ion Act of 2000

词根词缀记忆法——英语单词高效记忆必备绝技（附检测小卷）词根前缀/ 后缀单词act （做）to do re- = back 回react v（对……作出反应）inter-: 在……之间interact v 相互交流-ive: ……性质的active adj积极的-or: ……人actor n男演员；行动者-ress: ……人（女性）actress n 女演员-ion: ……行为action n 行动；行为-u; al = ……的actual adj 实际的；真实的ex- = out 出exact adj 精确的词根前缀/ 后缀单词-ceive- （取）to take re- = back 回receive v收到；受到de- = away from离deceive v 欺骗词根前缀/ 后缀单词-cept- （取）to take ac-: 来accept v接受con-: 共同concept n概念ex- = out 外except conj & prep除……外re- = back 回receipt n 收据re- = back 回；-ion ……行为reception n 接待；欢迎词根前缀/ 后缀单词-cess- （走）to go ac-: 到access n通道；入口pro-: 向前process n过程；进程suc-(sub-) = from under自下而上success n成功词根前缀/ 后缀单词-ceed- （走）to go suc-(sub-) = from under自下而上succeed v取得成功词根前缀/ 后缀单词-clud-（关闭）to shut or close con- (com-) = thoroughly完全地；-e 动词词尾conclude v [正式用语] 结束；推断出in- = in 内；-e 动词词尾include v 包括；包含ex-= out外；-e 动词词尾exclude v 不包括词根前缀/ 后缀单词-cre- （生长）to grow -ate = to make 使……create v创造-ate = to make 使……；-ive: ……性质的creative adj 有创造力的-ate = to make 使……，-ure: ……的人/ 动物creature n 生物词根前缀/ 后缀单词-creas- （生长）to grow in- = into 成；-e 动词词尾increase v增加de- = downward 向下；-e动词词尾decrease v（使）减少词根前缀/ 后缀单词-cret- （生长）to grow con- = together 一起；-econcrete n混凝土词根前缀/ 后缀单词-dic(t)- （说）to say pre-: 预先predict v预言；预计in-= towards对；-ate:使……indicate v 指示；指出contra- = against 对抗contradict v 否认；反驳-ion = the mannerof ……行为；-ary =thing 物dictionary n词典词根前缀/ 后缀单词-duc- （引导）to lead pro-: 向前；-e 动词词尾produce v生产re-: 向后；-e 动词词尾reduce v缩减；减少intro- = into 进入；-e 动词词尾introduce v介绍词根前缀/ 后缀单词-duct- （引导）to lead con- (com-) = completely表加强词义conduct v [正式用语] 引导；带领e-(ex-) = out of 从……出来；-ate: 使……educate v（在学校）教育词根前缀/ 后缀单词-fact-（做）to do or make fact = anything done 做过的事情fact n事实-or = thing 物factor n因素-ory = place 场所factory n工厂词根前缀/ 后缀单词-fect-（做）to do or make af- (-ad-) = upon 在……之上affect v影响ef- (-ex) = out 出effect n作用；影响in- = into 进入infect v 传染；染上per- = throughout 彻底perfect adj完美的词根前缀/ 后缀单词-fer- （拿；带；负）to carry, to bring, to bear of- (ob-) = towards向offer v给予re- = back: 回refer (...) to谈到；提到pre-= before: 在……之前prefer v 更喜欢suf- (sub-) = under在……之下suffer v遭受dif- (dis-) = apart 离开differ v 不同in- = in 入infer v 推断-ry: ……行为ferry n 渡船trans- = across 越过transfer v 转移词根前缀/ 后缀单词-fin-（末尾；界限）end, limit -ish (-ise): 导致；使finish v结束；完成-al = of: ……的final adj最后的；最终的de- = down 下；-e 动词词尾define v确定……的界限；给……下定义-e fine n罚金词根前缀/ 后缀单词-form- （形状；使成形）shape, to form -al: ……的formal adj正式的uni-: 单一uniform n制服in- = into 入inform v [正式用语] 通知；告诉per-= thoroughly 彻底地perform v做；履行；执行re- = again 再reform v 改革trans- = across 到另一方transform v 使变形；使改变词根前缀/ 后缀单词-ject- （投掷）to throw in- = into 入inject v 注入；注射ob-: 在……面前object n物体pro-: 向前project n项目sub-: 在……之下subject n主题re-: 回reject v拒绝；排斥词根前缀/ 后缀单词-lect-（收集；挑选；诵读）to gather, to pick, to read col-(com-) = completely表加强词义collect v收集；采集se-: 分离select v挑选；精选e- (ex) = out 出elect v选举；推选neg- = no 不neglect v忽视-ure: ……的行为lecture n (尤指大学中的)讲座；讲课词根前缀/ 后缀单词-port- （拿；运）to carry re- = back回report v报告；汇报；报道ex- = out 出export v出口im- (in-) = 入import v进口trans-= across, from …to … 越过transport v运输-able: 可……的portable adj便于携带的sup-(-sub) = underneath在下support v支撑词根前缀/ 后缀单词-press- （压）to press im- (in-) = in 进impress v给……留下极深的印象ex- = out 出express v表达de- = down下depress v使抑郁；使沮丧-ure: ……的行为pressure n压力press）进（im）去即为impress（给……留下极深的印象）；压（press）出（ex）来即为express（表达）；向下（de）压（press）为depress（使抑郁；使沮丧）；压（press）的行为（ure）即为pressure （压力）。

Coil 2000 CompetitionThe use of a learning classifier system JXCSAndrew GreenyerThe Database Group,Colston Tower, Colston Street, Bristol, BS1 4UH UKPhone: +44 1179 183500, Fax: +44 1179 183501Email: andrewg@ABSTRACT: It is now widely accepted that large companies need to be able to emulate the old fashion corner shop: where the shopkeeper knew all his customers by name, what they liked, what they disliked and was able to recommend certain products based on his knowledge. The COIL 2000 competition emulates this situation with an insurance company trying to identify caravan insurance buyers from other insurance buyers. Traditionally direct marketing companies have used statistical techniques such as linear regression, decision trees such as CHAID and cart, through to neural networks to predict which customers are likely to respond or purchase a particular product. Our entry for the competition used a new system that has been developed jointly by University of the West of England and The Database Group, under a project funded by the UK Department of Trade. The system is based on a form of learning classifier system, known as XCS [1]. The system is designed to produce rule based criteria for identify best prospects for marketing activity.KEYWORD: Direct Marketing, Learning Classifier Systems, Genetic Algorithms1 IntroductionThe Database Group is a computer services bureau supplying services to the direct marketing industry. Its analysis division worked in the traditional statistics arena for producing models to predict and describe customers who were most likely respond to a marketing activity. In 1998 The Database Group joined forces with the Faculty of Computer Studies and Mathematics at the University of the West of England, to develop a new data mining program based on genetic algorithms and learning classifier systems.The learning classifier system used for the project was based on the XCS Classifier System, Wilson [1], which was further developed by Barry [2] into a Java based program called JXCS.This paper will discuss in an overview form the learning classifier system, and the use of the JXCS system in approaching the COIL 2000 Competition problem.2 The JXCS Learning Classifier SystemThe JXCS Learning Classifier System has the following schematic (Figure 1):Figure 1 : Schematic of JXCS Learning Classifier SystemThe process of the JXCS starts with two sets of data: The first is the environment which contains the records extracted from the database for analysis split into a training and test set with a variable defined as an action (known as the dependent variable in statistical terms) and the condition (independent variables). The second set of data is the population, which contains the classifiers. The population may be empty at the start of the analysis run or randomly populated with records extracted from the environment. The population has the maximum number of classifiers it may contain defined. Each classifier is defined by a condition, resultant action, numerosity (number of multiple occurrences of classifier) and various predictive accuracy measures.Each iteration of the JXCS starts by randomly selecting a record from the environment training set - this is known as the input message. The structure of this message is an ordered vector of attribute values, each of which has one of the following data model types:Nominal – a discrete value chosen from a finite set of unique unordered valuesOrdinal – a discrete value chosen from a finite set of unique ordered valuesContinuous – a fixed interval in a continuous rangeBinary String – a fixed length string of binary digitsThe environment provides a reward back to the JXCS. This is a function of both actual action of the current record and the predicted action by JXCS. The default scheme is to give maximum reward to a correct prediction and a minimum reward to an incorrect prediction.Each classifier is associated with a record of its performance; values are kept that are measures of ability to predict the reward for the environment state and action pairs. There are four estimates maintained, the first of which is prediction,this is an estimate of the reward that the system will receive from the environment given that the action specified by the classifier has been performed when the environment is in one of the states given by the classifiers condition. In other words it is an estimate of the proportion of examples that the classifier classifies correctly. Prediction Error can then be calculated from the absolute difference between the predicted and the actual reward a classifier receives. Accuracy is derived from the prediction error and fitness is the accuracy of a classifier relative to those classifiers with the sameaction that are active at the same time.An important aspect of the representation of the population within JXCS is the use of classifier numerosity. Classifiers with the same condition and the same action are considered to be the same classifier and share the performance measure described above. The numerosity of a classifier is effectively the number of copies of a single classifier present in the population, so the population is stored as a set of unique macro-classifiers with numerosities. Therefore, when calculating population size and averages of classifier parameters the numerosities are taken into account. This distinguishing feature of JXCS necessitates the use of two new terms: macro-classifiers and micro-classifiers. A macro-classifier has the constituent parts of a classifier as described above including a numerosity (n) and it is interpreted as consisting of n copies of a micro-classifier with the given condition, action and performance statistics. Using this representation eases the identification of ‘good’ classifiers, which would manifest themselves as macro-classifiers with large numerosities.An iteration begins by comparing the selected record from the environment with the macro classifiers from the match set (M). If the match set is empty a new macro classifier is created based upon the input message and a random action with numerosity 1. The classifiers in the match set are partitioned by action to form action sets (A), and for each action set the system prediction of the action set is calculated as a fitness-weighted measure. The system prediction is the sum of products of the prediction and fitness of each classifier divided by the sum of fitnesses.The JXCS runs in two modes of operation, explore and exploit. In the explore mode, the system seeks to broaden its search for classifiers so it chooses an action at random from those proposed within the current action sets, while in the exploit mode the system seeks to find the best classifiers so it chooses the action set with the highest prediction from within the match set.The selected action is sent to the environment to test its classifying performance and a reward is returned dependent on a reward function and the performance values of all classifiers within the selected action set are updated.If the system is in exploit mode the system can then report on the overall system performance as learning doesn’t occur. This reporting also occurs in a third test mode, which is used for testing the system on the preclassified examples that were not in the training set, namely the test set. The standard measures reported are moving averages of the system prediction, the system error (the absolute difference between the system prediction of the action set and the received reward), the number of macro-classifiers in the population and, if a unique set of optimally general classifiers is available, the percentage of this set present in the population.If the system is in explore mode then a number of rule induction operators are run if they are triggered. These operators are described in more detail below.The rule induction operators may create more micro-classifiers than the population allows, so a deletion technique is applied to remove the surplus classifiers. The classifier chosen for deletion is a macro-classifier and it is removed from the population if its numerosity is one, otherwise the numerosity is reduced by one.Once the system has updated the population after receiving a reward for the random action set chosen on an exploration step, the system will use none, either or both of two induction operators depending on the current strength of the classifiers. The Create Detector operator is the third induction algorithm, which is triggered by a failure to match the current message to any of the existing classifiers. There follows a description of each these algorithms and the conditions under which they are triggered.On both exploration and exploitation steps the Create Detector operator is fired when no classifier in the current population matches the environmental message. The operator creates a new classifier, which matches this message, and which has been generalised using a fixed user-defined generality.When the mean prediction of matched classifiers falls below a fraction of the initial prediction given to new classifiers then the Create Effector operator is triggered. This mostly works the same as the Create Detector operator by producing a new classifier that matches the current message and has been generalised using a fixed generality. The difference is that the action is guaranteed to be different to the action used in the current action set which ensures that the operator is, in fact, creating a new effector in order to enlarge the exploration space. In fact, in the kinds of problems that JXCS encounters the Create Effector operator is rarely, if ever, invoked.One of the user-defined parameters of JXCS is the GA invocation frequency. A count of each time a micro-classifier is updated by the credit allocation algorithm is kept and is reset for all those classifiers, which are in the current action set when the GA is triggered. The GA is invoked when the average count for the current action set (allowing for numerosity) is greater than the threshold invocation frequency.The GA consists of two operators: crossover and mutation. Two classifiers from the current Action Set are selected with replacement (allowing duplicates) using the macro-classifiers’ fitnesses as weights in Roulette Wheel Selection. Single point crossover is applied with a fixed probability (usually 0.8) to the conditions of these classifiers to produce two child classifiers. If crossover is not triggered the parents are copied to produce the children. Mutation then occurs on both the condition and the action. Each attribute is mutated with a fixed user-defined probability and, in general, increases or decreases the number of values that the attribute matches by a number between 0 and a fixed maximum. The action, a single-valued ordinal attribute, is mutated by generating a uniformly random value. The prediction for each child is either set as the average of parents’ predictions if crossover has been applied or is set to the prediction of a different parent. The child error is set to one quarter of the average population error and the fitness is set to one tenth ofthe average population fitness so that newly created classifiers do not contribute greatly to the calculation of system prediction or the operation of the GA until they have been evaluated a sufficient number of times.3 COMPETITION METHODOLOGYThe evaluation file of known caravan insurance buyers was first processed through commercially available modelling software, Model 1, available from Group 1 Software. This allows large numbers of variables to be evaluated in terms of their significance and sensitivity in prediction. The modelling process used a variety of traditional statistics such as regression, CHAID, CART, Bayesian probability and neural networks. The most predictive model generated was a cross validated neural network with the objective set to identifying as many caravan buyers in the top 20% of the database. The resultant model produced contained 1 hidden layer with 9 nodes and 38 inputs; this resulted in 193 known caravan insurance buyers being identified within the top 20% of the file, 55.5% of the total buyers.The most significant variables used in the model were:Variable Variable Description ImportanceSensitivity %%APERSAUT Number of Car Policies 1.95 6.87PPERSAUT Contribution Car Policies 1.99 6.79PBRAND Contribution Fire Policies 1.95 5.06MINKGEM Average Income 1.91 4.98PWAPART Contribution Third Party Insurance 1.90 4.87AWAPART Number Third Party Insurance 1.89 4.84MKOOPKLA Purchasing Power Class 1.91 4.70MOSHOOFD Customer Main Type 1.92 4.58MOSTYPE Customer Sub Type 1.92 4.45MHHUUR Rented House 1.89 4.30MHKOOP Home Owners 1.89 4.30MAUT0No Car 1.89 4.15MOPLLAAG Lower Level Education 1.90 4.10MINKM30Income < 30,000 1.90 3.85ABRAND Number of Fire Policies 1.88 3.68MINK4575Income 45-75,000 1.89 3.64MAUT1 1 Car 1.89 3.48MOPLHOOG High Status 1.89 3.41MRELGE Married 1.89 2.97MBERHOOG High Level Education 1.88 2.95MSKA Social Class A 1.89 2.88MRELOV Other Relation 1.88 2.88MSKC Social Class C 1.88 2.74MBERARBG Skilled Labourers 1.88 2.15APLEZIER Number of Boat Policies 1.880.70PPLEZIER Contribution Boat Policies 1.890.68These variables were input into the JXCS software to further refine the modelling process. After multiple passes through the software the best results were achieved using the variables; PBRAND, MOSHOOFD, MOSTYPE, PPERSAUT and APERSAUT, the resultant accuracy curves generated are shown in figure 2.Figure 2: Accuracy Curves from JXCSThe accuracy curve (dark blue) shows the model levels out after approximately 3,000 iterations and remains around the 70% level, with the corresponding error curve (red) around the 40% level. The light blue curve represents the percentage of the maximum number of classifiers contained within the classifier population, we can observe that the number of classifiers required decreases over time although the accuracy remains level. The number of classifiers finally settled at 22. Out of the 22 rules generated 9 were significant in their prediction of a caravan buyer, by applying these rule to the total file identified 193 caravan insurance buyers out of 1159 records giving a 16.7% response rate.To score the selection file both the neural network and the JXCS rules were applied and 800 records were selected to be submitted based on being in the top 30% of records according to the neural network and identified by the JXCS rules as being likely caravan insurance buyers.This resulted in 112 policy records being identified from the 800 records submitted giving a response rate of 14% and placing our submission in joint third place in the competition.4 CONCLUSIONIn the application of JXCS to this real world problem we have been able to illustrate an improvement in the overall accuracy of applying the rule set generated, when JXCS is used in conjunction with the learning achieved through the statistical methods.Further research is now being undertaken in the use of continuous data variables within JXCS, processing large volumes of commercial data, conversion of rules generated into an easily readable form and being able to use directly, learning achieved through our traditional statistic routines. We are also examining other fitness functions that smooth out the predicted results and associated errors achieved by adding in extra rules.References[1] Wilson, S.W., Generalisation in the XCS classifier system, GP98, 1998[2] Barry, A, The XCS Classifier, Technical report, Faculty of Computer Studies and Maths, UWE, UK, 1998[3] Greenyer, A, The use of learning classifier systems in the UK direct marketing industry, Data Mining 2000 Conference。

European Group of Public Administration Conference 2008 Evolution of Open Government Information in ChinaJiang Ying1Public Administration, Korea UniversityAbstract: The evolution of China’s Open Government Information Regulation shows the features of change from “Secrecy is normal and open is exception”to “Open is normal and secrecy is exception”, breakthrough in localities, and a tool for government transparency improvement. In a Chinese context, the implementation of Open Government Information, as a relative new innovative regulation, must face a lot of challenges, mainly related to the enormous tasks for all government agencies, weakness of OGIR, decentralized approach without clear central instructions and c onflicts with other laws or regulations. Therefore, it will take the Chinese government agencies a long time to get used to the new concept of government sharing information with the public and to help this regulation take root in China.I. IntroductionNowadays, more than 60 countries all over the world have the so-called Freedom of Information Act (FOIA)2and more than 30 cities in China have promulgated local regulations on Open Government Information (Jamie P. Horsley, 2007). On May 1, 2008 China’s Open Government Information Regulation (OGIR)3finally came into force, after more than 12 months’ preparation (The State Council, 2007), which empowers citizens to access to government information and explicitly requires government agencies to be more open in information disclosure to boost official transparency. Although there are some differences between China’s OGIR and international FOIAs, some basic rules are the same, such as “Open is normal and secrecy is exception4”, which is far-reaching for the construction and reform of China’s E-government inherited from the livelong history of government secrecy.So far, among all the local OGIR5s, while the State Council deliberated over a draft of China’s 1Jiang Ying, Chinese, Public Administration, Korea University.2Freedom of Information Act (FOIA): 信息自由法in simplified Chinese.3China’s Open Government Information Regulation (OGIR): 政府信息公开条例in simplified Chinese, a national regulation which was announced by the State Council(simplified Chinese: 国务院), China’s cabinet, on April 24, 2007 and took effect on May 1, 2008. Within Chinese legal system, administrative regulation promulgated by the State Council, such as OGIR, is only subordinate to the constitution and the laws passed by the National People’s Congress(simplified Chinese: 全国人民代表大会).4Open is normal and secrecy is exception: 以公开为原则，以不公开为例外in simplified Chinese.5In this paper, the national regulation on open government information is called as “China’s Open Governmentfirst regulation on open government information, Shanghai6, a global metropolis, announced China’s first provincial-level open government information regulation on January 20, 2004 and put it into effect on May 1, 2004 (Eastday web, 2008). Shanghai’s Municipal Open Government Information Regulation then became the “Gold Standard” followed by China’s central government and other provinces, because the Municipal OGIR in Shanghai represents the most comprehensive framework and contains more details than the pioneering Guangzhou Municipal Open Government Information Regulation announced on November 6, 2002 and in effect on January 1, 2003 (the Guangzhou Government, 2002) and other local ones.Between May 1, 2004, the commencement of the Municipal OGIR in Shanghai, and December 31, 2007, Shanghai government agencies received a total of 35,282 access requests (see the following chart). In 2007, a total of 6,485 requests were received, a decrease by 1,048 (13.91%) from 2006, 5,980 (47.97%) from 2005 and 2314 (26.30%) from 20047. It indicates that the capacity of government’s publishing government information is increasing. Moreover, the percentage of full-disclosure responses in 2007 is lower than those of last three years (compared to 67.61% in 2007 and 75.06% in 2006, 74.97%in 2005 and 79.26% in 2004). However, the percentage of refusals increases from 20.48% in 2006 to 27.32% in 2007 (21.92% in 2005 and 15.25% in 2004) and more refusals fall within the scope of the six stipulated exemptions (compared with 25.34% in 2007 and 13.40% in 2006, 23.6% in 2005 and 6.5% in 2004). It indicates that the quality of requests or the public bod y’s capacity to handle FOI requests is increasing. (Shanghai Municipal Informational Commission, Shanghai Open Government Information Annual Report 2004, 2005, 2006, 2007).Table 1 Data on Shanghai Open Government InformationShanghai Open Government Information Annual Report 2004, 2005, 2006, 2007.In the Chinese context, the evolution of open government information surely demonstrates differences from democratic countries such as the United States. Moreover, China’s unique context make the implementation of China’s OGIR extremely challenging and seemingly difficult to carry out. When switching attention to China’s OGIR, the following questions come into mind: what are the features of the evolution of China’s OGI? What differences exist between A merican FOIA and China’s ORIG? What challenges do China’s government agencies face?Information Re gulation” (China’s OGIR), and the local regulations on open government information are called as “name of city, municipality etc. pulsing Open Government Information Regulation” such as Shanghai Municipal OGIR.6Shanghai has special status as a provincial-level city directly under the central government and is called as a municipality (直辖市in simplified Chinese). There are four municipalities in china, including Beijing, Shanghai, Tianjin and Chongqing.7In 2004, Shanghai ORIG only operated for eight months (form May 1 to December 31).II. Historical development of open government information in China1. The uprise of open government information in ChinaLike many countries, China has a long well-entrenched tradition of government secrecy. It is estimated that around 80% of useful information is possessed by the Chinese governments, among which almost 80% languishes in government files, an enormous waste of social resources (The Information Office of Fanchang County, 2007). This culture of government secrecy has meant that government agencies act as a bottleneck for a free flow of economic, social and other information that would have facilitated continuous dynamic growth and development. Along with the economic booming and the increasingly social differentiation, China’s central government came to realize that the lack of transparency of government contributes to corruption, misallocation of resources and distrust of public institutions, so it is important to share information with the public to improve government transparency.Sensitivity of the right to know in China 6 years agoIn China, the “right to know” does not appear in China’s Constitution and was claimed as one of the civil and political rights and as part of its human rights program (State Council Information Office, 2003). China’s rapid economic development and China’s entering World Trade Organization (WTO) in 1999 required China’s government to make government information transparent and therefore two campaigns were launched by central government-the informatization8of government affairs and open administrative affairs9. Therefore, in 2000, a Joint Directive of the Central Committee of People’s Republic of China and the State Council clearly addressed the people’s right to know and urged the government agencies at lower levels to formulate relative regulations and the complying institutions. Therefore, there were enormous official circulations and documents from top to bottom. However, this regulation was not welcomed by the bureaucrats, since the regulation could, to some extent but not very effectively, constrain agencies’ habitual abuse of “state secre cy” to cover up their expenditures, programs as well as their policies, and documents. Obviously, at that time, the implementation was not very effective and was held back by bureaucrats’ resistance. Moreover, it was still sensitive to refer to the right to know, indicated by a real episode in 2002. The News Probe, a famous TV program in China, wanted to do a special program for its fifth anniversary, by collecting all big controversies in China, such as environment pollution, sandstorms, environmental damage and so on, that happened in past five years, and named the program as “you have the right to know”. However, just because of the name-“you have the right to know”, this program was cancelled by senior related leaders even without having a look at the contents (Zhou Hanhua, 2008).Turning point of open government information in ChinaDuring the first ten years of the implementation of China’s Secrecy Law10, there were so many problems showing up to warn central government to revise it. In summary, the key problem of Secrecy8Informatization is 信息化in simplified Chinese.9Open administrative affairs is 政务公开in simplified Chinese.10China’s Secrecy Law was announced on September 5, 1988 and put into effect on May 1, 1989./News_View.asp?NewsID=1776Law was that there were too many secrets and almost everything was a secret. Realizing that the Secrecy Law should be adapted to the Reform and Opening Up policy, President Jiang Zemin stressed to keep secrets needed to be controlled, and open information needed to be disclosed. Since that time, secrecy and openness have been proved as two sides of a problem or a contradictory phenomenon and open information stated to attract more attention from both the citizens and the government agencies. A working group was set up in 1999 within the Chinese Academy of Social Sciences11to study such legislation and in 2001 it was committed by the Information Office of State Council12to draft China’s OGIR (Guang Ming News, 2006). In China, the Freedom of Information Act13of United States was translated into “情报自由法”. Duo to the sensitive meaning of “情报” and “自由”in China, “信息公开” was used instead14. Finally, the concept of Open Government Information first appeared in official document-the Guidance on the Construction of E-government- in 2002(The General Office of CCP, 2002).Tortuous development of open government information in ChinaChina’s practices relating to open government information could be traced back to the area of publicizing government administrative affairs first at village level in the early 1980’s. The practice of disclosure of village administrative affairs was standardized only after the publication of the Organic Law of the Village Committee in 1988. A fter taking into account various experiences during the following decade, the General Office of the Central Committee, CPC15and the General Office of the State Council16clarified the importance of the disclosure of village administrative affairs in Joint Opinions on Perfecting Systems of Transparency in Village Affairs and a Democratic Administration System and then open government information in China has expanded in scale to areas such as urban affairs, police, inspections and etc. In 2000 and 2005, the above two General Offices respectively publicized a series of documents on these issues, including Opinions Regarding Further Steps to Promote Transparency of Government Affairs in Local Government at Town and Village Level and Opinions on Further Enforcing Government Administration Publication(The General Office of the Central Committee, CPC and the General Office of the State Council, 2005). Those documents stressed11Chinese Academy of Social Sciences, 中国社会科学院in simplified Chinese, is the national academy of the People's Republic of China for the social sciences in Beijing. It is an institution of the State Council of China. It was founded in May1977 growing out of the Department of Philosophy and Social Sciences, Chinese Academy of Sciences.12The Information Office of State Council was set up in 2001, with Zhu Rongji(朱镕基) as executive and Hu Jingtao(胡锦涛) as vice executive.13The Freedom of Information Act (FOIA) is the implementation of freedom of information legislation in the United States. It was signed into law by President Lyndon B. Johnson on July 4, 1966 (Amended 2002), and went into effect the following y ear. This act allows for the full or partial disclosure of previously unreleased information and documents controlled by the United States Government. The Act defines agency records subject to disclosure, outlines mandatory disclosure procedures and grants nine exemptions to the statute. /wiki/Freedom_of_Information_Act_(United_States)14“I nformation” has two meanings of “情报” and “信息”and “freedom” has two meanings of “自由” and “公开”in Chinese.15The Central Committee of the Communist Party of China (simplified Chinese: 中国共产党中央委员会), formerly as Central Executive Committee (simplified Chinese: 中央执行委员会) before 1927, is the highest authority within the Communist Party of China elected by the Party National Congresses. The Central Committee has about 300 members and nominally appoints the Politburo of the Communist Party of China.16The General Office of the State Council is 国务院办公厅in simplified Chinese. The State Council (simplified Chinese: 国务院), which is largely sy nonymous with the Central People's Government (simplified Chinese: 中央人民政府), is the chief administrative authority of the People's Republic of China. It is chaired by the Premier and includes the heads of each governmental department and agency. There are about 50 members in the Council.the significance of openness and the urge of open government information from the perspective of promoting social democracy, enhancing social harmony, constructing a rule-by-law based government, and preventing corruption at its resources.Gradually, the open government information has been put on the agenda to meet the requirements of law-based administration, management innovation, information needed for national informatization, and a transparent government. In recent years, central and local governments have successfully implemented open government information and announced a series of relevant legal documents. So far, almost all government agencies directly under the State Council have publicized regulations on information disclosure on their own. At local government level, Guangzhou city, a pioneer in announcing local regulations on open government information, promulgated the Guangzhou Municipal OGIR on November 6, 2002 and placed it in effect on January 1, 2003, and this example was followed by many other cities. Cities, especially, like Shanghai and Wuhan have developed a sound annual reporting system on open government information. The relevant practices performed by departments under the State Council and local governments have, on the one hand, improved government’s capacity to disclose government information on its own initiative and gained a plenty of experiences, while, on the other hand, they have built up a favorable impetus for the promulgation of the national OGIR (China’s OGIR).2. History of legislation on open government information in ChinaA working group was set up in 1999 within the Chinese Academy of Social Sciences to study the legislation on China’s OGIR and in 2001, it was committed by the Information Office of State Council to draft the regulation, guided by a decision from the State Informatization Leading Group (SILG)17of the Information Office of the State Council. At the end of 2002, the Regulation was put in the legislation schedule of the State Council as a legislative investigation program and was arranged under the jurisdiction of the State Council Legislative Affairs Office (SC-LAO)18. Moreover, in November 2002, the State Informatization Leading Group (SILG), in the Guiding Opinions on Constructing E-Government, addressed its strong determination to formulate regulation related to open government information. The State Council, in its Guidelines for Building a Government by Law 2004, considered three tiers of information disclosure as crucial to the fulfillment of a law-oriented administration: administrative decision-making, administration, and government information. In 2005, the General Office of the Central Committee, CPC and the General Office of the State Council presented their consensus on accelerating the formulation of the Opinions on Further Enforcing Government Administration Publication. In 2006, SC-LAO promoted and held workshops on open government information under the support of the EU-China Information Society Project in order to gain lessons from European Union states. On January 17, 2007, China’s OGIR was finally approved at the 165th Executive Meeting of the State Council, announcing its publication on April 5, 2007 and its effective date on May 1, 2008. (Wang Yijun, 2007; Yang Huayun, 2007; Ministry of Civil Affairs of the People’s Republic of China, 2008 ).3. Features of the development of open government information in China17The State Informatization Leading Group (SILG) is 国家信息化领导小组in simplified Chinese.18The State Council Legislative Affairs Office (SC-LAO) is 国务院法制办in simplified Chinese.Big change from “Secrecy is normal and open is exception” to “Open is normal and secrecy is exception”In two thousand years of the Chinese bureaucratic history, China has a long history of maintaining monopolies on official information and official secrecy has been the norm and open has been the exception. China’s Constitution does not grant Chinese citizens a right to information and existing legislations, including laws on protecting state secrets, undefined “business secre ts”and archived materials, emphasizing secrecy rather than sharing of government information. In China, it is common to hear that “the information is the currency of power”19, driven by strong motivators at both institutional and individual levels. Institutionally, an information asymmetry between the ruling bureaucracy and the subjects made it easier to maintain authoritarian political control (He B. 2004). For individual officials, control over information was translated into power. The ability to control the flow of this scarce resource was an extremely valuable tool within the bureaucracy.However, since 2002, China’s government has paid much more attention to open government information and gained valuable experience, driven by the external impetus toward greater openness of China’s international and bilateral commitments and the domestic motivation for sharing of government information to serve economic development, improve public trust in the government, curb government corruption and promote better governance at all levels of go vernments. For the public, the concept of open government information has been accepted gradually. Just before and after the promulgation of Open Government Information Regulation, several big events happened including China-Jiaoji railway accident on April 28, 2008, Wenchuan earthquake on May 12, 2008 and Shanghai police attacked on July 1, 2008, at perfect timing, on time, to check and supervise the implementation of China’s OGIR. The common trend in disclosing those pieces of information is that the period between the happening and the disclosing is less than 5 hours (Zhongxin web, 2008), compared with the lack of information disclosure in the events of outbreaks of infections diseases like SARS in 2003 and bird flu in 2004 and 2005.Therefore, the Open Government Information Regulation could be seen as a “milestone”in changing from “Secrecy is normal and open is exception” to “Open is normal and secrecy is exception”and as a “landmark”in establishing a new regime of citizen’s right to government information and building a more transparency government, given the inherited livelong culture of secrecy and the bureaucrat s’persisting behavior and the remaining conflicts between pro-secrecy norms and pro-transparency requirements.Breakthrough in localitiesAlthough the bill for China’s OGIR was submitted as early as at the end of 2002, only until January 17, 2007 did the bill pass internally from the State Council, staying as a secondary legislative plan of State Council for as long as 4 years, and until May 1, 2008 China’s OGIR was finally put into effect. However, this is not the first time that government transparency regulations have been piloted in China. While the central government mulled over the national regulation, Guangzhou government first19“The information is the currency of power” is “信息就是权利,权利就是金钱” in simplifies Chinese.formulated its own Municipal OGIR on January 1, 2003, which not only standardized municipal open government information, but also introduced revolutionary regime of information rights for citizens, and set up fundamental principles of presumption of information disclosure. However, the subsequent SARS outbreak held back its implementation. A year later, learning from Guangzhou experience and SARS, Shanghai government launched its own Municipal OGIR at provincial-level and developed a sophisticated approach to ensure the information flow, enlarge citizen’s right of access to information and supervise the implementation. The municipal government set up an independent website and a committee dedicated to facilitate the work, making the city a leader in information transparency. By the end of 2007, it had made a total of 258,772 documents public (Shanghai Municipal Informational Commission, 2007), including policy circulations and statements, statistical digests, reports, government schedules and so on. A survey shows that 95% citizens in Shanghai are aware of the Shanghai Municipal OGIR. Shanghai’s lead has since been followed by many other local governments and China’s also generally followed the “G old Standard” of Shanghai’s Municipal OGIR in its basic structure. Experts estimated that 42% of local governments have now issued relevant regulations (Chang Tianle, 2007) and the Shanghai’s Municipal OGIR was especially duplicated in other regional regulations with moderate modifications. Up till now, 34 of 80 provinces, autonomous regions and municipalities who have the legislative authority and 36 departments of the State Council have formulated rules or regulations for open government administrative information and 7 provinces have actually developed local laws to govern information transparency. Therefore, the expansion of open government information is rapidly spreading across the whole country.Climent Chen puts forwards that in the absence of unified coordination, the scattered lawmaking converge into an ongoing bottom-to-top movement, which in turn stimulate the legislation in central level. But the national regulation is more conservative then some local ones.A tool for government trans parency improvementChina is implementing a regulation that gives citizens the right to government information and greater insight into the administrative affairs of the state. Nowadays, the central government has much weaker administrative power over decentralized local governments, and therefore hopes that China’s OGIR will help monitor local government agencies, in order to curb outright corruption and rent-seeking behavior at its source by increasing government transparency and boosting official transparency. In recent years, open government information contributes to the two prevailing campaigns of environmental protection and audit by public supervision in China. The departments such as environmental protection and audit were relative weaker than the National Development and Reform Commission20and the Ministry of Commerce of the People’s Republic of China21, but are now stronger than ever duo to the implementation of China’s OGIR which corresponds to China’s new information management trend. The implementation of China’s OGIR has great influence in the20The National Development and Reform Commission is 中华人民共和国国家发展和改革委员会in simplified Chinese. The NDRC is a macroeconomic management agency under the State Council, which studies and formulates policies for economic and social development, maintains a balance of economic aggregates and guides the overall economic sy stem restructuring.21The Ministry of Commerce of the People’s Republic of China is 中华人民共和国商务部in simplified Chinese. The Ministry of Commerce of the People's Republic of China (MOFCOM), formerly Ministry of Foreign Trade and Economic Co-operation (对外贸易经济合作部, MOFTEC) is one of the ministries of the State Council of China. The current minister is Chen Deming.extreme aspect of government administration: administrative affairs have changed from under non-transparency or semi-transparency to under transparency; government information from not being shared with the public to being shared with the public proactively; access to governme nt information from being controlled secretly to being participated in partially by government. That is, China’s OGIR opens a “strobe” which can never be closed again.Moreover, not like other developing countries benefitting from international transparency experts, China’s uprise of open government information is an internally generated reform, driven mainly by domestic demands for sharing government information to curb government corruption and to promote better governance at all levels of governments and external impetus of China’s entering WTO. In addition, China has adapted its OGIR to its own conditions, rather than relying on the FOI model of the United States.III. Comparative analysis between American FOIA and China’s OGIRIt is A merican FOIA that has the most power and influence on freedom of information all over the world. Under the lead of A merican FOIA, since 1970s, more regulations or laws on freedom of information have emerged in different countries, making the regulation or law on freedom of information the most innovative regulation in contemporary legislation. In contrast, China’s OGIR has just taken one step, and must face a lot of challenges during implementation stage. Therefore, while noticing the differences between American FOIA and China’s OGIR, through comparing China’s OGIR with A merican FOIA, it might be insightful for China’s government to take some lessons from the American experience.1. Types of information proactively disclosedIn the American FOIA, record, labeled as proactive information, is information that would be an agency record maintained by an agency in any format, including an electronic format and informat ion that is maintained for an agency by an entity under Government contract, for the purpose of records management. The FOIA explicitly applies only to federal government agencies, which includes any executive department, military department, Government corporation, Government controlled corporation, or other establishments in the executive branch of the Government(including the Executive Office of the President), or any independent regulatory agency. All the information created or obtained by the above agencies should be covered by FOIA (FOIA, 2007).For records created on or after November 1, 1996, within one year after such date, each agency shall make such records available. Each agency should separately state and publish in the Federal Register to the public information on its central and field organization and the established places, the general course and method by which its functions are channeled and determined, rules of procedure, forms available or the places, and substantive rules of general applicability and general policy. Also the public should be available to public inspection and copying of information on final opinions made in the adjudication of cases, those statements of policy and interpretations not published in the Federal Register, administrative staff manuals and instructions to staff that affect a member of the public, copies of all records in case of subsequent requests for substantially the same records, and a general。

act的用法总结大全（学习版）编制人：__________________审核人：__________________审批人：__________________编制学校：__________________编制时间：____年____月____日序言下载提示：该文档是本店铺精心编制而成的，希望大家下载后，能够帮助大家解决实际问题。

文档下载后可定制修改，请根据实际需要进行调整和使用，谢谢!并且，本店铺为大家提供各种类型的经典范文，如英语单词、英语语法、英语听力、英语知识点、语文知识点、文言文、数学公式、数学知识点、作文大全、其他资料等等，想了解不同范文格式和写法，敬请关注!Download tips: This document is carefully compiled by this editor.I hope that after you download it, it can help you solve practical problems. The document can be customized and modified after downloading, please adjust and use it according to actual needs, thank you!In addition, this shop provides various types of classic sample essays, such as English words, English grammar, English listening, English knowledge points, Chinese knowledge points, classical Chinese, mathematical formulas, mathematics knowledge points, composition books, other materials, etc. Learn about the different formats and writing styles of sample essays, so stay tuned!act的用法总结大全act的意思act的简明意思n. 行为；行动；法案；(戏剧、歌剧等的)一幕；假装v. 行动；举止；假装；表演；扮演；充当；有效果英式发音 [ækt] 美式发音 [ækt]act的词态变化为:形容词: actable 名词: actability 过去式: acted 过去分词: acted 现在分词: acting 第三人称单数: acts act的详细意思在英语中，act不仅具有上述意思，还有更详尽的用法，act作名词 n. 时具有法令，法案，条例，决议（书）;行为，行动，动作，举动，所为;（简短的）节目;装腔作势;【戏】（常大写）幕，一幕;段;学位论文答辩;假装等意思，act作动词 v. 时具有假装，装出，装作;行动，行为;表演，演戏，当演员;起（某种）作用，见效，生效，奏效;饰，扮演（角色），充当;举止与…相称，表现;做，做事;用作，干;学，仿效;尽职责;下判决;实行，实施;激励，驱使等意思，act作abbr. abbr. 时具有=Action for Children's Television，儿童电视行动组织;=American College Test，美国大学测验;=Australian Capital Territory，（澳大利亚）首都直辖区;=Association of Classroom Teachers，（美国）任课教师协会等意思，act的具体用法用作名词 n.act的基本意思是“行为,行动”,指时间较短的具体的“行为”,此行为可以由个人、群体或不具人格的实体来完成,而且不受动机、性质或结果的限制,具有单一性及完满性。

August 26, 2021Intuitive Surgical, Inc.Jennifer SiuSr. Regulatory Affairs Specialist1266 Kifer RoadSunnyvale, California 94086Re: K212048Trade/Device Name: Ion Endoluminal System (Ion Fully Articulating Catheter), Ion EndoluminalSystem (Ion Peripheral Vision Probe)Regulation Number: 21 CFR 874.4680Regulation Name: Bronchoscope (Flexible Or Rigid) And AccessoriesRegulatory Class: Class IIProduct Code: EOQDated: June 28, 2021Received: June 30, 2021Dear Jennifer Siu:We have reviewed your Section 510(k) premarket notification of intent to market the device referenced above and have determined the device is substantially equivalent (for the indications for use stated in the enclosure) to legally marketed predicate devices marketed in interstate commerce prior to May 28, 1976, the enactment date of the Medical Device Amendments, or to devices that have been reclassified in accordance with the provisions of the Federal Food, Drug, and Cosmetic Act (Act) that do not require approval of a premarket approval application (PMA). You may, therefore, market the device, subject to the general controls provisions of the Act. Although this letter refers to your product as a device, please be aware that some cleared products may instead be combination products. The 510(k) Premarket Notification Database located at https:///scripts/cdrh/cfdocs/cfpmn/pmn.cfm identifies combination product submissions. The general controls provisions of the Act include requirements for annual registration, listing of devices, good manufacturing practice, labeling, and prohibitions against misbranding and adulteration. Please note: CDRH does not evaluate information related to contract liability warranties. We remind you, however, that device labeling must be truthful and not misleading.If your device is classified (see above) into either class II (Special Controls) or class III (PMA), it may be subject to additional controls. Existing major regulations affecting your device can be found in the Code of Federal Regulations, Title 21, Parts 800 to 898. In addition, FDA may publish further announcements concerning your device in the Federal Register.Please be advised that FDA's issuance of a substantial equivalence determination does not mean that FDA has made a determination that your device complies with other requirements of the Act or any Federal statutes and regulations administered by other Federal agencies. You must comply with all the Act'sK212048 - Jennifer Siu Page 2 requirements, including, but not limited to: registration and listing (21 CFR Part 807); labeling (21 CFR Part 801); medical device reporting (reporting of medical device-related adverse events) (21 CFR 803) for devices or postmarketing safety reporting (21 CFR 4, Subpart B) for combination products (seehttps:///combination-products/guidance-regulatory-information/postmarketing-safety-reporting-combination-products); good manufacturing practice requirements as set forth in the quality systems (QS) regulation (21 CFR Part 820) for devices or current good manufacturing practices (21 CFR 4, Subpart A) for combination products; and, if applicable, the electronic product radiation control provisions (Sections 531-542 of the Act); 21 CFR 1000-1050.Also, please note the regulation entitled, "Misbranding by reference to premarket notification" (21 CFR Part 807.97). For questions regarding the reporting of adverse events under the MDR regulation (21 CFR Part 803), please go to https:///medical-devices/medical-device-safety/medical-device-reporting-mdr-how-report-medical-device-problems.For comprehensive regulatory information about medical devices and radiation-emitting products, including information about labeling regulations, please see Device Advice (https:///medical-devices/device-advice-comprehensive-regulatory-assistance) and CDRH Learn(https:///training-and-continuing-education/cdrh-learn). Additionally, you may contact the Division of Industry and Consumer Education (DICE) to ask a question about a specific regulatory topic. See the DICE website (https:///medical-devices/device-advice-comprehensive-regulatory-assistance/contact-us-division-industry-and-consumer-education-dice) for more information or contact DICE by email (************.gov) or phone (1-800-638-2041 or 301-796-7100).Sincerely,Shuchen Peng -SShu-Chen Peng, Ph.D.Assistant DirectorDHT1C: Division of Dental and ENT DevicesOHT1: Office of Ophthalmic, Anesthesia,Respiratory, ENT and Dental DevicesOffice of Product Evaluation and QualityCenter for Devices and Radiological HealthEnclosure510(k) Summary1.Submitter510(k) Owner: Intuitive Surgical, Inc.1266 Kifer RoadSunnyvale, CA 94086Contact: Jennifer SiuSenior Regulatory Affairs SpecialistTel: (408) 523-5372Email:*************************Date of Submission: June 28, 20212.Device InformationTrade Name: Ion™ Endoluminal SystemCommon Name: Bronchoscope (flexible or rigid) and accessoriesClassification: Class II21 CFR §874.4680Bronchoscope (flexible or rigid) and accessories Product Code: EOQReview Panel: Ear, Nose, and Throat3.Predicate DeviceThe predicate device for this submission is the Ion™ Endoluminal System (K201146),cleared on June 26, 2020.4.Device DescriptionThe Ion™ Endoluminal System (Model IF1000) is a software-controlled, electromechanical system designed to assist qualified physicians to navigate a catheter and endoscopic tools in the pulmonary tract using endoscopic visualization of the tracheobronchial tree for diagnostic and therapeutic procedures. It consists of a Planning Laptop with PlanPoint™ Software, a System Cart with System Software, a Controller, Instruments, and Accessories. The Model IF1000 Instruments include the Ion™ Fully Articulating Catheter, the Ion™ PeripheralVision Probe, and the Flexision™ Biopsy Needles. Accessories such as the Catheter Guide, Vision Probe Adapter, Suction Adapter, Swivel Connector, and Vision Probe Bag facilitate use of the Model IF1000 Instruments.5.Intended Use/Indications for UseIntended UseTo provide access to and visualization of patient airways.Indications for UseThe Ion™ Endoluminal System (Model IF1000) assists the user in navigating acatheter and endoscopic tools in the pulmonary tract using endoscopic visualizationof the tracheobronchial tree for diagnostic and therapeutic procedures. The Ion™Endoluminal System enables fiducial marker placement. It does not make a diagnosis and is not for pediatric use.The Flexision™ Biopsy Needle is used with the Ion™ Endoluminal System to biopsy tissue from a target area in the lung.The PlanPoint™ Software uses patient CT scans to create a 3D plan of the lung andnavigation pathways for use w ith the Ion™ Endoluminal System.parison to Predicate DeviceThe Model IF1000 Instruments, specifically the Ion™ Fully Articulating Catheter (Catheter) and the Ion™ Peripheral Vision Probe (Vision Probe), subject to the scope of change under this submission, remain substantially equivalent to the Model IF1000 Instruments cleared under K201146. There were no design changes made to the subject devices as a result of the alternative automated cleaning process and reduced rinsing steps of the existing manual cleaning process.Intuitive is providing an alternative cleaning method and reducing rinsing steps for the current manual cleaning method for the reprocessing of the Catheter and Vision Probe instruments, to allow users the choice for these instruments to be reprocessed via an automated cleaning process and simplify the current manual cleaning process. There are no changes to the subject devices compared to the predicate devices with regard to indications for use, technological characteristics, device materials, clinical utility, or packaging as a result of the alternative automated cleaning process or reduced rinsing steps of the existing manual cleaning process. Table 1 provides a comparison between the subject devices and predicate devices.navigation with minor material changes that do not introduce any new or increased biological risk since clearance of the predicate device under K201146.Cleaning validation results demonstrate that the subject devices reprocessed via the automated cleaning process and reduced rinsing steps of the existing manual cleaning process are substantially equivalent to the predicate devices reprocessed via the current manual cleaning process. Furthermore, the testing did not raise any new risks or any new questions in terms of safety and effectiveness for the subject devices.7.Performance DataThe following performance data has been provided in support of the substantial equivalence determination. Testing included reprocessing validation, toxicological risk assessment, and usability testing.Reprocessing ValidationAutomated endoscope reprocessor (AER) equipment were validated to support the automated cleaning process of the Catheter and Vision Probe, to demonstrate the efficacy of the AERs in cleaning the Model IF1000 devices. Testing was performed in accordance withAAMI TIR12:2010 Designing, testing, and labeling reusable medical devices for reprocessing in health care facilities: A guide for medical device manufacturers andAAMI TIR30:2011/(R)2016 A compendium of processes, materials, test methods, and acceptance criteria for cleaning reusable medical devices. All testing passed the predetermined acceptance criteria.BiocompatibilityIn order to assess the biological risk to patient contact of the Catheter and Vision Probe from chemical residuals left following the automated cleaning process or reduced rinsing of the existing manual cleaning process, total organic carbon (TOC) testing were performed and evaluated. Testing were performed on the Model IF1000 devices subjected to the automated cleaning process and reduced rinsing of the existing manual process and results analyzed inaccordance with ISO 10993-1:2018 Biological evaluation of medical devices - Part 1: Evaluation and testing within a risk management process. All testing were deemed to result in acceptable TOC levels, comparable to the predicate devices.Bench TestingNo bench testing was performed as the automated cleaning process and reduced rinsing steps of the existing manual cleaning process do not introduce harsher reprocessing chemical or additional mechanical wear to the subject devices requiring additional verification and validation.Usability TestingA human factors study was performed to validate the additional instructions added to support the reprocessing instructions manuals updates subject of this submission. The study was conducted in accordance with FDA guidance Applying Human Factors and Usability Engineering to Medical Devices, issued February 3, 2016, and IEC 62366-1:2015/Amd1:2020 Medical devices – Part 1: Application of usability engineering to medical devices. The study demonstrates that the intended users can successfully understand and perform the intended reprocessing procedure safely and effectively while following the reprocessing instructions manuals, and therefore successfully validates the updated instructions.Animal TestingNo animal studies were performed as the automated cleaning process and reduced rinsing steps of the existing manual cleaning process do not introduce harsher reprocessing chemical or additional mechanical wear to the subject device requiring additional testing.Clinical TestingNo clinical studies were performed as the automated cleaning process and reduced rinsing steps of the existing manual cleaning process do not introduce harsher reprocessing chemical or additional mechanical wear to the subject device requiring additional testing.8.ConclusionBased upon the intended use, design, operating principles, comparison to the predicate devices, and conducted testing, it is concluded that the subject devices reprocessed via an automated cleaning process and reduced rinsing steps of the existing manual cleaning process are substantially equivalent to the predicate devices reprocessed via the current manual cleaning process. Testing also supports that the subject devices reprocessed via an automated cleaning process and reduced rinsing steps of the existing manual cleaning process do not raise any new risks or any new questions in safety or effectiveness for the subject devices.。

Contr‎a ct 与 Agree‎m ent 的区别在英语中，合同一般称‎为Cont‎r act，协议一般称‎为Agre‎e ment‎。

何谓“contr‎a ct”?‎1999年‎中国《合同法》第二条对c‎o ntra‎c t定义为‎： A conta‎c t in this Law refer‎s to an agree‎ment estab‎l ishi‎n g, modif‎y ing and termi‎n atin‎g the civil‎right‎s and oblig‎a tion‎s betwe‎e n s ubje‎c ts of equal‎footi‎n g, that is, betwe‎e n natur‎a l perso‎n s, legal‎perso‎n s or other‎organ‎i zati‎o ns”。

根据这一定‎义，合同平等主‎体之间设立‎的确定民事‎权利和义务‎的协议。

，Steve‎n H. Gifts‎编著的“Law‎Dicti‎o nary‎”中将con‎t ract‎定义为“contr‎a ct is a promi‎s e, or a set of promi‎s e s, for breac‎h of which‎the law gives‎remed‎y, or the perfo‎r manc‎e of the w hich‎the law in some way recog‎n ize‎as‎a‎duty.”根据这一定‎义，合同是一种‎承诺，违反承诺可‎以得到法律‎救助，某种意义上‎法律将履行‎该承诺看做‎是一种补偿‎。

L.B Curzo‎n在其编撰的‎字典“A‎Dicti‎o nary‎of‎Law”给cont‎r act的‎定义：“Contr‎a ct is a leg al‎l y bindi‎n g agree‎m ent”根据这一定‎义，合同就是有‎法律约束力‎的协议。

INVESTMENT ADVISERS ACT OF 1940[A S A MENDED THROUGH P.L. 112-90, APPROVED J ANUARY 3, 2012]TABLE OF CONTENTSSec. 201. Findings.Sec. 202. Definitions.Sec. 203. Registration of Investment Advisers.Sec. 203A. State and Federal Responsibilities.Sec. 204. Annual and Other Reports.Sec. 204A. Prevention of Misuse of Nonpublic Information.Sec. 205. Investment Advisory Contracts.Sec. 206. Prohibited Transactions by Registered Investment Advisers.Sec. 206A. Exemptions.Sec. 207. Material Misstatements.Sec. 208. General Prohibitions.Sec. 209. Enforcement of Title.Sec. 210. Publicity.Sec. 210A. Consultation.Sec. 211. Rules, Regulations, and Orders.Sec. 212. Hearings.Sec. 213. Court Review of Orders.Sec. 214. Jurisdiction of Offenses and Suits.Sec. 215. Validity of Contracts.Sec. 216. Annual Reports of Commission.Sec. 217. Penalties.Sec. 218. Hiring and Leasing Authority of the Commission.Sec. 219. Separability of Provisions.Sec. 220. Short Title.Sec. 221. Effective Date.Sec. 222. State Regulation of Investment Advisers.Sec. 223. Custody of Client Accounts.Sec. 224. Rule of Construction Relating to the Commodities Exchange Act.FINDINGSS EC. 201. Upon t he basis of fact s disclosed by t he record and report of t he Securit ies and Exchange Commission made pursuant t o sect ion 30 of t he Public Ut ilit y Holding Company Act of 1935, and fact s ot herwise disclosed and ascert ained, it is hereby found t hat invest ment advisers are of nat ional concern, in t hat, among other things—(1) t heir advice, counsel, publicat ions, writ ings, analyses,and reports are furnished and distributed, and their contracts, subscript ion agreement s, and ot her arrangement s wit h client s are negot iat ed and performed, by t he use of t he mails and means and instrumentalities of interstate commerce;(2) t heir advice, counsel, publicat ions, writ ings, analyses,and report s cust omarily relat e t o t he purchase and sale of se­curit ies t raded on nat ional securit ies exchanges and in int er­st at e over-t he-count er market s, securit ies issued by companies engaged in business in int erst at e commerce, and securit ies 1Sec. 202 INVESTMENT ADVISERS ACT OF 19402issued by national banks and member banks of the Federal Re­serve System; and(3) the foregoing transactions occur in such volume as sub­st ant ially t o affect int erst at e commerce, nat ional securit ies ex­changes, and ot her securit ies market s, t he nat ional banking system and the national economy.(Aug. 22, 1940, ch. 686, title II, Sec. 201, 54 Stat. 847.)DEFINITIONSS EC. 202. (a) When used in this title, unless the context other­wise requires, the following definitions shall apply:(1) ‘‘Assignment’’ includes any direct or indirect transfer orhypot hecat ion of an invest ment advisory cont ract by t he as­signor or of a cont rolling block of t he assignor’s out st anding voting securities by a security holder of the assignor; but if the invest ment adviser is a part nership, no assignment of an in­vest ment advisory cont ract shall be deemed t o result from t he deat h or wit hdrawal of a minorit y of t he members of t he in­vest ment adviser having only a minorit y int erest in t he busi­ness of t he invest ment adviser, or from t he admission t o t he invest ment adviser of one or more members who, aft er such admission, shall be only a minorit y of t he members and shall have only a minority interest in the business.(2) ‘‘Bank’’ means (A) a banking ins i u ion organizedunder the laws of the United States or a Federal savings asso­ciat ion, as defined in sect ion 2(5) of t he Home Owners’ Loan Act, (B) a member bank of t he Federal Reserve Syst em, (C) any ot her banking inst it ut ion, savings associat ion, as defined in sect ion 2(4) of t he Home Owners’ Loan Act, or t rust com­pany, whet her incorporat ed or not, doing business under t he laws of any State or of the United States, a substantial portion of t he business of which consist s of receiving deposit s or exer­cising fiduciary powers similar t o t hose permit t ed t o nat ional banks under the authority of t he Comptroller of t he Currency, and which is supervised and examined by State or Federal au­t horit y having supervision over banks or savings associat ions, and which is not operated for the purpose of evading the provi­sions of this title, and (D) a receiver, conservat or, or ot her liq­uidat ing agent of any inst it ut ion or firm included in clauses(A), (B), or (C) of this paragraph.(3) The t erm ‘‘broker’’ has t he same meaning as given insection 3 of the Securities Exchange Act of 1934.(4) ‘‘Commission’’ means t he Securi t ies and ExchangeCommission.(5) ‘‘Company’’ means a corporat ion, a part nership, an as­socia ion, a join-s ock company, a rus, or any organized group of persons, whether incorporated or not; or any receiver, t rust ee in a case under t it le 11 of t he Unit ed St at es Code, or similar official, or any liquidat ing agent for any of t he fore­going, in his capacity as such.(6) ‘‘Convict ed’’ includes a verdict, judgment, or plea ofguilty, or a finding of guilt on a plea of nolo contendere, if such3 INVESTMENT ADVISERS ACT OF 1940 Sec. 202verdict, judgment, plea, or finding has not been reversed, set aside, or wit hdrawn, whet her or not sent ence has been im­posed.(7) The t erm ‘‘dealer’’ has t he same meaning as given insect ion 3 of t he Securit ies Exchange Act of 1934, but does not include an insurance company or investment company.(8) ‘‘Direct or’’ means any direct or of a corporat ion or anyperson performing similar funct ions, wit h respect t o any orga­nization, whether incorporated or unincorporated.(9) ‘‘Exchange’’ means any organiza ion, associa ion, orgroup of persons, whe t her incorpora t ed or unincorpora t ed, which constitutes, maintains, or provides a market place or fa­cilit ies for bringing t oget her purchasers and sellers of securi­t ies or for ot herwise performing wit h respect t o securit ies t he funct ions commonly performed by a st ock exchange as t hat t erm is generally underst ood, and includes t he market place and the market facilities maintained by such exchange.(10) ‘‘Int erst at e commerce’’ means t rade, commerce, t rans­port at ion, or communicat ion among t he several St at es, or be­tween any foreign country and any State, or between any State and any place or ship outside thereof.(11) ‘‘Investment adviser’’ means any person who, for com­pensation, engages in the business of advising others, either di­rectly or through publications or writings, as to the value of se­curities or as to the advisability of investing in, purchasing, or selling securit ies, or who, for compensat ion and as part of a regular business, issues or promulgat es analyses or report s concerning securit ies; but does not include (A) a bank, or any bank holding company as defined in t he Bank Holding Com­pany Act of 1956, which is not an investment company, except t hat t he t erm ‘‘invest ment adviser’’ includes any bank or bank holding company to the extent that such bank or bank holding company serves or act s as an invest ment adviser t o a reg­istered investment company, but if, in the case of a bank, such services or actions are performed through a separately identifi­able depart ment or division, t he depart ment or division, and not t he bank it self, shall be deemed t o be t he invest ment ad­viser; (B) any lawyer, account ant, engineer, or t eacher whose performance of such services is solely incidental to the practice of his profession; (C) any broker or dealer whose performance of such services is solely incident al t o t he conduct of his busi­ness as a broker or dealer and who receives no special com­pensat ion t herefor; (D) t he publisher of any bona fide news­paper, news magazine or business or financial publicat ion of general and regular circulat ion; (E) any person whose advice, analyses, or reports relate to no securities other than securities which are direct obligat ions of or obligat ions guarant eed as t o principal or int erest by t he Unit ed St at es, or securit ies issued or guarant eed by corporat ions in which t he Unit ed St at es hasa direct or indirect int erest which shall have been designat edby t he Secret ary of t he Treasury, pursuant t o sect ion 3(a)(12) of the Securities Exchange Act of 1934, as exempted securities for the purposes of that Act; (F) any nationally recognized sta­t ist ical rat ing organizat ion, as t hat t erm is defined in sect ionSec. 202 INVESTMENT ADVISERS ACT OF 194043(a)(62) of the Securities Exchange Act of 1934, unless such or­ganiza ion engages in issuing recommenda ions as o pur­chasing, selling, or holding securit ies or in managing asset s, consist ing in whole or in part of securit ies, on behalf of ot h­ers;; [1] (G) any family office, as defined by rule, regulat ion, or order of t he Commission, in accordance wit h t he purposes of t his t it le; or (H) such ot her persons not wit hin t he int ent of this paragraph, as the Commission may designate by rules and regulations or order.(12) ‘‘Invest ment company’’, affiliat ed person, and ‘‘insur­ance company’’ have t he same meanings as in t he Invest ment Company Act of 1940. ‘‘Cont rol’’ means t he power t o exercisea cont rolling influence over t he management or policies of acompany, unless such power is solely t he result of an official position with such company.(13) ‘‘Investment supervisory services’’ means the giving ofcont inuous advice as t o t he invest ment of funds on t he basis of the individual needs of each client.(14) ‘‘Means or instrumentality of interstate commerce’’ in­cludes any facility of a national securities exchange.(15) ‘‘Nat ional securit ies exchange’’ means an exchangeregist ered under sect ion 6 of t he Securit ies Exchange Act of 1934.(16) ‘‘Person’’ means a natural person or a company.(17) The t erm ‘‘person associat ed wit h an invest ment ad­viser’’ means any part ner, officer, or direct or of such invest ment adviser (or any person performing similar funct ions), or any person direct ly or indirect ly cont rolling or cont rolled by such invest ment adviser, including any employee of such in­vest ment adviser, except t hat for t he purposes of sect ion 203 of t his t it le (ot her t han subsect ion (f) t hereof), persons associ­ated with an investment adviser whose functions are clerical or minist erial shall not be included in t he meaning of such t erm.The Commission may by rules and regulations classify, for the purposes of any port ion or port ions of t his t it le, persons, in­cluding employees controlled by an investment adviser.(18) ‘‘Security’’ means any note, stock, treasury stock, secu­rit y fut ure, bond, debent ure, evidence of indebt edness, cert ifi­cat e of int erest or part icipat ion in any profit-sharing agree­ment, collat eral-t rust cert ificat e, preorganizat ion cert ificat e or subscript ion, t ransferable share, invest ment cont ract, vot ing-t rust cert ificat e, cert ificat e of deposit for a securit y, fract ional undivided interest in oil, gas, or other mineral rights, any put, call, st raddle, opt ion, or privilege on any securit y (including a certificate of deposit) or on any group or index of securities (in­cluding any int erest t herein or based on t he value t hereof), or any put, call, st raddle, opt ion, or privilege ent ered int o on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a ‘‘se­curit y’’, or any cert ificat e of int erest or part icipat ion in, t em­porary or int erim cert ificat e for, receipt for, guarant y of, or1So in original.5 INVESTMENT ADVISERS ACT OF 1940 Sec. 202warrant or right t o subscribe t o or purchase any of t he fore­going.(19) ‘‘State’’ means any State of the United States, the Dis­trict of Columbia, Puerto Rico, the Virgin Islands, or any other possession of the United States.(20) ‘‘Underwrit er’’ means any person who has purchasedfrom an issuer with a view to, or sells for an issuer in connec­t ion wit h, t he dist ribut ion of any securit y, or part icipat es or has a direct or indirect part icipat ion in any such undert aking, or part icipat es or has a part icipat ion in t he direct or indirect underwriting of any such undertaking; but such term shall not include a person whose int erest is limit ed t o a commission from an underwrit er or dealer not in excess of t he usual and cust omary dist ribut or’s or seller’s commission. As used in t his paragraph t he t erm ‘‘issuer’’ shall include in addit ion t o an issuer, any person direct ly or indirect ly cont rolling or con­t rolled by t he issuer, or any person under direct or indirect common control with the issuer.(21) ‘‘Securit ies Act of 1933’’, ‘‘Securit ies Exchange Act of1934’’, and ‘‘Trust Indenture Act of 1939’’, mean those Acts, re­spectively, as heretofore or hereafter amended.(22) ‘‘Business development company’’ means any companywhich is a business development company as defined in section 2(a)(48) of t it le I of t his Act and which complies wit h sect ion55 of title I of this Act, except that—(A) t he 70 per cent um of t he value of t he t ot al asset scondit ion referred t o in sect ions 2(a)(48) and 55 of t it le Iof t his Act shall be 60 per cent um for purposes of det er­mining compliance therewith;(B) such company need not be a closed-end companyand need not elect t o be subject t o t he provisions of sec­tions 55 through 65 of title I of this Act; and(C) the securities which may be purchased pursuant tosect ion 55(a) of t it le I of t his Act may be purchased fromany person.For purposes of t his paragraph, all t erms in sect ions 2(a)(48) and 55 of t it le I of t his Act shall have t he same meaning set forth in such title as if such company were a registered closed-end investment company, except that the value of the assets ofa business development company which is not subject t o t heprovisions of sect ions 55 t hrough 65 of t it le I of t his Act shall be determined as of the date of the most recent financial state­ment s which it furnished t o all holders of it s securit ies, and shall be determined no less frequently than annually.(23) ‘‘Foreign securit ies aut horit y’’ means any foreign gov­ernment, or any government al body or regulat ory organizat ion empowered by a foreign government t o administ er or enforce its laws as they relate to securities matters.(24) ‘‘Foreign financial regulat ory aut horit y’’ means any(A) foreign securities authority, (B) other governmental body orforeign equivalent of a self-regulat ory organizat ion empowered by a foreign government to administer or enforce its laws relat­ing to the regulation of fiduciaries, trusts, commercial lending, insurance, t rading in cont ract s of sale of a commodit y for fu­Sec. 202 INVESTMENT ADVISERS ACT OF 19406t ure delivery, or ot her inst rument s t raded on or subject t o t he rules of a contract market, board of trade or foreign equivalent, or ot her financial act ivit ies, or (C) membership organizat ion a funct ion of which is t o regulat e t he part icipat ion of it s mem­bers in activities listed above.(25) ‘‘Supervised person’’ means any partner, officer, direc­t or (or ot her person occupying a similar st at us or performing similar funct ions), or employee of an invest ment adviser, or ot her person who provides invest ment advice on behalf of t he invest ment adviser and is subject t o t he supervision and con­trol of the investment adviser.(26) The t erm ‘‘separat ely ident ifiable depart ment or divi­sion’’ of a bank means a unit—(A) that is under the direct supervision of an officer orofficers designated by the board of directors of the bank asresponsible for the day-to-day conduct of the bank’s invest­ment adviser activities for one or more investment compa­nies, including t he supervision of all bank employees en­gaged in the performance of such activities; and(B) for which all of t he records relat ing t o it s investment adviser activities are separately maintained in or ex­t ract able from such unit’s own facilit ies or t he facilit ies ofthe bank, and such records are so maintained or otherwiseaccessible as t o permit independent examinat ion and en­forcement by the Commission of this Act or the InvestmentCompany Act of 1940 and rules and regulat ions promul­gat ed under t his Act or t he Invest ment Company Act of1940.(27) The t erms ‘‘securit y fut ure’’ and ‘‘narrow-based secu­rit y index’’ have t he same meanings as provided in sect ion 3(a)(55) of the Securities Exchange Act of 1934.(28) The t erm ‘‘credit rat ing agency’’ has t he same mean­ing as in section 3 of the Securities Exchange Act of 1934.(29) [2] The erm ‘‘priva e fund’’ means an issuer hawould be an investment company, as defined in section 3 of the Investment Company Act of 1940 (15 U.S.C. 80a-3), but for sec­tion 3(c)(1) or 3(c)(7) of that Act.(30) The t erm ‘‘foreign privat e adviser’’ means any investment adviser who—(A) has no place of business in the United States;(B) has, in t ot al, fewer t han 15 client s and invest orsin t he Unit ed St at es in privat e funds advised by t he in­vestment adviser;(C) has aggregat e asset s under management at rib­ut able t o client s in t he Unit ed St at es and invest ors in t heUnit ed St at es in privat e funds advised by t he invest mentadviser of less than $25,000,000, or such higher amount asthe Commission may, by rule, deem appropriate in accord­ance with the purposes of this title; and(D) neither—(i) holds it self out generally t o t he public in t heUnited States as an investment adviser; nor2Another par. (29) appears after par. (30).7 INVESTMENT ADVISERS ACT OF 1940 Sec. 202(ii) acts as—(I) an invest ment adviser t o any invest mentcompany regist ered under t he Invest ment Com­pany Act of 1940; or(II) a company t hat has elect ed t o be a busi­ness development company pursuant to section 54of the Investment Company Act of 1940 (15 U.S.C.80a-53), and has not withdrawn its election.(29) [3] The terms ‘‘commodity pool’’, ‘‘commodity pool oper­at or’’, ‘‘commodit y t rading advisor’’, ‘‘major swap part icipant’’, ‘‘swap’’, ‘‘swap dealer’’, and ‘‘swap execut ion facilit y’’ have t he same meanings as in sect ion 1a of t he Commodit y Exchange Act (7 U.S.C. 1a).(b) No provision in this title shall apply to, or be deemed to in­clude, t he Unit ed St at es, a St at e, or any polit ical subdivision of a St at e, or any agency, aut horit y, or inst rument alit y of any one or more of the foregoing, or any corporation which is wholly owned di­rectly or indirectly by any one or more of the foregoing, or any offi­cer, agent, or employee of any of the foregoing acting as such in the course of his official duty, unless such provision makes specific ref­erence thereto.(c) C ONSIDERATION OF P ROMOTION OF E FFICIENCY, C OMPETI TION, AND C APITAL F ORMATION.—Whenever pursuant t o t his t it le t he Commission is engaged in rulemaking and is required t o con­sider or det ermine whet her an act ion is necessary or appropriat e in t he public int erest, t he Commission shall also consider, in addi­tion to the protection of investors, whether the action will promote efficiency, competition, and capital formation.(Aug. 22, 1940, ch. 686, title II, Sec. 202, 54 Stat. 847; Pub. L. 86­70, Sec. 12(c), June 25, 1959, 73 St at. 143; Pub. L. 86-624, Sec. 7(d), July 12, 1960, 74 St at. 412; Pub. L. 86-750, Sec. 1, Sept. 13, 1960, 74 Stat. 885; Pub. L. 89-485, Sec. 13(j), July 1, 1966, 80 Stat. 243; Pub. L. 91-547, Sec. 23, Dec. 14, 1970, 84 St at. 1430; Pub. L. 95-598, t it le III, Sec. 311, Nov. 6, 1978, 92 St at. 2676; Pub. L. 96­477, title II, Sec. 201, Oct. 21, 1980, 94 Stat. 2289; Pub. L. 97-303, Sec. 6, Oct. 13, 1982, 96 Stat. 1410; Pub. L. 100-181, title VII, Sec. 701, Dec. 4, 1987, 101 St at. 1263; Pub. L. 101-550, t it le II, Sec. 206(b), Nov. 15, 1990, 104 St at. 2720; Pub. L. 104-290, t it le III, Sec. 303(c), Oct. 11, 1996, 110 Stat. 3438; Pub. L. 106-102, title II, Sec. 217-219, 224, Nov. 12, 1999, 113 St at. 1399, 1400, 1402; Pub. L. 106-554, Sec. 1(a)(5) [t it le II, Sec. 209(a)(2), (4)], Dec. 21, 2000, 114 S t a t. 2763, 2763A-435, 2763A-436; Pub. L. 109-291, Sec. 4(b)(3)(A), (B), Sept. 29, 2006, 120 Stat. 1337; Pub. L. 109-351, title IV, Sec. 401(b)(1), Oct. 13, 2006, 120 St at. 1973; Pub. L. 111-203, title IV, Secs. 402(a), 409(a), title VII, Sec. 770, title IX, Sec. 986(d), July, 22, 2010, 124 Stat. 1570, 1575, 1801, 1936.)3So in original. Another par. (29) appears after par. (28).Sec. 203 INVESTMENT ADVISERS ACT OF 19408 REGISTRATION OF INVESTMENT ADVISERSS EC. 203. (a) Except as provided in subsect ion (b) and sect ion 203A [4], it shall be unlawful for any invest ment adviser, unless regist ered under t his sect ion, t o make use of t he mails or any means or inst rument alit y of int erst at e commerce in connect ion with his or its business as an investment adviser.(b) The provisions of subsection (a) shall not apply to—(1) any invest ment adviser, ot her t han an invest ment ad­viser who act s as an invest ment adviser t o any privat e fund, all of whose client s are resident s of t he St at e wit hin which such invest ment adviser maint ains his or it s principal office and place of business, and who does not furnish advice or issue analyses or reports with respect to securities listed or admitted t o unlist ed t rading privileges on any nat ional securit ies ex­change;(2) any invest ment adviser whose only client s are insur­ance companies;(3) any invest ment adviser t hat is a foreign privat e ad­viser;(4) any invest ment adviser t hat is a charit able organiza­t ion, as defined in sect ion 3(c)(10)(D) of t he Invest ment Com­pany Act of 1940, or is a trustee, director, officer, employee, or volunt eer of such a charit able organizat ion act ing wit hin t he scope of such person’s employment or duties with such organi­zat ion, whose advice, analyses, or report s are provided only t o one or more of the following:(A) any such charitable organization;(B) a fund t hat is excluded from t he definit ion of aninvest ment company under sect ion 3(c)(10)(B) of t he In­vestment Company Act of 1940; or(C) a t rust or ot her donat ive inst rument described insection 3(c)(10)(B) of the Investment Company Act of 1940,or t he t rust ees, administ rat ors, set t lors (or pot ent ial sett lors), or beneficiaries of any such t rust or ot her inst ru­ment;(5) any plan described in sect ion 414(e) of t he Int ernalRevenue Code of 1986, any person or entity eligible to establish and maintain such a plan under the Internal Revenue Code of 1986, or any t rust ee, direct or, officer, or employee of or volun­t eer for any such plan or person, if such person or ent it y, act ing in such capacity, provides investment advice exclusively to, or with respect to, any plan, person, or entity or any company, account, or fund t hat is excluded from t he definit ion of an in­vest ment company under sect ion 3(c)(14) of t he Invest ment Company Act of 1940;(6)(A) any invest ment adviser t hat is regist ered wit h t heCommodity Futures Trading Commission as a commodity trad­ing advisor whose business does not consist primarily of acting4Sect ion 303(d) of t he Nat ional Securit ies Market s Improvement Act of 1996 (P.L. 104-290; 110 St at. 3438) amended sect ion 203 of t he Invest ment Advisers Act of 1940 by st riking ‘‘sub­section (b) of this section’’ and insert ing ‘‘subsect ion (b) and section 203A’’. This compilat ion re­flect s t his amendment even t hough t he words ‘‘of t his sect ion’’ were not in t he underlying law at the time of the amendment.9 INVESTMENT ADVISERS ACT OF 1940 Sec. 203as an invest ment adviser, as defined in sect ion 202(a)(11) of t his t it le, and t hat does not act as an invest ment adviser t o—(i) an invest ment company regist ered under t it le I ofthis Act; or(ii) a company which has elect ed t o be a business de­velopment company pursuant to section 54 of title I of thisAct and has not withdrawn its election; or(B) [5] any investment adviser that is registered with the Com­modity Fut ures Trading Commission as a commodit y t rading advi­sor and advises a privat e fund, provided t hat, if aft er t he dat e of enact ment of t he Privat e Fund Invest ment Advisers Regist rat ion Act of 2010, t he business of t he advisor should become predomi­nat ely t he provision of securit ies-relat ed advice, t hen such adviser shall register with the Commission. [6](7) any investment adviser, other than any entity that haselect ed t o be regulat ed or is regulat ed as a business develop­ment company pursuant t o sect ion 54 of t he Invest ment Com­pany Act of 1940 (15 U.S.C. 80a-54), who solely advises—(A) small business invest ment companies t hat are li­censees under the Small Business Investment Act of 1958;(B) ent it ies t hat have received from t he Small Busi­ness Administ rat ion not ice t o proceed t o qualify for a li­cense as a small business invest ment company under t heSmall Business Investment Act of 1958, which notice or li­cense has not been revoked; or(C) applicant s t hat are affiliat ed wit h 1 or more li­censed small business invest ment companies described insubparagraph (A) and t hat have applied for anot her li­cense under t he Small Business Invest ment Act of 1958,which application remains pending.(c)(1) An investment adviser, or any person who presently con­t emplat es becoming an invest ment adviser, may be regist ered by filing wit h t he Commission an applicat ion for regist rat ion in such form and cont aining such of t he following informat ion and docu­ment s as t he Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors:(A) the name and form of organization under which the in­vestment adviser engages or intends to engage in business; the name of t he St at e or ot her sovereign power under which such investment adviser is organized; the location of his or its prin­cipal office, principal place of business, and branch offices, if any; t he names and addresses of his or it s part ners, officers, direct ors, and persons performing similar funct ions or, if such an investment adviser be an individual, of such individual; and the number of his or its employees;(B) the education, the business affiliations for the past tenyears, and the present business affiliations of such investment adviser and of his or it s part ners, officers, direct ors, and per­sons performing similar functions and of any controlling person thereof;5Indentation so in original.6So in original. The period probably should be ‘‘; or’’.。