairs Creek
- high probability of presence
- high probability of presence
- high probability of presence
- high probability of presence
## Manz Potential Species List – More Snakes
- Western Terrestrial Garter Snake (*Thamnophis elegans*)
- Western Aquatic Garter Snake (*Thamnophis couchii*)
- Night Snake (*Hypsiglena torquata*)
- Southwestern Black-headed Snake (*Tantilla hobartsmithi*)
- Sidewinder (*Crotalus cerastes*)
- Speckled Rattlesnake (*Crotalus mitchelli)*
- low probability of presence along Bairs Creek
- not likely present- unsuitable habitat
- high probability of presence
- good probability of presence
- high probability of presence
- high probability of presence | en |
converted_docs | 539220 | **Before the**
Federal Communications Commission
Washington, D.C. 20554
+----------------------------------+---+------------------------------+
| In the Matter of | * | WC Docket No. 05-337 |
| | * | |
| High-Cost Universal Service | ) | CC Docket No. 96-45 |
| Support | * | |
| | * | |
| Federal-State Joint Board on | | |
| Universal Service | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
| | | |
| | * | |
| | * | |
| | ) | |
| | * | |
| | * | |
+----------------------------------+---+------------------------------+
notice of proposed rulemaking
**Adopted: January 9, 2008 Released: January 29, 2008**
**Comment Date: (30 days after date of publication in the Federal
Register)**
**Reply Comment Date: (60 days after date of publication in the Federal
Register)**
By the Commission: Chairman Martin and Commissioners Tate and McDowell
issuing separate statements; Commissioner Copps approving in part,
dissenting in part and issuing a statement; Commissioner Adelstein
concurring in part, dissenting in part and issuing a statement.
Table of Contents
Paragraph \#
I. introduction 1
II\. background 2
III\. discussion 10
A. Eligibility Requirements 12
B. Single Winner Versus Multiple Winners 13
C. Method of Distributing the Subsidy 18
D. Geographic Areas 19
E. Universal Service Obligations 23
F. Reserve Prices 36
G. Auction Design 41
H. Frequency of Auctions 47
I. Broadband Reverse Auction Pilot Program 50
IV\. Procedural Matters 52
A. Initial Regulatory Flexibility Analysis 52
B. Paperwork Reduction Act Analysis 53
C. *Ex Parte* Presentations 54
D. Comment Filing Procedures 55
V. Ordering Clauses 57
APPENDIX: Initial Regulatory Flexibility Analysis
# introduction
1. In this Notice of Proposed Rulemaking (Notice), we seek comment on
the merits of using reverse auctions (a form of competitive bidding)
to determine the amount of high-cost universal service support
provided to eligible telecommunications carriers (ETCs) serving
rural, insular, and high-cost areas. As discussed below, in a
reverse auction, support generally would be determined by the lowest
bid to serve the auctioned area. We tentatively conclude that
reverse auctions offer several potential advantages over current
high-cost support distribution mechanisms, and that the Commission
should develop an auction mechanism to determine high-cost universal
service support. We seek comment in this Notice on a number of
specific issues regarding auctions and auction design that must be
resolved in order for the Commission to implement an auction
mechanism.
# background
2. In the Telecommunications Act of 1996 (1996 Act), Congress sought to
preserve and advance universal service while, at the same time,
opening all telecommunications markets to competition.[^1] Section
254(b) of the Act, which was added by the 1996 Act, directs the
Federal-State Joint Board on Universal Service (Joint Board) and the
Commission to base policies for the preservation and advancement of
universal service on several general principles, plus other
principles that the Commission may establish.[^2] Among other
things, there should be specific, predictable, and sufficient
federal and state universal service support mechanisms; quality
services should be available at just, reasonable, and affordable
rates; and consumers in all regions of the nation should have access
to telecommunications services that are reasonably comparable to
those services provided in urban areas at reasonably comparable
rates.[^3] Section 254(e) of the Act provides that only ETCs
designated under section 214(e) shall be eligible to receive federal
universal service support, and that any such support should be
explicit and sufficient to achieve the purposes of that section.[^4]
3. In the *Universal Service First Report and Order*, the Commission
recognized certain advantages of using competitive bidding to
determine high-cost universal service support.[^5] First, "a
compelling reason to use competitive bidding is its potential as a
market-based approach to determining universal service support, if
any, for any given area."[^6] Second, "by encouraging more efficient
carriers to submit bids reflecting their lower costs, another
advantage of a properly structured competitive bidding system would
be its ability to reduce the amount of support needed for universal
service."[^7] The record at the time, however, was insufficient to
support adoption of a competitive bidding mechanism.[^8] Moreover,
the Commission found it unlikely that competitive bidding mechanisms
would be useful at that time because of the expectation that there
would be no competition in a significant number of rural, insular,
or high-cost areas in the near future.[^9] Nonetheless, the
Commission found that competitive bidding warranted further
consideration.[^10]
4. More recently, there has been renewed interest in using competitive
bidding to determine high-cost universal service support. The Joint
Board currently is reviewing the Commission's rules relating to
high-cost universal service support in service areas in which
competitive ETCs receive support and high-cost universal service
support for rural carriers.[^11] In August 2006, the Joint Board
sought comment on the merits of using auctions to determine
high-cost universal service support.[^12] In February 2007, the
Joint Board held an *en banc* hearing to discuss high-cost universal
service support in rural areas, including the use of reverse
auctions to determine support.[^13] In his opening remarks, Chairman
Kevin Martin explained that "reverse auctions could provide a
technologically and competitively neutral means of controlling fund
growth and ensuring a move to most efficient technology over
time."[^14] In a Public Notice, released May 1, 2007, the Joint
Board sought comment on various proposals for long term,
comprehensive reform of the high-cost universal service support
mechanisms, including the use of reverse auctions.[^15] The specific
auction proposals filed during the course of this proceeding are
briefly described below.
5. *[CTIA Proposal]{.underline}*. In response to the *2006 Joint Board
Public Notice*, CTIA -- The Wireless Association® (CTIA) proposed a
"winner-gets-more" reverse auction structure in which wireline and
wireless ETCs would compete in the same auction.[^16] Under this
proposal, the winning bidder would receive the level of support it
bid, and other auction participants would receive some lesser level
of support. CTIA suggests two possible methods of calculating
support for a non-winning bidder: (1) a percentage reduction in
payment based on the difference between its bid and the winning bid;
and (2) a percentage reduction in payment based on the difference
between its bid and the winning bid, but also weighted by the share
of customers of the winning bidder.[^17] CTIA supports the use of
small areas, such as counties, as the geographic areas on which
providers would bid.[^18]
6. *[Verizon Proposal]{.underline}*. On February 9, 2007, Verizon
proposed implementing competitive bidding on a limited basis, with
the possibility of extending the use of auctions more widely after
the Commission assesses the results.[^19] Under Verizon's proposal,
the Commission would introduce auctions in areas in which multiple
wireless competitive ETCs currently receive support to select a
single winning wireless provider to receive federal high-cost
support in that area.[^20] Once these auctions were completed, a
separate set of auctions would be held in areas where there is at
least one wireline competitive ETC. Both the incumbent local
exchange carrier (LEC) and any wireline competitive ETCs would
participate, and the auction would select a single wireline provider
to receive high-cost support in that area.[^21] After reviewing its
experience with the separate wireless and wireline auctions, the
Commission could then consider holding a general auction in any area
where there is a competitive ETC. Both wireline and wireless ETCs
would participate, and the general auction would select a single ETC
to receive the support determined by its bid.[^22] The Commission
also could consider using the results of the auctions to adjust
support of ETCs receiving support not yet determined by an auction.
7. Verizon also proposes an auction design that uses wire centers, at
least initially, as the geographic areas for which "combinatorial"
auctions would be held.[^23] This type of auction allows bidders
flexibility to submit bids for individual wire centers, or bids for
packages of wire centers.[^24] Bids would be for a flat amount of
subsidy for a given area, or package of areas.[^25] The reserve
amount would be based on current high-cost support amounts and would
ensure that the support determined by the auction is no greater than
the amount of support provided prior to the auction.[^26]
8. *[Alltel Proposal]{.underline}*. On February 16, 2007, Alltel
proposed a reverse auction pilot program that would target
additional funds to promote broadband deployment in unserved or
underserved rural areas.[^27] In unserved or underserved zip code
areas, any ETC could submit a bid for the minimum amount of
universal service per line that it would need to make available
broadband service, as well as the basic services currently supported
by the high-cost program, to a minimum percentage of households in
the zip code area within a specified period of time.[^28] In areas
where an ETC can satisfy this standard without additional support
beyond that already available under the existing high-cost program,
Alltel claims that the winning bid might be zero.[^29] Each
participating ETC would receive per-line funding only to the extent
it provides broadband, as well as currently supported services to a
customer line.[^30] The participant offering the lowest bid would
receive the full bid amount for each broadband line it provides
during the duration of the service term (e.g., five years). All
other ETCs that commit to meeting the same broadband build-out
requirements would also receive support, but at a slightly lower
per-line rate than the winning bidder.[^31]
9. Alltel recommends that the bidding process be conducted in a manner
similar to that used for spectrum auctions: a multiple round,
combinatorial auction, in which participants can bid for any number
of zip code areas. The reserve price in each zip code area would be
set based on the current level of high-cost support disbursed to
ETCs in the area, increased by a certain percentage for the
presumably higher cost of broadband deployment. Alltel suggests, for
example, establishing a maximum bid amount so that the total
per-line support would not increase by more than 50 percent or 100
percent in any area where high-cost funds are already being
disbursed to one or more ETCs.[^32]
# discussion
10. We seek comment generally on the advantages of using a reverse
auction mechanism to determine the amount of high-cost universal
service support distributed to ETCs. Technology and the marketplace
have changed considerably since the Commission in 1997 found that
competitive bidding mechanisms were unlikely to be useful in rural,
insular, and high-cost areas because of the absence of competition
in these markets. Since that time, many carriers, particularly
wireless carriers, have become ETCs and receive support for serving
high-cost areas. As a result of the policies and framework the
Commission adopted at that time, the Commission's rules now result
in subsidizing multiple competitors to serve areas in which costs
may be prohibitively expensive for even one carrier to serve without
a subsidy. The increase in the number of ETCs receiving high-cost
support over the past several years is placing significant and
increasing pressure on the stability of the universal service
fund.[^33]
11. In a reverse auction, support generally would be determined by the
lowest bid to serve the auctioned area. Auctions have potential
merit in that they allow direct market signals to be used as a
supplement to, and possible replacement of, cost estimates made from
either historical cost accounting data or forward-looking cost
models, as is done under the current high-cost support programs. In
an auction, bids would reflect each bidding ETC's cost estimates for
serving the relevant geographic area. If a sufficient number of
bidders compete in the auction, the winning bid might be close to
the minimum level of subsidy required to achieve the desired
universal service goals. In contrast, a support mechanism based on
either a carrier's embedded costs or on a forward-looking cost model
provides no incentives for ETCs to provide supported services at the
minimum possible cost. In addition, an auction could provide a fair
and efficient means of eliminating the subsidization of multiple
ETCs in a given region.[^34] We tentatively conclude that reverse
auctions offer several potential advantages over current high-cost
support distribution mechanisms, and that the Commission should
develop an auction mechanism to determine high-cost universal
service support. There are a number of detailed issues regarding
auctions and auction design that must be resolved in order for the
Commission to implement an auction mechanism, however. We seek
comment below on these specific issues.
## Eligibility Requirements
12. We seek comment on eligibility requirements for bidders
participating in reverse auctions. Section 254(e) states, in
relevant part: "only an eligible telecommunications carrier
designated under section 214(e) shall be eligible to receive
specific Federal universal service support."[^35] Therefore, we
tentatively conclude that a bidder must hold an ETC designation
covering the relevant geographic area prior to participating in an
auction to determine high-cost support for that geographic area.
## Single Winner Versus Multiple Winners
13. We seek comment on whether universal service support auctions should
award high-cost support to a single winner or to multiple winners.
Should only the carrier submitting the lowest bid be allowed to
receive the subsidy? Should all ETCs participating in the auction
receive support, and if so, should it be the same level of support,
or different amounts of support as suggested in the CTIA and Alltel
proposals?[^36] We ask commenters that favor multiple-winner
auctions in which different amounts of support go to different
bidders to explain how the different levels of support would be
determined. Alternatively, should there be a fixed number of winners
greater than one? If there are a fixed number of winners receiving
support, should the winning bidders receive the same amount of
support (i.e., the same amount as the lowest bidder), or should the
lowest bidder receive more?
14. We seek comment on the advantages and disadvantages of a
single-winner auction versus a multiple-winner auction format. As
mentioned above, if only one bidder receives support, an auction
could provide a fair and efficient means of eliminating the
subsidization of multiple ETCs in a given region, thereby ceasing
the uneconomic practice of subsidizing multiple competitors to serve
areas in which costs are prohibitively expensive for even one
carrier. We expect that using single-winner auctions would result in
less overall support than multiple-winner auctions. For example, if
support were to be distributed as a fixed subsidy per geographic
area, then an auction with two winners would result in twice the
support of a single-winner auction. As the number of winners
increases, the size of the total subsidy would increase
proportionately. We tentatively conclude that this would violate the
universal service principle of sufficiency and would be an
unacceptable auction format.[^37] We therefore tentatively conclude
that universal service support auctions should award high-cost
support to a single winner.
15. If support is determined on the basis of the number of subscribers
served, we similarly would expect total support under a
multiple-winner auction to be higher than support under a
single-winner auction for several reasons. First, many subscribers
may choose to purchase service from multiple ETCs, with the result
that such subscribers could indirectly be subsidized multiple times
in a multiple-winner auction.[^38] Second, a multiple-winner auction
would also increase the expected size of the subsidy under most
common auction formats. For example, if the size of the subsidy is
determined by the lowest bid of a non-winning bidder, the
per-carrier subsidy would be expected to rise as the number of
winners increased.[^39] Third, when the number of winners is large
relative to the number of expected bidders, tacit collusion may be
facilitated, which would result in less competitive bidding for the
required subsidy.[^40] Finally, as the number of carriers receiving
a subsidy increases, the market share of each subsidized carrier
would correspondingly decline. Since it is well established that
costs to individual carriers increase as their customer density
decreases,[^41] we would expect that the underlying costs on which
carriers base their bids to increase as the number of winning
bidders increased and the individual bidder's expected number of
subscribers decreased.
16. Parties have argued that there are benefits to multiple-winner
auctions. For example, CTIA argues that single-winner auctions run
the risk of eliminating the consumer benefits of a competitive
market by discouraging competitive entry during the period the
auction winner has the exclusive right to receive support.[^42] How
would a winner-gets-more auction, as proposed by CTIA, affect the
overall level of support? How would the fact that all bidders
receive support in a winner-gets-more auction affect the bidder
strategies? To what extent should the Commission's universal service
policies be directed at promoting competition in rural, high-cost
markets? Does the Act require that rural consumers have affordable
access to both wireline and wireless services? Would a single-winner
auction deny rural consumers affordable access to both wireline and
wireless services?
17. Some parties have suggested that the Commission consider having
separate auctions for wireless and wireline ETCs, at least
initially. For example, Verizon proposes that the Commission
initiate the use of auctions in areas in which multiple wireless
competitive ETCs receive support.[^43] Once these auctions have been
completed, the Commission would hold a separate set of auctions in
areas where there is an incumbent LEC and at least one wireline
competitive ETC.[^44] We seek comment on separate wireless and
wireline auctions and any other issues relating to single- versus
multiple-winner auctions.
## Method of Distributing the Subsidy
18. We seek comment on the manner in which a subsidy should be computed
and distributed. Specifically, subsidies could potentially be
offered as a fixed payment for each geographic area, on the basis of
the number of subscribers or households served, or on some
combination of these methods. As noted above, a per-area subsidy
with multiple winners would result in very large subsidies, and we
have tentatively concluded above that this format would not be
acceptable.[^45] In the case of a single-winner auction, there are
advantages to each of the above possible distribution methods. A
per-subscriber subsidy provides a financial incentive to serve new
customers who might be otherwise unprofitable. A per-area subsidy
provides certainty about the total subsidy level. This knowledge may
be important to a carrier's decision about whether to make fixed
investment to serve an area, and to therefore participate in the
auction. The form of the subsidy may also affect the allocation of
customers among multiple providers in a multiple-winner auction. If
carriers do not all receive the same per-line subsidy, then a given
customer may not be served by the lowest cost provider, but instead
by a carrier with a higher subsidy. In addressing these issues,
commenters should also address the relationship of the subsidy
distribution methodology to the statute's universal service
principles, including, in particular, the principles that the fund
be specific, predictable, and sufficient and that consumers in
rural, insular, and high-cost areas have access to services at rates
that are comparable to the rates for comparable services in urban
areas.
## Geographic Areas
19. We seek comment on the appropriate geographic areas for reverse
auctions. In most areas of the country, telecommunications services
are provided by a wireline incumbent LEC and possibly by one or more
competitive ETCs, most of which are wireless carriers. Basing the
geographic area on any particular carrier's service area would
likely give that carrier an advantage in bidding because competing
carriers are unlikely to have the same service footprint.
20. Currently, support is generally based on the wireline incumbent
LEC's study area. We seek comment on whether we should use the
wireline incumbent LEC's study area as the geographic area on which
to base reverse auctions. We note that, in some cases, the wireline
incumbent LEC's study area consists of multiple disjointed
geographic areas within a state. We seek comment on whether an
incumbent LEC's study area that consists of multiple non-contiguous
geographic areas should be broken up at least into its contiguous
parts for purposes of the auction, or be required to be auctioned as
a single study area. An alternative to the wireline incumbent's
study area would be to use the wire centers of the wireline
incumbent LEC. What are the advantages and disadvantages of this
approach? A third alternative is to use a geographic area that is
independent of any carrier's service area, such as zip code, census
tract, census block group, county, or metropolitan or rural
statistical area (MSA, RSA). One potential advantage of such an
approach is that it might better ensure that the auction is
competitively and technologically neutral. What are the advantages
and disadvantages of using independent geographic units that do not
necessarily correspond to any wireline or wireless service area?
CTIA contends that larger geographic units, such as MSAs/RSAs, would
lead to problems of lack of coverage for many potential
bidders.[^46] In addition, under CTIA's analysis, geographic areas
which correspond to an incumbent LEC's study area (or contiguous
portions thereof) might discourage participation in the auction by
competitive carriers. Verizon argues that the areas should be small
enough to allow the auctions to target support where it is most
needed, but not so small as to create unnecessary complexity.[^47]
Both CTIA and Verizon support using relatively small geographic
areas, such as counties or wire centers, respectively.[^48] Although
defining the relevant region as the incumbent LEC's entire study
area might make it difficult for any individual competitive ETC to
bid successfully, would the same hold true for incumbent LEC wire
centers? Verizon claims that incumbent LEC switches generally have
been located in population clusters, and that competitive ETCs
similarly have tended to locate their facilities in population
clusters even though they may have different network topologies than
incumbent LECs.[^49] If geographic areas smaller than an incumbent
LEC's entire study area are chosen, should the geographic areas
nevertheless be defined so that each area is contained within the
incumbent's study area, and that the total area of units up for
auction completely covers the incumbent LEC's study area? We seek
comment on how the size of the geographic area affects the ability
of small entities to participate in auctions.
21. The size of the geographic area chosen for auction will also have an
effect on the amount of high-cost support. Specifically, a larger
geographic area may include subsets of customers that are profitable
(either because they live in low-cost areas or because they are
likely to purchase related but unsubsidized services such as video
or high speed data service). When these areas are included as part
of a larger geographic area, the need for an overall subsidy is
reduced on a per-customer basis. When smaller units are individually
auctioned, there may be fewer profitable customers to offset losses
for higher-cost customers, so a higher total subsidy may be
required. We seek comment on the trade-offs that may exist between
the advantages of small geographic areas in terms of economic
efficiency and competitive entry and the potential costs in terms of
higher support levels. We tentatively conclude that the wireline
incumbent LEC's study area is the appropriate geographic area on
which to base reverse auctions, and that further disaggregation is
appropriate only if the total support is not increased for the
resulting areas, but is capped at the award amount for the original
study area. We seek comment on this tentative conclusion, as well as
on how one might disaggregate a study area yet ensure the overall
support amount does not increase as a result of such disaggregation.
22. We also seek comment on how we would implement different geographic
areas for reverse auctions conducted in areas served by rural
telephone companies. Section 214(e)(5) of the Act states: "In the
case of an area served by a rural telephone company, 'service area'
means such company's 'study area' unless and until the Commission
and the States, after taking into account recommendations of a
Federal-State Joint Board instituted under section 410(c), establish
a different definition of service area for such company."[^50] If we
decide to conduct an auction in a geographic area that is different
than a rural telephone company's study area, does the Act require us
to coordinate with the relevant state commission prior to conducting
the auction? If so, we seek comment on issues relating to
coordination with state commissions concerning the appropriate
geographic areas for reverse auctions in areas served by rural
telephone companies.
## Universal Service Obligations
23. We seek comment on the extent to which we should define the
universal service obligations of the winners of the auctions.
Historically, only incumbent LECs received universal service support
and had the obligation to serve customers subject to rates and terms
specified by state regulatory authorities: so-called "carrier of
last resort" obligations. Under the framework adopted by Congress in
the 1996 Act, although only ETCs are eligible to receive federal
universal service support, there may be multiple ETCs in a given
area.[^51] In addition, although competitive ETCs do not necessarily
have carrier of last resort obligations under state law, they are
required to provide the supported services throughout the service
area for which the designation is received and to advertise the
availability of such services and their rates using media of general
distribution.[^52] Moreover, section 214(e)(3) explicitly authorizes
the states, with respect to intrastate services, and the Commission,
with respect to interstate services, to order an ETC to provide
service to an unserved area.[^53]
24. We seek comment on how to ensure the universal availability of
services under a reverse auction mechanism. Specifically, how should
the carrier of last resort obligations be defined, and on whom
should they be imposed? One possibility would be for an incumbent
LEC to retain both the carrier of last resort obligation and the
full right to subsidy over its entire study or service area unless
lower bids were submitted by rival bidders in each of the geographic
units up for auction within its overall service area. If lower bids
were submitted by rival bidders in all of the geographic units up
for auction, then the winning bidder would inherit the carrier of
last resort obligations. Related to this, the incumbent LEC could be
the only provider to receive a subsidy if rival bidders do not
submit bids below the reserve price in each of the geographic units
up for auction within its overall service area. Alternatively, both
the carrier of last resort obligation and associated subsides could
be awarded to the winning bidder in each geographic unit. The
definition of the universal service obligation may be inextricably
linked to the manner in which reserve prices for a geographic area
are determined and to the specific auction format as discussed
below.[^54] We ask parties to comment specifically on the ways in
which these issues are related.
25. We seek comment on several additional issues related to the
continued availability of supported services. Should the winner of
an auction be allowed to transfer to another ETC at any time the
universal service obligations and the related support for any
portion of a geographic area acquired through an auction? Currently
the Commission has rules adopted pursuant to section 214 of the Act
that address transfer of control and discontinuances.[^55] Are these
rules adequate or do they need to be modified where a carrier has
both universal service obligations and subsidies? Should an existing
incumbent LEC be allowed to unilaterally renounce its carrier of
last resort obligations by refusing to bid in a subsequent auction?
Should states or the Commission establish penalties to be imposed on
an ETC that fails to fulfill its universal service obligations in a
geographic area that it acquired at auction? If a carrier that has
won an auction subsequently declares bankruptcy, what effect will
the declaration of bankruptcy have on its universal service
obligations and the subsidy that it receives? Do we need to adopt
new rules to address this issue?
26. In the *ETC Designation Order*, the Commission adopted additional
requirements for ETC designation proceedings in which the Commission
acts pursuant to section 214(e)(6) of the Act.[^56] Specifically,
the Commission requires that an ETC applicant demonstrate: (1) a
commitment and ability to provide services, including providing
service to all customers within its proposed service area; (2) how
it will remain functional in emergency situations; (3) that it will
satisfy consumer protection and service quality standards; (4) that
it offers local usage comparable to that offered by the incumbent
LEC; and (5) an understanding that it may be required to provide
equal access if all other ETCs in the designated service area
relinquish their designations pursuant to section 214(e)(4) of the
Act.[^57] We seek comment on whether these same requirements and/or
any additional requirements should apply to all ETCs winning
universal service auctions. Should these requirements apply only to
auction winners, or should some or all of the requirements apply to
all ETCs participating in universal service auctions? As noted,
these requirements currently apply to ETCs designated by the
Commission. Should they apply to state-designated ETCs as well?
27. In the *ETC Designation Order*, the Commission also encouraged
states to adopt the Commission's requirements for ETC designation,
but declined to mandate that state commissions do so.[^58] We seek
comment on the extent to which states have done so. Section
214(e)(2) of the Act gives states the primary responsibility to
designate ETCs and prescribes that all state designation decisions
must be consistent with the public interest, convenience, and
necessity.[^59] Because the *ETC Designation Order* guidelines are
not binding upon the states, the Commission rejected arguments
suggesting that such guidelines would restrict the lawful rights of
states to make ETC designations.[^60] The Commission also found that
federal guidelines are consistent with the holding of the United
States Court of Appeals for the Fifth Circuit that section 214(e) of
the Act does not prohibit the states from imposing their own
eligibility requirements in addition to those described in section
214(e)(1).[^61] We seek comment on whether the Commission should
condition an auction winner's receipt of federal high-cost support
on compliance with additional requirements to ensure that the
auction winner has obligations analogous to carrier of last resort
obligations.[^62] We discuss the Commission's specific ETC
requirements and related issues in more detail below.
28. *[Commitment and Ability to Provide the Supported
Services]{.underline}*. The Commission requires that ETCs must
provide service to all customers who make a reasonable request for
service.[^63] Specifically, when a request comes from a potential
customer located within the applicant's licensed service area but
outside its existing network coverage, the ETC applicant should
provide service within a reasonable period of time if service can be
provided at reasonable cost by: (1) modifying or replacing the
requesting customer's equipment; (2) deploying a roof-mounted
antenna or other equipment; (3) adjusting the nearest cell
tower; (4) adjusting network or customer facilities; (5) reselling
services from another carrier's facilities to provide service;
or (6) employing, leasing, or constructing an additional cell site,
cell extender, repeater, or other similar equipment.[^64] The
Commission encouraged states to follow the Joint Board's proposal
that any build-out commitments adopted by states be harmonized with
any existing policies regarding line extensions and carrier of last
resort obligations.[^65] We seek comment on what build-out
commitments should apply to ETCs participating in and/or winning
universal service auctions.
29. The Commission also requires that a competitive ETC applicant submit
a five-year plan describing with specificity its proposed
improvements or upgrades to its network on a wire center-by-wire
center basis throughout its designated service area.[^66] The
five-year plan must demonstrate in detail how high-cost support will
be used for service improvements that would not occur absent receipt
of such support. This showing must include: (1) how signal quality,
coverage, or capacity will improve due to the receipt of high-cost
support throughout the area for which the ETC seeks designation; (2)
the projected start date and completion date for each improvement
and the estimated amount of investment for each project that is
funded by high-cost support; (3) the specific geographic areas where
the improvements will be made; and (4) the estimated population that
will be served as a result of the improvements.[^67] We seek comment
on whether we should require all ETCs participating in and/or
winning universal service auctions to submit similarly detailed
five-year plans.[^68] If commenters believe that the requirement to
submit five-year build-out plans, or the specific contents of the
build-out plans, should be modified, they should explain how.
30. *[Local Usage]{.underline}*. The Commission currently requires an
ETC applicant to demonstrate that it offers a local usage plan
comparable to the one offered by the incumbent LEC in the service
areas for which the applicant seeks designation, but the Commission
declined to adopt a specific local usage threshold in the *ETC
Designation Order*.[^69] Should we adopt a specific local usage
threshold for winners of auctions? Currently, we do not regulate the
retail rates of ETCs as a condition of their receiving high-cost
support. States generally regulate wireline residential rates for
incumbent LECs, but are precluded from regulating wireless rates by
section 332(c)(3) of the Act.[^70] Wireline rates typically are set
on a flat rate basis, whereas rates for wireless service generally
are set on the basis of "buckets of minutes." What kind of
restrictions on retail pricing, if any, should the Commission place
on auction participants in order to ensure rough comparability of
pricing plans? For example, if a carrier whose rates are not
regulated wins an auction, should it be required to freeze its
retail rates, or agree to increase them subject to a price cap plan
already in place within the state? Should the Commission establish a
maximum rate for the local usage plan offered by auction bidders or
winners?
31. *[Equal Access]{.underline}*. Although the Commission does not
impose a general equal access requirement on ETC applicants, we
require ETC applicants to acknowledge that we may require them to
provide equal access to long distance carriers in their designated
service area in the event that no other ETC is providing equal
access within the service area.[^71] The Commission found that, if
such circumstances arise, the Commission should consider whether to
impose an equal access or similar requirement on a case-by-case
basis. We seek comment on whether we should require all ETCs
participating in universal service auctions to acknowledge that they
may be required to provide equal access in the event that they win
the auction.
32. *[Ability to Remain Functional in Emergency
Situations]{.underline}*. The Commission also requires an ETC
applicant to demonstrate its ability to remain functional in
emergency situations by demonstrating that it has a reasonable
amount of back-up power to ensure functionality without an external
power source, is able to re-route traffic around damaged facilities,
and is capable of managing traffic spikes resulting from emergency
situations.[^72] In addition, ETCs designated by the Commission must
certify on an annual basis that they are able to function in
emergency situations. We seek comment on whether we should require
all ETCs participating in and/or winning universal service auctions
to demonstrate their ability to remain functional in emergencies.
33. *[Consumer Protection]{.underline}*. The Commission requires a
carrier seeking ETC designation to demonstrate its commitment to
meeting consumer protection and service quality standards in its
application to the Commission.[^73] A commitment to comply with
CTIA's Consumer Code for Wireless Service currently satisfies this
requirement for a wireless ETC applicant seeking designation before
the Commission.[^74] We seek comment on whether we should require
all wireless ETCs participating in and/or winning universal service
auctions to comply with CTIA's Consumer Code for Wireless Service.
Are there other consumer protection and service quality standards
that should apply to auction participants and/or winners? We seek
comment on what type of consumer protection and service quality
standards should apply to wireline auction participants and/or
winners, including incumbent LECs.
34. *[Adequate Financial Resources]{.underline}*. In the *ETC
Designation Order*, the Commission declined to adopt the Joint
Board's recommendation that an ETC applicant demonstrate that it has
the financial resources and ability to provide quality services
throughout the designated service area.[^75] The Commission found
that compliance with the requirements adopted in that order would
require an ETC applicant to show that it has significant financial
resources.[^76] After obtaining a license, whether by auction or
other means, wireless carriers must further comply with the
Commission's rules by meeting build-out or substantial service
requirements for the particular service.[^77] We seek comment on
whether we should adopt additional requirements for ETCs
participating in universal service auctions to demonstrate that they
have the financial resources and ability to provide quality services
throughout the geographic area to be auctioned.
35. *[Additional Obligations/Provision of Broadband Internet Access
Services]{.underline}*. In addition to the ETC requirements adopted
in the *ETC Designation Order*, we seek comment on whether we should
adopt additional obligations in the context of reverse auctions. We
ask parties to comment on the specific additional universal service
obligations they believe to be appropriate, and how they should be
defined. We tentatively conclude that the Commission should require
an auction winner to offer broadband Internet access services with
information transfer rates greater than or equal to 768 kbps in at
least one direction throughout the entire geographic area for which
it wins the auction. In addition, we tentatively conclude that the
Commission should require an auction winner to offer broadband
Internet access services with information transfer rates greater
than or equal to 1.5 mbps in at least one direction throughout the
entire geographic area halfway through the term of the
obligations.[^78] We reach these tentative conclusions because
"\[t\]he Commission has consistently recognized the critical
importance of broadband services to the nation\'s present and future
prosperity and is committed to adopting policies to promote the
development of broadband services, including broadband Internet
access services."[^79] We seek comment on these tentative
conclusions. Further, we tentatively conclude that an auction
winner's broadband Internet access services should be offered at a
reasonable price. We seek comment on how we should ensure that
broadband Internet access services are being offered at reasonable
prices.
## Reserve Prices
36. Because there may be few bidders in certain geographic areas, it is
important to establish a reserve "price" -- i.e. a maximum subsidy
level that participants in the auction would be allowed to place as
a bid. We seek comment on how we should set the reserve prices for
the areas to be auctioned. We expect that the reserve prices will
play a critical role in the auctions. A reserve price that is set
too low is likely to discourage bidders from participating in the
auction, while one that is set too high raises the possibility that
too much support will be allocated.
37. At least initially, reserve prices could be based on the current
levels of high-cost support. We seek comment on how reserve prices
based on current support should be determined if the geographic area
to be auctioned differs from the area for which support is currently
calculated. For example, if the geographic areas for the auctions
are wire centers, for non-rural study areas it would be fairly
straightforward to set wire center reserve prices based on the
forward-looking costs estimated by the Commission's cost model.
38. Because the non-rural mechanism targets support to wire centers
based on relative cost, the highest cost wire centers would have the
highest per-line reserve price. For rural study areas with multiple
wire centers, however, embedded costs for incumbent LECs are
typically available only at the study area level. If a reserve price
were based on the average cost per line in the study area, or if a
fixed reserve subsidy for a study area were allocated on a per-line
basis, the reserve price would not accurately reflect the costs of
the individual wire centers or other geographic units within the
study area. As noted above, this would discourage participation in
the auction by competitive ETCs in the higher cost areas.[^80] In
addition, encouraging competitive ETCs to bid for the lower cost
areas could potentially provide insufficient support for an
incumbent LEC with the obligation to serve the remaining higher cost
areas. One alternative would be to determine a reserve price at the
wire center level by allocating the study area embedded cost on the
basis of relative forward-looking costs as determined at the wire
center level by the Commission's cost model. Another alternative
would be to set reserve prices for rural study areas on the basis of
a formula in which either forward-looking, model-generated cost or
embedded cost data are used to estimate costs on the basis of
observable factors such as customer density. For example, if a
forward-looking approach is used to set a reserve price for
non-rural geographic areas, one could use the data generated by the
forward-looking cost model to regress model costs by wire center on
wire center customer density. The result would be a simple analytic
formula that could be used in place of the model to set reserve
prices for geographic units in rural study areas.[^81] We seek
comment on these and other alternatives.
39. We tentatively conclude that, if the reserve price is based on the
current levels of high-cost support and the area to be auctioned is
smaller than the incumbent LEC's study area, the reserve price
should be based on disaggregated support amounts. We also
tentatively conclude that, if reserve prices are based on
disaggregated support amounts, reserve prices in the aggregate
should be capped at the current study area support amount. We seek
comment on these tentative conclusions.
40. After the initial auction, the winning bids in the most recent prior
auctions could be used to establish a reserve price in the next
auction. If the geographic areas subject to auction are smaller than
an incumbent LEC's service area, then the reserve price could be
determined for each geographic unit for both rural and non-rural
study areas as described above, but using the previous auction's
winning bid rather than the incumbent LEC's forward-looking or
embedded cost. Use of prior auction data would result in reserve
prices that are responsive to changing technologies, and would
lessen the need to rely on forward-looking cost models after the
initial auction. On the other hand, use of prior auction results
might introduce new strategic considerations into any given auction,
since participants would be aware that their bid might affect future
reserve prices. We seek comment on these issues.
## Auction Design
41. The Commission has conducted public auctions for electromagnetic
spectrum rights since 1994. In a spectrum auction, a winning bidder
obtains a license to use spectrum in a well defined geographic area.
The value of winning a particular area, however, can be closely
related to the value of winning in adjacent areas. Individual
bidders may have unique business models, so that the value of
winning a particular area will generally differ among the bidders.
At the same time, there can be a common value component if competing
bidders have similar business models, even though each bidder has
unique information about demands, costs or other relevant aspects of
the business model. In its spectrum auctions, the Commission has
used an auction design known as the simultaneous multiple round
(SMR) auction to address these issues. The SMR auction is a form of
ascending price auction in which bidders are allowed to place bids
for any number of single licenses in a series of discrete,
successive rounds, with the length of each round announced in
advance by the Commission. After each round closes, round results
are processed and made public. At that time, bidders learn about the
bids placed by other bidders, obtaining information about the value
of the licenses to all bidders.[^82] This increases the likelihood
that the licenses will be assigned to the bidders who value them the
most. In an SMR auction, there is no preset number of rounds.
Bidding continues until a round occurs in which no new bids are
submitted.[^83]
42. Recently, variations on the SMR design have been proposed in which
bidders are allowed to bid on packages of licenses. With package or
"combinatorial" bidding, bidders may place bids on groups of
licenses as well as on individual licenses. This approach allows
bidders to better express the value of any synergies (benefits from
combining complementary items) that may exist among licenses and to
avoid the risk of winning only part of a desired set. Package
bidding can be important to bidders who anticipate significant
economies of scale and scope in deploying new infrastructure, or who
expect customer demand to depend on total network coverage.
43. The auction design for a reverse auction to determine high-cost
universal service support should make use of the Commission's
experience with spectrum auctions as much as possible. As a general
matter, we invite parties to comment on the similarities and
differences between auctions for spectrum and reverse auctions for
subsidies for high-cost support.
44. Whether or not the SMR design is considered as a basis for a reverse
auction for high-cost support, there are a number of specific issues
that must be resolved. To what extent should package bidding be
allowed? Unrestricted combinatorial bidding would allow bidders to
place a bid for any package of geographic areas in the auction.[^84]
If small geographic areas are chosen as units for auction, package
bidding may be essential for bidders to make appropriate bids based
on their perceived cost and demand complementarities among
geographic regions. On the other hand, an unrestricted combinatorial
bidding procedure with a large number of distinct geographic areas
could prove to be confusing to bidders and potentially
computationally intractable. Should individual auctions with
combinatorial bidding be held at a regional or state specific level
instead of on a national basis? A broader scope for the auction
would allow bidders to better capture interrelationships between
geographic areas. However, a larger scope would also significantly
increase the complexity of the auction, whether or not package
bidding is allowed.
45. If a multiple round auction is considered, another important issue
is the information that is revealed to bidders between rounds. A
multiple round auction can lead to efficient outcomes in auctions
with a common value component, since the highest bid at any round is
necessarily revealed to all bidders.[^85] However, if additional
information, such as the identity of the current winning bidder for
each item is also revealed, strategic behavior may be facilitated.
We seek comment on the potential dangers of anti-competitive
strategic behavior in an auction for high-cost support, and the
potential effects on economic efficiency.
46. If parties do not believe that an SMR auction design should be used
for high-cost support, they should propose and discuss in detail the
specific auction design that they believe to be superior. For
example, would a single round "sealed bid" format be acceptable? If
so, should the winning bidder receive a subsidy based on its own bid
for the necessary subsidy or on the bid of the next higher bidder?
Under the latter alternative, known as a "second price auction," it
is well known that bidders have an incentive to place a bid based on
the minimum subsidy they would be willing to accept (since the
subsidy they receive does not depend on their actual bid). How are
these auction designs affected if the number of bidders is
small?[^86] Parties are also invited to comment on the specific
auction designs used in other countries in which reverse auctions
have been used for universal service support.
## Frequency of Auctions
47. We seek comment on the appropriate length of time between auctions.
Currently, each applicant seeking ETC designation by the Commission
must submit a five-year plan describing with specificity its
proposed improvements or upgrades to its network on a wire
center-by-wire center basis throughout its designated service
area.[^87] Would five years be an appropriate length of time between
auctions, or should auctions be more or less frequent?
48. Auctions for universal service support are closely related to
franchise bidding schemes for natural monopoly, which have been
extensively studied in economics literature. [^88] Bidders in any
particular auction require some degree of certainty about future
revenues, including subsidies, in order to make informed investment
decisions. Williamson[^89] discusses some of the less obvious
advantages of long term contracting, which, in the reverse auction
context, would call for relatively infrequent auctions. On the other
hand, new technologies may periodically evolve that would allow
lower cost provision of telecommunications services in high-cost
areas. In addition, more frequent auctions can allow for more
informed bidding decisions, since each bidder would be more able to
predict levels of demand and potential competition in the immediate
future than in the longer term.
49. To the extent that support levels provided to a winning bidder
become an essential source of revenue for the winning bidder, the
question of asset transfers must be considered in cases in which a
new winning bidder replaces a previously supported carrier. For
example, it might be efficient for a cellular carrier that wins an
auction to acquire towers and fiber links from a previously
supported carrier serving the same region. If asset transfers are
determined only through bilateral bargaining between the relevant
parties, incumbent LECs might have a significant advantage due to
their sunk costs. As a result, there may be fewer bidders in
subsequent auctions than would otherwise be desirable. Should there
be any oversight or other restrictions on the transfer of assets
when a new winning bidder replaces the previous auction winner? We
ask parties to comment on this analysis and its importance in
assessing the long term viability of reverse auctions for universal
service support.
## Broadband Reverse Auction Pilot Program
50. Finally, in light of the complexities in establishing a reverse
auction, we seek comment on whether we should employ a pilot program
to test the use of reverse auctions as a method for distributing
high-cost support. Specifically, we seek comment on whether we
should adopt a pilot program to replace the current high-cost
support received in a particular area. We tentatively conclude that,
in any pilot program, the reserve price should be based on the
current level of support in the particular area. We also tentatively
conclude that the states are best situated to implement any pilot
program. We seek comment on how such a pilot program should be
implemented.
51. We also seek comment on whether a pilot program should be used to
disburse high-cost support targeted to broadband Internet access
services. We note that Alltel has filed a broadband auction
proposal, and we seek comment on that proposal.[^90] Similarly, AT&T
has proposed its own broadband pilot program.[^91] We seek comment
on AT&T's broadband pilot program, and whether it would be possible
to use a reverse auction approach under that proposal.
# Procedural Matters
## Initial Regulatory Flexibility Analysis
52. As required by the Regulatory Flexibility Act of 1980, as
amended,[^92] the Commission has prepared an Initial Regulatory
Flexibility Analysis (IRFA) of the possible significant economic
impact on a substantial number of small entities by the policies and
rules proposed in this Notice. The IRFA is in the Appendix. Written
public comments are requested on this IRFA. Comments must be
identified as responses to the IRFA and must be filed by the
deadlines for comments on the Notice. The Commission will send a
copy of the Notice, including this IRFA, to the Chief Counsel for
Advocacy of the Small Business Administration.[^93] In addition, the
Notice and IRFA (or summaries thereof) will be published in the
Federal Register.[^94]
## Paperwork Reduction Act Analysis
53. This document contains proposed new information collection
requirements. The Commission, as part of its continuing effort to
reduce paperwork burdens, invites the general public and the Office
of Management and Budget (OMB) to comment on the information
collection requirements contained in this document, as required by
the Paperwork Reduction Act of 1995.[^95] Public and agency comments
are due 60 days after this notice of proposed rulemaking is
published in the Federal Register. Comments should address: (a)
whether the proposed collection of information is necessary for the
proper performance of the functions of the Commission, including
whether the information shall have practical utility; (b) the
accuracy of the Commission\'s burden estimates; (c) ways to enhance
the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information
on the respondents, including the use of automated collection
techniques or other forms of information technology. In addition,
pursuant to the Small Business Paperwork Relief Act of 2002, we seek
specific comment on how we might "further reduce the information
collection burden for small business concerns with fewer than 25
employees."[^96]
## *Ex Parte* Presentations
54. These matters shall be treated as a "permit-but-disclose" proceeding
in accordance with the Commission's *ex parte* rules.[^97] Persons
making oral *ex parte* presentations are reminded that memoranda
summarizing the presentations must contain summaries of the
substance of the presentations and not merely a listing of the
subjects discussed. More than a one or two sentence description of
the views and arguments presented is generally required.[^98] Other
requirements pertaining to oral and written presentations are set
forth in section 1.1206(b) of the Commission's rules.[^99]
## Comment Filing Procedures
55. Pursuant to sections 1.415 and 1.419 of the Commission's
rules,[^100] interested parties may file comments 30 days after
publication of this Notice in the Federal Register, and reply
comments 60 days after publication of this Notice in the Federal
Register. Comments may be filed using: (1) the Commission's
Electronic Comment Filing System (ECFS), (2) the Federal
Government's eRulemaking Portal, or (3) by filing paper copies. *See
Electronic Filing of Documents in Rulemaking Proceedings*, 63 FR
24121 (1998).
- Electronic Filers: Comments may be filed electronically using the
Internet by accessing the ECFS: <http://www.fcc.gov/cgb/ecfs/> or
the Federal eRulemaking Portal:
[http://www.regulations.gov](http://www.regulations.gov/). Filers
should follow the instructions provided on the website for
submitting comments.
- For ECFS filers, if multiple docket or rulemaking numbers appear
in the caption of this proceeding, filers must transmit one
electronic copy of the comments for each docket or rulemaking
number referenced in the caption. In completing the transmittal
screen, filers should include their full name, U.S. Postal
Service mailing address, and the applicable docket or rulemaking
number. Parties may also submit an electronic comment by
Internet e-mail. To get filing instructions, filers should send
an e-mail to <ecfs@fcc.gov>, and include the following words in
the body of the message, "get form." A sample form and
directions will be sent in response.
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- Paper Filers: Parties who choose to file by paper must file an
original and four copies of each filing. If more than one docket or
rulemaking number appears in the caption of this proceeding, filers
must submit two additional copies for each additional docket or
rulemaking number.
> Filings can be sent by hand or messenger delivery, by commercial
> overnight courier, or by first-class or overnight U.S. Postal Service
> mail (although we continue to experience delays in receiving U.S.
> Postal Service mail). All filings must be addressed to the
> Commission's Secretary, Office of the Secretary, Federal
> Communications Commission.
- The Commission's contractor will receive hand-delivered or
messenger-delivered paper filings for the Commission's Secretary at
236 Massachusetts Avenue, N.E., Suite 110, Washington, DC 20002. The
filing hours at this location are 8:00 a.m. to 7:00 p.m. All hand
deliveries must be held together with rubber bands or fasteners. Any
envelopes must be disposed of [before]{.underline} entering the
building.
- Commercial overnight mail (other than U.S. Postal Service Express
Mail and Priority Mail) must be sent to 9300 East Hampton Drive,
Capitol Heights, MD 20743.
- U.S. Postal Service first-class, Express, and Priority mail must be
addressed to 445 12^th^ Street, S.W., Washington DC 20554.
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- People with Disabilities: To request materials in accessible formats
for people with disabilities (Braille, large print, electronic
files, audio format), send an e-mail to <fcc504@fcc.gov> or call the
Consumer & Governmental Affairs Bureau at 202-418-0530 (voice),
202-418-0432 (tty).
In addition, one copy of each pleading must be sent to each of the
following:
(1) The Commission's duplicating contractor, Best Copy and Printing,
Inc, 445 12^th^ Street, S.W., Room CY-B402, Washington, D.C. 20554;
website: [www.bcpiweb.com](http://www.bcpiweb.com/); phone:
1-800-378-3160;
(2) Antoinette Stevens, Telecommunications Access Policy Division,
Wireline Competition Bureau, 445 12^th^ Street, S.W., Room 5-B540,
Washington, D.C. 20554; e-mail: <Antoinette.Stevens@fcc.gov>.
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56. For further information regarding this proceeding, contact Katie
King, Special Counsel, Telecommunications Access Policy Division,
Wireline Competition Bureau, (202) 418-7491, or
<katie.king@fcc.gov>.
# Ordering Clauses
57. Accordingly, IT IS ORDERED that, pursuant to the authority contained
in sections 1, 2, 4(i), 4(j), 201-205, 214, 254, and 403 of the
Communications Act of 1934, as amended, 47 U.S.C. §§ 151, 152,
154(i)-(j), 201-205, 214, 254, 403 and sections 1.1, 1.411-1.419,
and 1.1200-1.1216 of the Commission's rules, 47 C.F.R. §§ 1.1,
1.411-1.419, 1.1200-1.1216, this Notice of Proposed Rulemaking IS
ADOPTED.
58. IT IS FURTHER ORDERED that the Commission's Consumer and
Governmental Affairs Bureau, Reference Information Center, SHALL
SEND a copy of this Notice of Proposed Rulemaking, including the
Initial Regulatory Flexibility Analysis, to the Chief Counsel for
Advocacy of the Small Business Administration.
FEDERAL COMMUNICATIONS COMMISSION
Marlene H. Dortch
Secretary
**APPENDIX**
**Initial Regulatory Flexibility Analysis**
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1. As required by the Regulatory Flexibility Act (RFA),[^101] the
Commission has prepared this Initial Regulatory Flexibility Analysis
(IRFA) of the possible significant economic impact on small entities
by the policies and rules proposed in the Notice of Proposed
Rulemaking (Notice). Written public comments are requested on this
IRFA. Comments must be identified as responses to the IRFA and must
be filed by the deadlines for comments on the Notice provided in
paragraph 55 of the item. The Commission will send a copy of the
Notice, including this IRFA, to the Chief Counsel for Advocacy of
the Small Business Administration (SBA).[^102] In addition, the
Notice and IRFA (or summaries thereof) will be published in the
Federal Register.[^103]
## Need for, and Objectives of, the Proposed Rules
59. In the Telecommunications Act of 1996 (1996 Act), Congress sought to
preserve and advance universal service while, at the same time,
opening all telecommunications markets to competition.[^104] Section
254(b) of the Act directs the Federal-State Joint Board on Universal
Service (Joint Board) and the Commission to base policies for the
preservation and advancement of universal service on several general
principles, plus other principles that the Commission may
establish.[^105] Section 254(e) provides that only eligible
telecommunications carriers (ETCs) designated under section 214(e)
shall be eligible to receive federal universal service support, and
any such support should be explicit and sufficient to achieve the
purposes of that section.[^106]
60. In the *Universal Service First Report and Order*, the Commission
recognized certain advantages of using competitive bidding to
determine high-cost universal service support, specifically, "its
potential as a market-based approach to determining universal
service support, if any, for any given area," and "its ability to
reduce the amount of support needed for universal service."[^107]
The record at the time, however, was insufficient to support
adoption of a competitive bidding mechanism.[^108] Moreover, the
Commission found it unlikely that competitive bidding mechanisms
would be useful at that time because of the expectation that there
would be no competition in a significant number of rural, insular,
or high-cost areas in the near future.[^109] Nonetheless, the
Commission found that competitive bidding warranted further
consideration.[^110]
61. More recently, there has been renewed interest in using competitive
bidding to determine high-cost universal service support. In August
2006, the Joint Board sought comment on the merits of using auctions
to determine high-cost universal service support.[^111] In February
2007, the Joint Board held an *en banc* hearing to discuss high-cost
universal service support in rural areas, including the use of
reverse auctions to determine support.[^112] The Joint Board
received three specific auction proposals in response to the *2006
Joint Board Public Notice* and the *en banc* hearing.[^113] In a
Public Notice, released May 1, 2007, the Joint Board sought comment
on these proposals and invited commenters to file additional auction
proposals.[^114]
62. In this Notice, the Commission seeks comment on the merits of using
reverse auctions (a form of competitive bidding) to determine the
amount of high-cost universal service support provided to ETCs
serving rural, insular, and high-cost areas. In a reverse auction,
support generally would be determined by the lowest bid to serve the
auctioned area. The Commission tentatively concludes that reverse
auctions offer several potential advantages over current high-cost
support distribution mechanisms, and that the Commission should
develop an auction mechanism to determine high-cost universal
service support. The objective of the Notice is to seek comment on
this tentative conclusion and on a number of specific issues
regarding auctions and auction design that must be resolved in order
for the Commission to implement an auction mechanism.
## Legal Basis
63. The legal basis for any action that may be taken pursuant to the
Notice is contained in sections 1, 2, 4(i), 4(j), 201-205, 214, 254,
and 403 of the Communications Act of 1934, as amended, 47 U.S.C. §§
151, 152, 154(i)-(j), 201-205, 214, 254, 403 and sections 1.1,
1.411-1.419, and 1.1200-1.1216, of the Commission's rules, 47 C.F.R.
§§ 1.1, 1.411-1.419, 1.1200-1.1216.
## Description and Estimate of the Number of Small Entities to Which Rules Will Apply
64. The RFA directs agencies to provide a description of, and, where
feasible, an estimate of the number of small entities that may be
affected by the rules, if adopted.[^115] The RFA generally defines
the term "small entity"[^116] as having the same meaning as the
terms "small business,"[^117] "small organization," [^118] and
"small governmental jurisdiction."[^119] In addition, the term
"small business" has the same meaning as the term "small business
concern" under the Small Business Act, unless the Commission has
developed one or more definitions that are appropriate to its
activities.[^120] Under the Small Business Act, a "small business
concern" is one that: (1) is independently owned and operated; (2)
is not dominant in its field of operation; and (3) meets any
additional criteria established by the Small Business Administration
(SBA).[^121] Nationwide, there are a total of approximately 22.4
million small businesses, according to SBA data.[^122] A small
organization is generally "any not-for-profit enterprise which is
independently owned and operated and is not dominant in its
field."[^123] Nationwide, as of 2002, there were approximately 1.6
million small organizations.[^124]
65. The most reliable source of information regarding the total numbers
of certain common carrier and related providers nationwide, as well
as the number of commercial wireless entities, is the data that the
Commission publishes in its *Trends in Telephone Service*
report.[^125] The SBA has developed small business size standards
for wireline and wireless small businesses within the three
commercial census categories of Wired Telecommunications
Carriers,[^126] Paging,[^127] and Cellular and Other Wireless
Telecommunications.[^128] Under these categories, a business is
small if it has 1,500 or fewer employees. Below, using the above
size standards and others, we discuss the total estimated numbers of
small businesses that might be affected by our actions.
### Wireline Carriers and Service Providers
66. We have included small incumbent local exchange carriers (LECs) in
this present RFA analysis. As noted above, a "small business" under
the RFA is one that, *inter* *alia*, meets the pertinent small
business size standard (e.g., a telephone communications business
having 1,500 or fewer employees), and "is not dominant in its field
of operation."[^129] The SBA's Office of Advocacy contends that, for
RFA purposes, small incumbent LECs are not dominant in their field
of operation because any such dominance is not "national" in
scope.[^130] We have therefore included small incumbent LECs in this
RFA analysis, although we emphasize that this RFA action has no
effect on Commission analyses and determinations in other, non-RFA
contexts.
67. *Incumbent LECs*. Neither the Commission nor the SBA has developed a
size standard for small businesses specifically applicable to
incumbent LECs. The closest applicable size standard under SBA rules
is for Wired Telecommunications Carriers. Under that size standard,
such a business is small if it has 1,500 or fewer employees.[^131]
According to Commission data,[^132] 1,307 carriers reported that
they were engaged in the provision of local exchange services. Of
these 1,307 carriers, an estimated 1,019 have 1,500 or fewer
employees, and 288 have more than 1,500 employees. Consequently, the
Commission estimates that most providers of incumbent local exchange
service are small businesses that may be affected by our action.
68. *Competitive LECs, Competitive Access Providers (CAPs),
"Shared-Tenant Service Providers," and "Other Local Service
Providers."* Neither the Commission nor the SBA has developed a
small business size standard specifically for these service
providers. The appropriate size standard under SBA rules is for the
category Wired Telecommunications Carriers. Under that size
standard, such a business is small if it has 1,500 or fewer
employees.[^133] According to Commission data,[^134] 859 carriers
reported that they were engaged in the provision of either
competitive LEC or CAP services. Of these 859 carriers, an estimated
741 have 1,500 or fewer employees, and 118 have more than 1,500
employees.[^135] In addition, 16 carriers have reported that they
are "Shared-Tenant Service Providers," and all 16 are estimated to
have 1,500 or fewer employees. In addition, 44 carriers have
reported that they are "Other Local Service Providers." Of the 44,
an estimated 43 have 1,500 or fewer employees, and one has more than
1,500 employees. Consequently, the Commission estimates that most
competitive LECs, CAPs, "Shared-Tenant Service Providers," and
"Other Local Service Providers" are small entities that may be
affected by our action.
### Wireless Carriers and Service Providers
69. *Wireless Service Providers*. The SBA has developed a small business
size standard for wireless firms within the two broad economic
census categories of "Paging"[^136] and "Cellular and Other Wireless
Telecommunications."[^137] Under both categories, the SBA deems a
wireless business to be small if it has 1,500 or fewer employees.
For the census category of Paging, Census Bureau data for 2002 show
that there were 807 firms in this category that operated for the
entire year.[^138] Of this total, 804 firms had employment of 999 or
fewer employees, and three firms had employment of 1,000 employees
or more.[^139] Thus, under this category and associated small
business size standard, the majority of firms can be considered
small. For the census category of Cellular and Other Wireless
Telecommunications, Census Bureau data for 2002 show that there were
1,397 firms in this category that operated for the entire
year.[^140] Of this total, 1,378 firms had employment of 999 or
fewer employees, and 19 firms had employment of 1,000 employees or
more.[^141] Thus, under this second category and size standard, the
majority of firms can, again, be considered small.
70. *Wireless Telephony*. Wireless telephony includes cellular, personal
communications services (PCS), and specialized mobile radio (SMR)
telephony carriers. As noted earlier, the SBA has developed a small
business size standard for "Cellular and Other Wireless
Telecommunications" services.[^142] Under that SBA small business
size standard, a business is small if it has 1,500 or fewer
employees.[^143] According to Commission data, 432 carriers reported
that they were engaged in the provision of wireless telephony.[^144]
We have estimated that 221 of these are small under the SBA small
business size standard.
### Satellite Service Providers
71. The first category of Satellite Telecommunications "comprises
establishments primarily engaged in providing point-to-point
telecommunications services to other establishments in the
telecommunications and broadcasting industries by forwarding and
receiving communications signals via a system of satellites or
reselling satellite telecommunications."[^145] For this category,
Census Bureau data for 2002 show that there were a total of 371
firms that operated for the entire year.[^146] Of this total, 307
firms had annual receipts of under \$10 million, and 26 firms had
receipts of \$10 million to
\$24,999,999.[^147] Consequently, we estimate that the majority of
Satellite Telecommunications firms are small entities that might be
affected by our action.
72. The second category of Other Telecommunications "comprises
establishments primarily engaged in (1) providing specialized
telecommunications applications, such as satellite tracking,
communications telemetry, and radar station operations; or (2)
providing satellite terminal stations and associated facilities
operationally connected with one or more terrestrial communications
systems and capable of transmitting telecommunications to or
receiving telecommunications from satellite systems."[^148] For this
category, Census Bureau data for 2002 show that there were a total
of 332 firms that operated for the entire year.[^149] Of this total,
259 firms had annual receipts of under \$10 million and 15 firms had
annual receipts of \$10 million to \$24,999,999.[^150] Consequently,
we estimate that the majority of Other Telecommunications firms are
small entities that might be affected by our action.
## Description of Projected Reporting, Recordkeeping, and Other Compliance Requirements
73. In the Notice, the Commission tentatively concludes that, under a
reverse auction mechanism, bidders must hold an ETC designation
covering the relevant geographic area prior to participating in an
auction to determine high-cost support for that geographic
area.[^151] In the *ETC Designation Order*, the Commission required
ETCs designated by the Commission to submit annually certain
information regarding their networks and their use of universal
service funds.[^152] Specifically, every ETC designated by the
Commission must submit the following information on an annual basis:
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(1) progress reports on the ETC's five-year service quality improvement
plan, including maps detailing progress towards meeting its plan
targets; an explanation of how much universal service support was
received and how the support was used to improve signal quality,
coverage, or capacity; and an explanation regarding any network
improvement targets that have not been fulfilled. The information
should be submitted at the wire center level;
(2) detailed information on any outage lasting at least 30 minutes, for
any service area in which an ETC is designated for any facilities it
owns, operates, leases, or otherwise utilizes that potentially
affect at least ten percent of the end users served in a designated
service area, or that potentially affect a 911 special facility (as
defined in subsection (e) of section 4.5 of the *Outage Reporting
Order*).[^153] An outage is defined as a significant degradation in
the ability of an end user to establish and maintain a channel of
communications as a result of failure or degradation in the
performance of a communications provider's network.[^154]
Specifically, the ETC's annual report must include: (1) the date and
time of onset of the outage; (2) a brief description of the outage
and its resolution; (3) the particular services affected; (4) the
geographic areas affected by the outage; (5) steps taken to prevent
a similar situation in the future; and (6) the number of customers
affected;
(3) the number of requests for service from potential customers within
its service areas that were unfulfilled for the past year. The ETC
must also detail how it attempted to provide service to those
potential customers;
(4) the number of complaints per 1,000 handsets or lines;
(5) certification that the ETC is complying with applicable service
quality standards and consumer protection rules, *e.g.*, the CTIA
Consumer Code for Wireless Service;[^155]
(6) certification that the ETC is able to function in emergency
situations;[^156]
(7) certification that the ETC is offering a local usage plan comparable
to that offered by the incumbent LEC in the relevant service areas;
and
(8) certification that the carrier acknowledges that the Commission may
require it to provide equal access to long distance carriers in the
event that no other eligible telecommunications carrier is providing
equal access within the service area.[^157]
In the Notice, the Commission sought comment on whether the
Commission's ETC designation requirements should apply to all ETCs
participating in and/or winning universal service auctions.[^158]
## Steps Taken to Minimize Significant Economic Impact on Small Entities, and Significant Alternatives Considered
74. The RFA requires an agency to describe any significant alternatives
that it has considered in reaching its proposed approach, which may
include the following four alternatives (among others): (1) the
establishment of differing compliance and reporting requirements or
timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance or reporting requirements under the rule for small
entities; (3) the use of performance, rather than design, standards;
and (4) an exemption from coverage of the rule, or part thereof, for
small entities.[^159]
75. This IRFA seeks comment on how reverse auctions could be implemented
in a manner that reduces the potential burden and cost of
participation by small entities in the auctions. We also seek
comment on the potential impact the use of reverse auctions to
distribute high-cost universal service support would have on small
entities**.** In the Notice, the Commission offers several
alternatives that might minimize significant economic impact on
ETCs, some of which might be small entities. For example, the
Commission discusses proposals to use relatively small geographic
areas as the areas to be auctioned, and specifically seeks comment
on how the size of the geographic area affects the ability of small
entities to participate in auctions.[^160] The Commission also seeks
comment on various methods of setting reserve prices based on
current levels of high-cost support, and tentatively concludes that
the reserve price should be set at disaggregated support amounts if
the area to be auctioned is smaller than the incumbent LEC's study
area.[^161]
## Federal Rules that may Duplicate, Overlap, or Conflict with the Proposed Rules
76. None.
**STATEMENT OF**
**CHAIRMAN KEVIN J. MARTIN**
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-22 (*Joint Board Comprehensive High Cost
Recommended Decision Notice*).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-4 (*Identical Support Rule Notice*).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-5 (*Reverse Auctions Notice*).
Today, the Commission adopts several proposals to reform the high-cost
universal service program. It is essential that we take actions that
preserve and advance the benefits of the universal service program.
The United States and the Commission have a long history and tradition
of ensuring that rural areas of the country are connected and have
similar opportunities for communications as other areas. Our universal
service program must continue to promote investment in rural America's
infrastructure and ensure access to telecommunications services that are
comparable to those available in urban areas today, as well as provide a
platform for delivery of advanced services.
Changes in technology and increases in the number of carriers that
receive universal service support, however, have placed significant
pressure on the stability of the Fund. A large and rapidly growing
portion of the high-cost support program is now devoted to supporting
multiple competitors to serve areas in which costs are prohibitively
expensive for even one carrier. These additional networks don't receive
support based on their own costs, but rather on the costs of the
incumbent provider, even if their costs of providing service are lower.
In addition to recommending an interim cap, the Joint Board has
recognized the problems of maintaining this identical support rule.
I am supportive of several means of comprehensive reform for the
universal service program. I have circulated among my colleagues at the
Commission an Order that adopts the recommendation of the Joint Board to
place an interim cap on the amount of high-cost support available to
competitive ETCs. And today we adopt a Notice of Proposed Rulemaking
that would require that high-cost support be based on a carrier's own
costs in the same way that rural phone companies' support is based. I'm
supportive of both measures as a means to contain the growth of
universal service in order to preserve and advance the benefits of the
fund and protect the ability of people in rural areas to continue to be
connected.
I continue to believe the long-term answer for reform of high-cost
universal service support is to move to a reverse auction
methodology. I believe that reverse auctions could provide a
technologically and competitively neutral means of controlling the
current growth in the fund and ensuring a move to most efficient
technologies over time. Accordingly, I am pleased that we adopt today's
Notice of Proposed Rulemaking to use reverse auctions to distribute
universal service support.
**STATEMENT OF**
**COMMISSIONER MICHAEL J. COPPS, **
**Approving in FCC 08-22**
**Approving in FCC 08-4**
**Approving in Part, Dissenting in Part in FCC 08-5**
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-22 (*Joint Board Comprehensive High Cost
Recommended Decision Notice*) (Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-4 (*Identical Support Rule Notice*)
(Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-5 (*Reverse Auctions Notice*) (Approving in
Part, Dissenting in Part).
** **
The Commission adopts and seeks comment on three Notices of Proposed
Rulemaking concerning: the Federal-State Joint Board on Universal
Service's (Joint Board) recommendation on comprehensive reform of the
high-cost Universal Service support mechanism; the elimination of the
"Identical Support" rule; and the merits of using reverse auctions in
distributing high-cost support to eligible telecommunications carriers
(ETCs). I am pleased that the Commission today initiates all three
NPRMs simultaneously as I have long believed that Universal Service
reform must be done in a comprehensive, systematic manner. I write here
to express my views on all three proceedings.
I continue to believe that there are a variety of ways to promote
Universal Service and at the same time ensure the sustainability and
integrity of the fund. I believe much would be accomplished if the
Commission were to include broadband on both the distribution and
contribution side of the ledger; eliminate the Identical Support rule;
and increase its oversight and auditing of the high-cost fund.
Additionally, Congressional authorization to permit the assessment of
Universal Service contributions on intrastate as well as interstate
revenue would be a valuable tool for supporting broadband.
That being said, the Joint Board made an assortment of recommendations
of its own. I agreed with some of them and not with others. In my view,
the most important part of the recommendation is its inclusion of
broadband as part of USF for the 21^st^ Century. My views on the
recommendation are explained in further detail in my statement that
accompanied the Joint Board's recommendation and which is attached as an
appendix to the NPRM adopted today. I believe the recommendation merits
further action by the Commission, and therefore, I am pleased to support
the NPRM initiated today.
Let me briefly take this opportunity to thank the members of the Joint
Board who worked tirelessly on the difficult task of developing a
comprehensive proposal for the FCC's consideration. I congratulate
Chairwoman Tate for her leadership in bringing these recommendations to
the Commission. We are all deeply indebted to her co-chair,
Commissioner Ray Baum of Oregon, for his tireless and energetic work in
shepherding the Joint Board toward consensus on many items. And I want
to pay tribute to the always visionary yet practical efforts of the
indefatigable Billy Jack Gregg whose endless good counsel is sewn
throughout the Joint Board's recommendations.
With regard to the NPRM on the Identical Support rule, it is clear to me
that the costs of investing and maintaining wireless and wireline
infrastructure are inherently different. I believe that wireless can
and should be a part of Universal Service, but the time has come to put
an end to the irrational and costly system of supporting wireless
carriers based on the cost of wireline incumbents. I therefore am
supportive of the tentative conclusion that we eliminate this rule. The
NPRM is particularly important because it seeks comment on how best to
replace this rule and in particular the methodologies by which CETCs
should be able to recover costs for Universal Service support purposes.
The NPRM on reverse auctions is much more of a mixed bag. On the one
hand, I support the Commission's decision to seek comment on the merits
of reverse auctions as a method for distributing high-cost Universal
Service support. The Joint Board spent a great deal of time examining
the use of reverse auctions, but I must say that our review raised in my
mind many more questions than it answered. For instance, how do we
ensure that the winning bidder provides adequate quality of service?
What happens if the winner later decides it is no longer profitable to
continue its operation? And who will be responsible for establishing
the rules and enforcing them? Ironically, this purportedly market-based
approach strikes me as hyper-regulatory. For these reasons, I must
dissent from the NPRM's tentative conclusion that the Commission should
develop an auction mechanism to determine high-cost support. I believe
that the options I outlined above---including broadband as part of
Universal Service; elimination of the Identical Support rule; stepped-up
accounting oversight; and Congressional action to enable Universal
Service collections on an intrastate as well as an interstate basis
provide a more effective and less disruptive approach to Universal
Service reform.
The good news is that these three items, particularly the Joint Board
recommendation, put the urgent need for comprehensive Universal Service
reform squarely in front of the Commission. I hope the FCC will deal
with these recommendations expeditiously and comprehensively. This is no
place for piecemeal actions. We need to think expansively and
creatively about implementing the path-breaking broadband decision that
has now been presented to us. This country desperately needs a
comprehensive broadband strategy. The Joint Board recommendation
provides the opportunity for the FCC to move toward such a strategy,
working with our own rules and making suggestions to Congress in those
areas where legislative action may be required to ensure such a
strategy. I am looking forward to working with my colleagues in order
to turn these proposals into workable solutions.
**STATEMENT OF**
**COMMISSIONER JONATHAN S. ADELSTEIN,**
**Approving in FCC 08-22**
**Approving in FCC 08-4**
**Concurring in Part, Dissenting in Part in FCC 08-5**
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-22 (*Joint Board Comprehensive High Cost
Recommended Decision Notice*) (Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-4 (*Identical Support Rule Notice*)
(Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-5 (*Reverse Auctions Notice*) (Concurring in
Part, Dissenting in Part).
Through these Notices, the Commission seeks comment on potentially
profound changes to the Universal Service High Cost program. While I am
not without reservations about some of the proposals in these items, I
am pleased that the Commission is engaging in serious consideration of
how to preserve and advance universal service, one of the bedrock
principles of U.S. telecommunications policy. I am particularly
encouraged that the Commission is seeking comment on the recommendations
of the Federal-State Joint Board on Universal Service (Joint Board), and
I thank the members of the Joint Board for their considerable efforts to
bring us this Recommended Decision.
Congress and the Commission recognized early on that the economic,
social, and public health benefits of the telecommunications network are
increased for all subscribers by the addition of each new subscriber. In
Section 254 of the Communications Act, Congress affirmed the broad
principle that "consumers in all regions of the nation . . . should have
access to telecommunications and information services . . . that are
reasonably comparable to those services provided in urban areas and that
are available at rates that are reasonably comparable to rates charged
for similar services in urban areas." Implementing universal service as
intended by Congress in Section 254 of the Act is among the highest
priorities for the Commission.
The task before us -- ensuring the continued vitality of universal
service -- is particularly important as technology and the marketplace
continue to evolve. Our choices in this proceeding will have a dramatic
effect on the ability of communities and consumers in Rural America to
thrive and grow with the rest of the country. History has shown that
many rural consumers would be left behind if it weren't for the support
made available through our universal service policies.
The Joint Board's Recommended Decision for comprehensive reform of the
high cost support mechanism -- and, in particular, the decision to
include broadband as a supported service -- is a landmark development. I
have long argued that the universal service fund is an integral
component of our efforts to meet the broadband challenge. So, the
decision to embrace broadband, through the list of supported services
and through targeted funding for unserved areas, and the recognition of
the effectiveness of the current High Cost Loop Fund in supporting the
capital costs of providing broadband-capable loop facilities for rural
carriers are encouraging developments.
I must express a degree of reservation over the amount of support
allocated to the Broadband Fund, among other limitations on support.
Maintaining our commitment to connectivity, particularly in the
broadband age, is more important than ever, and the Commission must
start to provide realistic assessments of what will be required. To that
end, I am also concerned about the impact of reverse auctions and
whether such mechanisms can provide adequate incentives for build out in
Rural America. For these reasons, I dissent from the tentative
conclusions in the separate Reverse Auctions Notice. While I appreciate
the majority's willingness to flesh out details of their reverse auction
proposal, I cannot support these premature tentative conclusions, and
would have preferred a more balanced presentation of the potential
disadvantages of such an approach.
There remain many questions about the Recommended Decision and details
to be vetted. While I reserve judgment on many of the proposals, there
is much here that warrants careful consideration. The Joint Board has
wrestled with many difficult issues, including the unique role of
providers of last resort, compensation for multiple providers, and the
role of the States in fostering universal service, and I look forward to
seeking comment on their recommendations. I agree with the Joint Board's
recommendation on the identical support rule and support the separate
Notice seeking comment on alternative approaches.
As we move forward with these proceedings at the Commission, I would
like to express my sincere gratitude to all the members and staff of the
Joint Board. The Joint Board, and the many parties who participated in
those proceedings, engaged in a long and arduous effort to bring us
these recommendations. I know that we will benefit considerably from
their expertise and judgment, and I look forward to the coming dialogue
on these proposals with our state commission colleagues, consumers,
providers, and the many others with a stake in the future of universal
service.
**STATEMENT OF**
**COMMISSIONER DEBORAH TAYLOR TATE**
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-22 (*Joint Board Comprehensive High Cost
Recommended Decision Notice*) (Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-4 (*Identical Support Rule Notice*)
(Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-5 (*Reverse Auctions Notice*) (Approving).
As Federal Chair of the Federal-State Joint Board on Universal Service
(Joint Board) I am particularly pleased that we are taking this
significant step forward in the journey toward comprehensive reform of
the high-cost universal service program. This is an important program
at the heart of rural America. Its purpose, to connect all Americans to
telecommunications at affordable rates, has over the years permitted
people to be connected even in rural and remote parts of our nation.
Going forward, the Universal Service Fund will continue to play a
critical and increasing role in one of our top priorities at the
Commission -- encouraging broadband deployment to all corners of
America.
Specifically, we seek comment on the recommendation of the Joint Board
regarding comprehensive reform of high-cost universal service support.
It is also significant that we also incorporate by reference the
*Identical Support NPRM* and *Reverse Auctions NPRM*, including the
records to be developed in response to those NPRMs. I look forward to
receiving public input and examining these issues.
I would like to thank my Co-Chair, Commissioner Ray Baum of the Oregon
Public Utility Commission. I am especially pleased that all eight Joint
Board members, large and small/rural and urban/donor and recipient, were
able to come to this consensus and hope this will move us forward and
provide the basic building blocks for fundamental reform to ensure Fund
stability and viability in a fiscally responsible manner. All of the
Joint Board members deserve praise for their commitment to the in-depth
analysis of these complex issues, their desire to positively affect
public policy and to make decisions in the public interest in a
thoughtful and deliberative manner. They should all be commended for
their commitment to serve on the Joint Board in addition to their full
time positions as government officials.
**STATEMENT OF**
**COMMISSIONER ROBERT M. MCDOWELL**
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-22 (*Joint Board Comprehensive High Cost
Recommended Decision Notice*) (Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-4 (*Identical Support Rule Notice*)
(Approving).
Re: *High-Cost Universal Service Support; Federal-State Joint Board on
Universal Service*, Notice of Proposed Rulemaking, WC Docket No. 05-337;
CC Docket No. 96-45, FCC 08-5 (*Reverse Auctions Notice*) (Approving).
I have consistently stated that, while the Universal Service system has
been instrumental in keeping Americans connected and improving their
quality of life, this system is in dire need of comprehensive reform. I
have maintained that we must follow five principles when considering
reforms to the Universal Service Fund. We must: (1) slow the growth of
the Fund; (2) permanently broaden the base of contributors; (3) reduce
the contribution burden for all, if possible; (4) ensure competitive
neutrality; and (5) eliminate waste, fraud and abuse. A number of
proposals have been put forth, particularly the Joint Board's
recommendations for comprehensive reform sent to the Commission on
November 19, 2007.
By adopting these three notices of proposed rulemaking, we are moving
forward to advance specific reforms to the way the Universal Service
High Cost Fund is administered. I favor a comprehensive approach where
we can consider all ideas and options for reform of this important
program. This year the Commission has an historic opportunity to
implement meaningful and lasting fiscal reform that balances
stakeholders' concerns and promotes the interests of consumers. We
should seize this opportunity and take a bold step forward.
[^1]: Telecommunications Act of 1996, Pub. L. No. 104-104, 110 Stat. 56
(1996 Act). The 1996 Act amended the Communications Act of 1934. 47
U.S.C. § 151, *et seq*. (Communications Act or Act).
[^2]: *See* 47 U.S.C. § 254(b).
[^3]: 47 U.S.C. § 254(b)(1), (3), (5).
[^4]: 47 U.S.C. §§ 214(e), 254(e).
[^5]: *Federal-State Joint Board on Universal Service*, CC Docket No.
96-45, Report and Order, 12 FCC Rcd 8776, 8948, para. 320 (1997)
(*Universal Service First Report and Order*) (subsequent history
omitted).
[^6]: *Id*. (agreeing with the Joint Board). The Commission also agreed
with the Joint Board that "competitive bidding is consistent with
section 254, and comports with the intent of the 1996 Act to rely on
market forces to minimize regulation." *Id*. at 8951, para. 325.
[^7]: *Id*. at 8948, para. 320 ("In that regard, the bidding process
should also capture the efficiency gains from new technologies or
improved productivity, converting them into cost savings for
universal service.").
[^8]: *See id*. at 8949, para. 320. Only GTE had proposed a detailed
competitive bidding plan, which it characterized as an outline
rather than a final proposal. GTE's Comments in Response to
Questions, CC Docket No. 96-45, Attach. 1 (filed Aug. 2, 1996).
[^9]: *See Universal Service First Report and Order*, 12 FCC Rcd at
8950, para. 324.
[^10]: *See id*. at 8948, para. 320. Although the Commission indicated
it would issue a further notice of proposed rulemaking specifically
examining the use of competitive bidding to determine high-cost
support, until now, it has only sought comment in the more limited
context of using competitive bidding to identify the carrier(s) best
able to provide service to unserved tribal lands. *See id*. at 8951,
para. 325; *Federal-State Joint Board on Universal Service;
Promoting Deployment and Subscribership in Unserved and Underserved
Areas, Including Tribal and Insular Areas*, CC Docket No. 96-45,
Further Notice of Proposed Rulemaking, 14 FCC Rcd 21177, 21217-24,
paras. 93-114 (1999).
[^11]: *See Federal-State Joint Board on Universal Service*, CC Docket
No. 96-45, Order, 17 FCC Rcd 22642 (2002) (*ETC/Portability Referral
Order*); *Federal-State Joint Board on Universal Service*, CC Docket
No. 96-45, Order, 19 FCC Rcd 11538, para. 1 (2004) (*Rural*
*Referral Order*).
[^12]: *Federal-State Joint Board on Universal Service Seeks Comment on
the Merits of Using Auctions to Determine High-Cost Universal
Service Support*, WC Docket No. 05-337, CC Docket No. 96-45, Public
Notice, 21 FCC Rcd 9292 (Fed.-State Jt. Bd. 2006) (*2006 Joint Board
Public Notice*). The Joint Board also sought comment on auctions in
the ETC/Portability proceeding. *See Federal-State Joint Board on
Universal Service Seeks Comment on Certain of the Commission's Rules
Relating to High-Cost Universal Service Support and the ETC
Designation Process*, CC Docket No. 96-45, Public Notice, 18 FCC Rcd
1941, 1950, para. 20 (Fed.-State Jt. Bd. 2003).
[^13]: *See Federal-State Joint Board on Universal Service to Hold En
Banc Hearing on High-Cost Universal Service Support in Areas Served
by Rural Carriers*, WC Docket No. 05-337, Public Notice, 22 FCC Rcd
2545 (Wireline Comp. Bur. 2007).
[^14]: Statements, slides and audio transcripts from the *2007 en banc
hearing* are available at
<http://www.fcc.gov/wcb/tapd/universal_service/JointBoard/welcome.html>
(last updated Oct. 1, 2007).
[^15]: *Federal-State Joint Board on Universal Service Seeks Comment on
Long Term Comprehensive High-Cost Universal Service Reform*, WC
Docket No. 05-337, CC Docket No. 96-45, Public Notice, 22 FCC Rcd
9023, 9024-25, para.4 (Fed.-State Jt. Bd. 2007). Comments were due
May 31, 2007, and reply comments were due July 2, 2007. The Joint
Board also recommended that, as an interim measure, the Commission
adopt a cap on competitive ETC support. *See High-Cost Universal
Service Support; Federal-State Joint Board on Universal Service*, WC
Docket No. 05-337, CC Docket No.96-45, Recommended Decision, 22 FCC
Rcd 8998 (Fed.-State Jt. Bd. 2007) (*2007 Recommended Decision*).
[^16]: *See 2006 Joint Board Public Notice*, Reply Comments of
CTIA---The Wireless Association®, WC Docket No. 05-337, CC Docket
No. 96-45, Appendix (Controlling Universal Service Funding and
Promoting Competition Through Reverse Auctions, by James Stegeman,
Dr. Steve Parsons, Robert Frieden, and Mike Wilson) (filed Nov. 8,
2006) (CTIA Reply Comments).
[^17]: *See id*. Appendix at 21. For example, under the first method, if
the winning bid is \$8 per line and another bidder bids \$10, the
winning bid is 20 percent below the other bid, so the non-winning
bidder would receive 20 percent less support, or \$6.40. Under the
second method, if the winning bidder at \$8 serves fifty percent of
the market, the carrier bidding \$10 has its reduction factor
multiplied by 50 percent, for a ten percent reduction and would
receive \$7.20 per line. The purpose of the market share adjustment
value is to reduce gamesmanship opportunities available to providers
with only a small share of the market. *Id*.
[^18]: *See id*. at 9.
[^19]: *See* Letter from Kathleen Grillo, Vice President Federal
Regulatory, Verizon, to Deborah Taylor Tate, Federal Chair and Ray
Baum, State Chair, Federal-State Joint Board on Universal Service,
WC Docket No. 05-337, CC Docket No. 96-45, Appendix (Modernizing
Universal Service: A Design for Competitive Bidding), (dated Feb. 9,
2007) (Verizon Letter).
[^20]: *See id*. at 7-8.
[^21]: *See id*.
[^22]: *See id*. at 9.
[^23]: *See id*. at 5-6.
[^24]: *See id*. at 6. The specific auction design Verizon describes is
called a "clock-proxy" auction, which is a hybrid of two auction
designs, a "clock" auction and a "proxy" auction. A clock auction is
a dynamic, multiple round process in which the auctioneer announces
prices and bidders respond with quantities desired at announced
prices. It is called a clock auction because the rounds of bidding
are conducted at regular intervals. In a proxy auction, the bidding
activity is conducted by a proxy agent (a computer program)
following strict rules in order to limit the possibility of
strategic behavior by the bidder. *See id*. Appendix at 8-14.
[^25]: *See id*. at 6.
[^26]: *See id*. at 7. As a first step, Verizon proposes that the
Commission stabilize the universal service fund by placing a
reasonable cap on current high-cost support levels. Support would be
capped for each study area, with two separate caps, one for wireline
ETCs and one for wireless ETCs. *See id*. at 3-5. Verizon also
states that its auction design suggests two reserve amounts that
would each have to be satisfied: one that applies at the study area
level, and a second that applies at the wire center level. The
aggregate reserve at the study area level would be the capped amount
established at the beginning of the process. The wire center reserve
would be based on a pro-rata distribution of the study area support
to each wire center, but with some additional amount added to allow
for auction results to direct more support to higher cost wire
centers, and less to lower cost ones. This means that the sum of the
individual wire center reserves in a study area would be greater
than the aggregate reserve for the study area as a whole. The
separate imposition of the study area reserve would ensure that the
auction cannot result in an increase in support for any study area.
*Id*. at 7.
[^27]: *See* Letter from Gene DeJordy, Vice President Regulatory
Affairs, Steve R. Mowery, Vice President Public Policy, and Mark
Rubin, Vice President Federal Government Affairs, Alltel, to Deborah
Taylor Tate, Federal Chair, and Ray Baum, State Chair, Federal-State
Joint Board on Universal Service, WC Docket No. 05-337, CC Docket
No. 96-45 (dated Feb. 16, 2007) (Alltel Letter) (attaching Alltel
Universal Service Reform Proposals) (Alltel Proposal). Although
Alltel believes that it may be possible to resolve certain problems
and ultimately use reverse auctions to allocate all universal
service support, its pilot program proposal would provide support in
addition to support participating ETCs receive under the
pre-existing high-cost program. *See* Alltel Proposal at 1.
[^28]: *See* Alltel Proposal at 1.
[^29]: *Id*. Alltel suggests that broadband could be defined as any
service used for transmission of information of a user's choosing at
a transmission speed of at least 400 kbps in at least one direction,
regardless of the transmission medium or technology employed. *See
id*. at 2.
[^30]: *See id*.
[^31]: Alltel suggests that the non-winning bidders could receive 90
percent of any amounts disbursed over and above the amounts already
available under the pre-existing high-cost program. *See id*. at 3.
[^32]: *See id*. Alltel recommends that the pilot program start at about
\$25 million. *See* Alltel Proposal at Summary.
[^33]: *See 2007 Recommended Decision*, 22 FCC Rcd at 8999-9001, paras.
4-5 (recommending an interim cap on competitive ETC high-cost
support to restrain the growth of the fund); *see also Universal
Service Contribution Methodology*, WC Docket No. 06-133, Report and
Order and Notice of Proposed Rulemaking, 21 FCC Rcd 7518, 7527,
para. 17 (2006) (adopting an interim contribution measures in
response to strain on the universal service fund due to growth in
disbursements).
[^34]: This benefit would result if the Commission adopts an auction
design that awards support to a single winner per area. *See infra*
para. 14.
[^35]: 47 U.S.C. § 254(e).
[^36]: *See supra* paras. 5, 8.
[^37]: *See* 47 U.S.C. § 254(b)(5); *Alenco Communications v. FCC*, 201
F.3d 608, 619 (5^th^ Cir. 2000) ("excessive funding may itself
violate the sufficiency requirement of the Act"). To avoid this
result, support in a multiple-winner auction would need to be
distributed on a per-line basis, rather than as a fixed amount per
area.
[^38]: If subsidies were based on the number of lines, then some
households could also receive multiple indirect subsidies by
subscribing to a single wireless carrier that offers discounted
prices for additional lines to family members.
[^39]: When the subsidy is determined by the *lowest non-winning bid*,
auction theory suggests that, absent scale economies, bidders will
not change their bids when the number of winners is increased. *See*
Vijay Krishna, *Auction Theory* 181-83 (Academic Press 2002). It
follows that increasing the number of winners implies that the
lowest non-winning bid will be higher. To ilustrate, under such a
mechnism, if there were a single winner, the subsidy would be based
on the second lowest bid. If there were two winners, the subsidy
would be based on the third lowest bid, which by defintion would be
higher, since bids do not change as the number of winners increases.
Similar results would be expected if subsidies were determined on
the basis of the *lowest winning bid*, although calculations for
this case must take into account changes in optimal bidding
strategies as the number of winners increases.
[^40]: *See, e.g.*, Paul Klemperer, *Auctions: Theory and Practice*
151-67 (Princeton University Press 2004) (dealing with favorable and
unfavorable outcomes in European auctions for third generation
mobile phone spectrum licenses); *see also* J. Anton and D.Yao,
*Split Awards, Procurement and Innovation*, 20 Rand J. Econ. 538-52
(1989) (a related theoretical argument in the context of procurement
auctions).
[^41]: *See, e.g.*, Douglas W. Caves, Laurits R. Christensen, *The
Importance of Economies of Scale, Capacity Utilization, and Density
in Explaining Interindustry Differences in Productivity Growth*, 24
Logistics & Transp. Rev. 3-32 (1988).
[^42]: CTIA Reply Comments at 7. ("\[A\] 'winner-gets-more' reverse
auction structure rewards the lowest bidder with the bid level of
support, while still providing some lesser level of support for
auction participants who fail to submit the lowest bid. A
'winner-gets-more' reverse auction therefore can balance the need to
drive down the cost of universal service and minimizing competitive
distortions.").
[^43]: *See supra* para. 5.
[^44]: *See id*.
[^45]: *See supra* para. 14.
[^46]: *See* CTIA Reply Comments, Appendix at 18.
[^47]: *See* Verizon Letter at 5-6.
[^48]: *See* CTIA Reply Comments at 9, Verizon Letter at 6.
[^49]: *See* Verizon Letter at 6.
[^50]: 47 U.S.C. § 214(e)(5). The Federal-State Joint Board on Universal
Service made such recommendations in its *1996 Recommended
Decision*. *See Federal-State Joint Board on Universal Service*, CC
Docket No. 96-45, Recommended Decision, 12 FCC Rcd 87, 179-80,
paras. 172-74 (Fed.-State Jt. Bd. 1996) (*1996 Recommended
Decision*). Specifically, when the Joint Board recommended that the
Commission retain the current study areas of rural telephone
companies as the service areas for the rural telephone companies,
the Joint Board made the following observations: (1) the potential
for creamskimming is minimized by retaining study areas because
competitors, as a condition of eligibility, must provide services
throughout the rural telephone company\'s study area; (2) the Act,
in many respects, places rural telephone companies on a different
competitive footing from other local telephone companies; and (3)
there would be an administrative burden imposed on rural telephone
companies by requiring them to calculate costs at something other
than the study area level. *Id.*
[^51]: 47 U.S.C. §§ 214(e)(2), 254(e); *supra* para. 2.
[^52]: 47 U.S.C. § 214(e)(1).
[^53]: 47 U.S.C. § 214(e)(3).
[^54]: *See infra* sections F, G.
[^55]: 47 U.S.C. § 214; 47 C.F.R. §§ 63.03, 63.04, 63.71.
[^56]: *Federal-State Joint Board on Universal Service*, CC Docket No.
96-56, Report and Order, 20 FCC Rcd 6371 (2005) (*ETC Designation
Order*); 47 U.S.C. § 214(e)(6). Section 214(e)(6) of the Act directs
the Commission to designate carriers when those carriers are not
subject to the jurisdiction of a state commission.
[^57]: *ETC Designation Order*, 20 FCC Rcd at 6380, para. 20.
[^58]: *Id*. at 6380, para. 20, 6397, para. 61.
[^59]: 47 U.S.C. § 214(e)(2).
[^60]: *ETC Designation Order*, 20 FCC Rcd at 6397, para. 61.
[^61]: *See Texas Office of Public Utility Counsel v. FCC*, 183 F. 3d
393, 418 (5^th^ Cir. 1999) (*TOPUC I*), *cert. dismissed sub nom.
GTE Serv. Corp. v. FCC*, 531 U.S. 975, 121 S.Ct. 423, 148 L.Ed.2d
327 (2000).
[^62]: Consistent with *TOPUC I*, state commissions would continue to
maintain the flexibility to impose further additional eligibility
requirements in state ETC proceedings, if they so choose.
[^63]: *ETC Designation Order*, 20 FCC Rcd at 6380-81, para. 22.
[^64]: *Id*. at 6381, para. 22.
[^65]: *Id*. at 6380, para. 21.
[^66]: *Id*. at 6381-82, para. 23.
[^67]: *Id*.
[^68]: If the auction winner's obligation to serve the area is longer or
shorter than five years, we tentatively conclude that it would be
appropriate to adjust the time period for the plan to coincide with
the time period of the obligation.
[^69]: *ETC Designation Order*, 20 FCC Rcd at 6385, para. 32.
[^70]: 47 U.S.C. § 332(c)(3).
[^71]: *ETC Designation Order*, 20 FCC Rcd at 6386, para. 35.
[^72]: *Id*. at 6382-83, para. 25.
[^73]: *Id*. at 6383-84, para. 28.
[^74]: *See id*. at 6383, para. 28 & n.71; CTIA, Consumer Code for
Wireless Service, available at
<http://www.ctia.org/consumer_info/index.cfm/AID/10352> (last
retrieved October 3, 2007). Under the CTIA Consumer Code, wireless
carriers agree to: (1) disclose rates and terms of service to
consumers; (2) make available maps showing where service is
generally available; (3) provide contract terms to customers and
confirm changes in service; (4) allow a trial period for new
service; (5) provide specific disclosures in advertising; (6)
separately identify carrier charges from taxes on billing
statements; (7) provide customers the right to terminate service for
changes to contract terms; (8) provide ready access to customer
service; (9) promptly respond to consumer inquiries and complaints
received from government agencies; and (10) abide by policies for
protection of customer privacy.
[^75]: *ETC Designation Order*, 20 FCC Rcd at 6387-88, para. 37.
[^76]: *See id*. at 6387, para. 37.
[^77]: *See id*. & n.100.
[^78]: We seek comment below on the appropriate length of time between
auctions and, thus, on the term of the auction winners' obligations.
*See infra* paras. 47-49.
[^79]: *Development of Nationwide Broadband Data To Evaluate Reasonable
And Timely Deployment of Advanced Services To All Americans,
Improvement of Wireless Broadband Subscribership Data, And
Development of Data on Interconnected Voice Over Internet Protocol
Subscribership*, WC Docket No. 07-38, Notice of Proposed Rulemaking,
22 FCC Rcd 7760, para. 1 (2007) (citing *Appropriate Framework for
Broadband, Access to the Internet over Wireline Facilities, et al.*,
CC Docket No, 02-33 *et al*., Policy Statement, 20 FCC Rcd 14986
(2005) (setting forth four principles intended to "encourage
broadband deployment and preserve and promote the open and
interconnected nature of the public Internet")).
[^80]: *See supra* para. 20.
[^81]: While forward-looking cost models are not currently used to
determine high-cost loop support in rural study areas, a similar
formula could be obtained from data generated within rural
geographic areas, since most forward-looking models are also capable
of estimating costs for rural areas.
[^82]: For the 700 MHz auction (auction 73), the Commission will use
anonymous bidding. *See Auction of 700 MHz Band Licenses Scheduled
for January 24, 2008*, AU Docket No. 07-157, Public Notice, DA
07-4171, at paras. 145-56 (rel. Oct. 5, 2007).
[^83]: The SMR auction also contains detailed rules governing bid
increments, bid withdrawals, and bidder activity rules which require
active bidding in order to remain eligible to make future bids on
particular licenses. *See* *Implementation of Section 309(j) of the
Communications Act -- Competitive Bidding,* PP Docket No. 93-253,
Second Report and Order, 9 FCC Rcd 2348 (1994)*.*
[^84]: For example, if there are 30 geographic areas in an auction, then
there are 2^30^ -- 1 = 1,073,741,823 possible packages to bid for.
[^85]: Such information can serve to ameliorate the so-called "winner's
curse" in which a naïve bidder's bidding strategy is based on his or
her own private information, which, for the winning bidder, turns
out to be more optimistic than the information available to other
bidders. Knowing this, more sophisticated bidders consciously reduce
their bids in a common value setting.
[^86]: With a single bidder, the subsidy would necessarily be determined
by the reserve price.
[^87]: *See supra* para. 29; *ETC Designation Order*, 20 FCC Rcd at
6381-82, para. 23.
[^88]: *See, e.g.*, O. Williamson, *Franchise bidding for natural
monopolies -- in general and with respect to CATV*, 7 Bell J. Econ.
73-104 (1976) (discussing some of the potential difficulties of
franchise bidding in the context of cable television monopolies).
[^89]: *See id.* at 83-90.
[^90]: *See* Letter from Gene DeJordy, Vice President Regulatory
Affairs, Steve R. Mowery, Vice President Public Policy, and Mark
Rubin, Vice President Federal Government Affairs, Alltel, to Deborah
Taylor Tate, Federal Chair, and Ray Baum, State Chair, Federal-State
Joint Board on Universal Service (dated Feb. 16, 2007).
[^91]: High-Cost Universal Service Support, Federal-State Joint Board on
Universal Service, Comments of AT&T Inc., WC Docket No. 05-337, CC
Docket No. 96-45 (filed May 31, 2007).
[^92]: 5 U.S.C. § 603.
[^93]: *See* 5 U.S.C. § 603(a).
[^94]: *Id.*
[^95]: Paperwork Reduction Act of 1995, Pub. L. No. 104-13, 109 Stat.
163 (1995).
[^96]: Small Business Paperwork Relief Act of 2002, Pub. L. No. 107-198,
116 Stat. 729 (2002); 44 U.S.C. § 3506(c)(4).
[^97]: 47 C.F.R. §§ 1.1200-1.1216.
[^98]: 47 C.F.R. § 1.1206(b)(2).
[^99]: 47 C.F.R. § 1.1206(b).
[^100]: 47 CFR §§ 1.415, 1.419.
[^101]: *See* 5 U.S.C. § 603. The RFA, *see* 5 U.S.C. §§ 601 -- 612, has
been amended by the Small Business Regulatory Enforcement Fairness
Act of 1996 (SBREFA), Pub. L. No. 104-121, Title II, 110 Stat. 857
(1996).
[^102]: *See* 5 U.S.C. § 603(a).
[^103]: *Id.*
[^104]: Telecommunications Act of 1996, Pub. L. No. 104-104, 110 Stat.
56 (1996). The 1996 Act amended the Communications Act of 1934. 47
U.S.C. § 151, *et seq*. (Communications Act or Act).
[^105]: *See* 47 U.S.C. § 254(b). Among other things, there should be
specific, predictable, and sufficient federal and state universal
service support mechanisms; quality services should be available at
just, reasonable, and affordable rates; and consumers in all regions
of the nation should have access to telecommunications services that
are reasonably comparable to those services provided in urban areas
at reasonably comparable rates. 47 U.S.C. § 254(b)(1), (3), (5).
[^106]: 47 U.S.C. §§ 214(e), 254(e).
[^107]: *Federal-State Joint Board on Universal Service*, CC Docket No.
96-45, Report and Order, 12 FCC Rcd 8776, 8948, para. 320, 8951,
para. 325. (1997) (*Universal Service First Report and Order*)
(subsequent history omitted).
[^108]: *See id*. at 8949, para. 320.
[^109]: *See id*. at 8950, para. 324.
[^110]: *See id*. at 8948, para. 320. Although the Commission indicated
it would issue a further notice of proposed rulemaking specifically
examining the use of competitive bidding to determine high-cost
support, until now, it has only sought comment in the more limited
context of using competitive bidding to identify the carrier(s) best
able to provide service to unserved tribal lands. *See id*. at 8951,
para. 325; *Federal-State Joint Board on Universal Service;
Promoting Deployment and Subscribership in Unserved and Underserved
Areas, Including Tribal and Insular Areas*, CC Docket No. 96-45,
Further Notice of Proposed Rulemaking, 14 FCC Rcd 21177, 21217-24,
paras. 93-114 (1999) (*Unserved/Tribal Areas NPRM*).
[^111]: *Federal-State Joint Board on Universal Service Seeks Comment on
the Merits of Using Auctions to Determine High-Cost Universal
Service Support*, WC Docket No. 05-337, Public Notice, 21 FCC Rcd
9292 (Fed.-State Jt. Bd. 2006) (*2006 Joint Board Public Notice*).
The Joint Board also sought comment on auctions in the
ETC/Portability proceeding. *See Federal-State Joint Board on
Universal Service Seeks Comment on Certain of the Commission's Rules
Relating to High-Cost Universal Service Support and the ETC
Designation Process*, CC Docket No. 96-45, Public Notice, 18 FCC Rcd
1941, 1950, para. 20 (Fed.-State Jt. Bd. 2003). The Joint Board
currently is reviewing the Commission's rules relating to high-cost
universal service support in study areas in which competitive ETCs
receive support and the rules relating to high-cost universal
service support for rural carriers. *See Federal-State Joint Board
on Universal Service*, CC Docket No. 96-45, Order, 17 FCC Rcd 22642
(2002) (*ETC/Portability Referral Order*); *See Federal-State Joint
Board on Universal Service*, CC Docket No. 96-45, Order, 19 FCC Rcd
11538, para. 1 (2004) (*Rural* *Referral Order*).
[^112]: *See Federal-State Joint Board on Universal Service to Hold En
Banc Hearing on High-Cost Universal Service Support in Areas Served
by Rural Carriers*, WC Docket No. 05-337, Public Notice, 22 FCC Rcd
2545 (Wireline Comp. Bur. 2007). The Joint Board also sought comment
on various other proposals for long term, comprehensive reform of
the high-cost universal service support mechanisms.
[^113]: *See* Notice, paras. 5-9.
[^114]: *Federal-State Joint Board on Universal Service Seeks Comment on
Long Term Comprehensive High-Cost Universal Service Reform*, WC
Docket No. 05-337, CC Docket No. 96-45, Public Notice, 22 FCC Rcd
9023, 9024-25, para.4 (Fed.-State Jt. Bd. 2007). Comments were due
May 31, 2007, and reply comments were due July 2, 2007. The Joint
Board also recommended that, as an interim measure, the Commission
adopt a cap on competitive ETC support. *See High-Cost Universal
Service Support; Federal-State Joint Board on Universal Service*, WC
Docket No. 05-337, CC Docket No.96-45, Recommended Decision, 22 FCC
Rcd 8998 (Fed.-State Jt. Bd. 2007) (*2007 Recommended Decision*).
[^115]: 5 U.S.C. § 604(a)(3).
[^116]: 5 U.S.C. § 601(6).
[^117]: 5 U.S.C. § 601(3).
[^118]: 5 U.S.C. § 601(4).
[^119]: 5 U.S.C. § 601(5).
[^120]: 5 U.S.C. § 601(3) (incorporating by reference the definition of
"small business concern" in 5 U.S.C. § 632). Pursuant to 5 U.S.C. §
601(3), the statutory definition of a small business applies "unless
an agency after consultation with the Office of Advocacy of the
Small Business Administration and after opportunity for public
comment, establishes one or more definitions of such term which are
appropriate to the activities of the agency and publishes such
definition in the Federal Register." 5 U.S.C. § 601(3).
[^121]: 15 U.S.C. § 632.
[^122]: *See* SBA, Programs and Services, SBA Pamphlet No. CO-0028, at
40 (July 2002).
[^123]: 5 U.S.C. § 601(4).
[^124]: Independent Sector, The New Nonprofit Almanac & Desk Reference
(2002).
[^125]: FCC, Wireline Competition Bureau, Industry Analysis and
Technology Division, Trends in Telephone Service, Table 5.3, page
5-5 (February 2007) (*Trends in Telephone Service*). This source
uses data collected as of October 20, 2005.
[^126]: 13 C.F.R. § 121.201, North American Industry Classification
System (NAICS) code 517110.
[^127]: *Id.* § 121.201, NAICS code 517211 (This category will be
changed for purposes of the 2007 Census to "Wireless
Telecommunications Carriers (except Satellite)," NAICS code
517210.).
[^128]: *Id*. § 121.201, NAICS code 517212 (This category will be
changed for purposes of the 2007 Census to "Wireless
Telecommunications Carriers (except Satellite)," NAICS code
517210.).
[^129]: 15 U.S.C. § 632.
[^130]: *See* Letter from Jere W. Glover, Chief Counsel for Advocacy,
SBA, to Chairman William E. Kennard, Federal Communications
Commission (May 27, 1999). The Small Business Act contains a
definition of "small business concern," which the RFA incorporates
into its own definition of "small business." *See* 15 U.S.C. §
632(a) (Small Business Act); 5 U.S.C. § 601(3) (RFA). SBA
regulations interpret "small business concern" to include the
concept of dominance on a national basis. 13 C.F.R. § 121.102(b).
[^131]: 13 C.F.R. § 121.201, NAICS code 517110.
[^132]: *Trends in Telephone Service* at Table 5.3.
[^133]: 13 C.F.R. § 121.201, NAICS code 517110.
[^134]: *Trends in Telephone Service* at Table 5.3.
[^135]: *Id.*
[^136]: 13 C.F.R. § 121.201, NAICS code 517211 (This category will be
changed for purposes of the 2007 Census to "Wireless
Telecommunications Carriers (except Satellite)," NAICS code
517210.).
[^137]: 13 C.F.R. § 121.201, NAICS code 517212 (This category will be
changed for purposes of the 2007 Census to "Wireless
Telecommunications Carriers (except Satellite)," NAICS code
517210.).
[^138]: U.S. Census Bureau, 2002 Economic Census, Subject Series:
"Information," Table 5, Employment Size of Firms for the United
States: 2002, NAICS code 517211 (issued Nov. 2005).
[^139]: *Id.* The census data do not provide a more precise estimate of
the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with "1000
employees or more."
[^140]: U.S. Census Bureau, 2002 Economic Census, Subject Series:
"Information," Table 5, Employment Size of Firms for the United
States: 2002, NAICS code 517212 (issued Nov. 2005).
[^141]: *Id.* The census data do not provide a more precise estimate of
the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with "1000
employees or more."
[^142]: 13 C.F.R. § 121.201, NAICS code 517212.
[^143]: *Id*.
[^144]: *Trends in Telephone Service* at Table 5.3.
[^145]: U.S. Census Bureau, 2002 NAICS Definitions, "517410 Satellite
Telecommunications";
http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
[^146]: U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, "Establishment and Firm Size (Including Legal Form of
Organization)," Table 4, NAICS code 517410 (issued Nov. 2005).
[^147]: *Id*. An additional 38 firms had annual receipts of \$25 million
or more.
[^148]: U.S. Census Bureau, 2002 NAICS Definitions, "517910 Other
Telecommunications";
http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
[^149]: U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, "Establishment and Firm Size (Including Legal Form of
Organization)," Table 4, NAICS code 517910 (issued Nov. 2005).
[^150]: *Id*. An additional 14 firms had annual receipts of \$25 million
or more.
[^151]: Notice, para. 12. Section 254(e) states, in relevant part: "only
an eligible telecommunications carrier designated under section
214(e) shall be eligible to receive specific Federal universal
service support." 47 U.S.C. § 254(e).
[^152]: *ETC Designation Order*, 20 FCC Rcd at 6432, Appendix C, para.
22.
[^153]: *See New Part 4 of the Commission's Rules Concerning Disruptions
to Communications*, Report and Order and Further Notice of Proposed
Rulemaking, 19 FCC Rcd 16830, 16923-24, § 4.5 (2004) (*Outage
Reporting Order*).
[^154]: *See* *Outage Reporting Order*, 19 FCC Rcd at 16925, § 4.9.
[^155]: *CTIA, Consumer Code for Wireless Service*, available at
http://www.wow-com.com/pdf/The_Code.pdf.
[^156]: If an ETC had not previously submitted a plan demonstrating how
it will remain functional in an emergency, it should do so with its
first reporting compliance filing.
[^157]: *ETC Designation Order*, 20 FCC Rcd at 6432-34, Appendix C,
para. 23.
[^158]: Notice, paras. 28-34.
[^159]: *See* 5 U.S.C. § 603(c).
[^160]: Notice, para. 20-21.
[^161]: *Id.*, para. 39.
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